Compliance Analyst Resume Example LPL Financial Services

COMPLIANCE ANALYST

Summary

GS-9 Paralegal with 15 years of diverse experience as an administrative support personnel in data research, analysis and case management within the legal and Bank and Finance field, in the specialized area of Commercial banking, Mortgage & Consumer, EID Loan closing and servicing, strong investigative, research and audit experience.

Highlights

Data Entry Micro Soft Word, EXCEL, Outlook, PowerPoint *

Experience

Compliance Analyst
December 2012 to March 2013 LPL Financial Services - La Jolla, CA

Performed company's internal email investigative audits, reviewing corporate communication by email to ensure.
that all licensed individuals (brokers) employed by LPL Financial Services are in compliance of LPL'S corporate.
and regulatory policies in compliance as well as within the guide lines of the Anti-Money Laundering (OFAC) and.
The Financial Industry Regulatory Authority (FINRA).

Paralegal/Compliance Officer
September 2008 to March 2012 Crescent Bank & Trust - New Orleans, LA

Assisted with Investigative research and audits on bank customer's account to resolved customer complaints, processed garnishments, bank levies, subpoenas, foreclosures and bankruptcy notices.
Monitored & reviewed bank portfolio and transaction reports and files Suspicious Activity Reports ("SARs") and Currency Transaction Reports ("CTRs") when necessary.
Performed review of incoming compliance correspondence and legal notices for further processing.
Maintained upkeep Bank's weekly CTR reports and ACH in accordance with the Anti-Money laundry guidelines of OFAC.
Tracked, resolved and maintained files on various complaints and Bank's legal issues monthly report for VP Compliance department.
Scheduled classes for yearly update training to various departmental employees.
Assisted with renewals for corporate and individual licenses Nationwide Provided administrative support including review and analyze all incoming legal documentation, draft necessary legal forms and documents as relevant to bank regulatory compliance of the Fair Debt Collections and Practices Act (FDCPA) and Fair Credit Reporting Act (FCRA) and individual banking finance state laws.
Monitored & reviewed bank portfolio and transaction reports and files Suspicious Activity Reports ("SARs") and Currency Transaction Reports ("CTRs") when necessary.
Addressed and researched to resolved customer complaints, processed garnishments, bank levies, subpoenas, foreclosures and bankruptcy notices.
Researched and investigated incoming information as needed for fraud investigations and follows up with local authorities and outside council, as needed Assist other departments or divisions with special projects as directed by senior management.
Maintained updates departmental compliance procedure changes in compliance regulations of loan and account modifications, collections, and Auto Lending federal regulations.
Maintain internal and external written communication weekly and monthly report to departments management team.
Maintained communication file records data with Internal & External Auditors and regulatory agencies (FDIC, OCC and FINCEN) as necessary.
Assisted with auditors and department teams with periodic regulatory exams, inquiries, reviews and audits.
Managed updates of calendar of critical dates and records bank's current open litigation case files; perform legal investigative research on case files, sent out legal correspondence on behalf of the bank.

Corporate Paralegal
September 2007 to October 2008 Sher, Garner, LLP - New Orleans, LA

Draft legal documents agreements and correspondence to commercial contracts and leases.
Review leases and related amendments and documents for commercial contracts.
Transfer updated data contract dead line key dates, financial data, and relevant critical notes on accounts.
Reviewed lease agreements, reviewed Purchase contracts and Subordination and Non-Disturbance Agreements, worked closely with supervisor to negotiate with Landlords & Attorneys for any changes to standard corporate language.
Examined Deeds of Trust to determine the guarantor, grantee, trustee, ordered copy of Ordered and reviewed Title policy, Secured recorded Mortgage and UCC.
Collected data to prepare and draft settlement packages for clients.
Review and verify land survey, work with surveyor to coordinate changes, corrections, etc.
Review Leases affecting the property.
Composed and typed routine letters of correspondence.
Acted as the point of contact for all incoming co-counsel requests.
Obtained and reviewed evidence of Insurance.
Reviewed contract for critical dates, preparation of critical dates checklist Collected data to prepare and draft settlement packages for clients.
Draft legal documents and contracts from templates.
Perform administrative tasks including filing, managing correspondence, keeping team Calendar to assure deadline dates are met, scanning, and copying and upload documents.
Prepared closing documents and closing binder, review Deed of trust, Bill of Sale Settlement agreement or closing statement assignment of leases Handle payoffs, request disbursement checks and Monitor wire transfer.
Organized and Index corporate records.

Paralegal Specialist
September 1993 to January 2006 SBA Disaster Field Office - Fort Worth, Texas

Traveled to various Disaster zoned areas for the US Small Business Administrations Processing Disaster Loan Applications, Loan closings related to SBA Federal disaster loan program.
Prepared, interviewed loan applicants on SBA loan application for process.
Responsible for Travel expense report and reimbursement request forms record receipts.
Performed Loan closing procedure with loan borrowers.
Reviewed loan closing documents LA&A, Notes, Guarantees, Mortgages, Tax Forms, Deeds of trust, etc., verify the requirements of the contract (LA&A).
Handled loan status inquiries.
As well as drafted responses to written inquires.
Advise borrowers on loan closing procedures, and as to loan terms and conditions within the contract (LA&A).
Prepare loan applications, determine loan eligibility or refer to FEMA for Grant eligibility.
Maintained, managed and collaborated with case management Attorney for Disbursement of Loan funds based on the progress of the borrower's collateral requirement and progress.
Provide supervising attorney with daily production reports of closed loans.
Handled Complaint resolutions.
Performed loan service on disbursed loan management accounts Supervise lower grade paralegals, provided clarification and guidance to loan closing procedure.
Reviewed Home and Business financial reports for subsequent disbursement analysis.
Accomplishments 2012, Created Standard Operating Procedure (SOP) for case management procedure process on Crescent Bank & Trust's open & pending litigation case files for the newly established in-house Legal Department at Crescent Bank amp;Trust.

Work History

Legal Department

Education

BS : Paralegal Studies Organizational Psychology, September 1993 Hawaii School of Adult Education - Lihue, HI, USA Paralegal Studies Organizational Psychology

1982 Colorado Technical University - Colorado Springs, CO, USA GPA: Chancellor's List GPA: 3.89 Organizational Psychology Chancellor's List Chancellor's List GPA: 3.89 Organizational Psychology Chancellor's List

Graduate of Kauai High School

Skills

administrative, administrative support, Attorney, auditing, banking, binder, Bi, case management, closing, Inter-personal communication, contracts, copying, council, Credit, Critical Thinking, clients, Data Entry, documentation, email, senior management, filing, finance, Financial, financial reports, Forms, funds, government, Insurance, laundry, Legal, regulatory compliance, legal documents, letters, litigation, Notes, Managerial, managing, EXCEL, Money, Outlook, PowerPoint, SharePoint, Micro Soft Word, policies, progress, Psychology, Reporting, requirement, Research, scanning, SOP, Spanish, supervisor, supervising, Tagalog, Tax, Time management, Type 50 WPM, UCC, verbal skills, written, written communication

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Compliance Analyst Resume Example

Resume Score: 100%