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compliance analyst resume example with 20+ years of experience

Jessica
Claire
resumesample@example.com
(555) 432-1000,
, , 100 Montgomery St. 10th Floor
:
Summary

| SUMMARY: Results-focused compliance professional with strength in analysis, reporting and being able to provide custom approaches based on departmental needs. Proactive leader with strengths in communication and collaboration. Proficient in leveraging subject matter expertise and investigative knowledge to provide feedback and enhancements as necessary. Adept at managing concurrent objectives to promote efficiency and influence positive outcomes.

Skills
  • Due diligence
  • Documentation skills
  • Investigations expertise
  • Compliance protocols
  • Project management
  • Regulatory understanding
  • Data entry
  • Investigative reporting
Education and Training
Governor’s University , Expected in Master’s : Business and Leadership Western - GPA :
Western Governor’s University , Expected in Bachelor of Arts : Business - GPA :
University of Phoenix , Expected in Associates of Arts : Business Management - GPA :
, Expected in Comp TIA Project Management Certificate Lean Six Sigma White Belt Certification : - GPA :
Experience
Northstar Financial Services Group Llc - Compliance Analyst
Chicago, IL, 10/2021 - Current
  • Completed in-depth reviews of audit reports, client actions and monitoring activities.
  • Performed special reviews to support management needs.
  • Completed comprehensive reviews of operations to evaluate compliance with both Federal and State requirements.
  • Provided detailed, understandable risk and compliance concepts to key stakeholders.
  • Maintains complaint tracking documents with current information.
  • Provided assistance to internal or external auditors in compliance reviews.
  • Prepared correspondences to inform concerned parties of licensing decisions or appeals processes.
  • Interpreted Federal and State laws to conduct accurate and thorough investigations of banking compliance.
Campbell University - Student Support Specialist
Raleigh, NC, 01/2020 - Current
  • Worked successfully with diverse group of coworkers to accomplish goals and address issues related to our products and services.
  • Prioritized and organized tasks to efficiently accomplish service goals.
  • Juggled multiple projects and tasks to ensure high quality and timely delivery.
  • Demonstrated self-reliance by meeting and exceeding workflow needs.
  • Provided excellent service and attention to customers when face-to-face or through phone conversations.
  • Motivated and encouraged team members to communicate more openly and constructively with each other.
  • Exceeded customer satisfaction by finding creative solutions to problems.
Copper State Credit Union - Compliance Risk Manager
Glendale, AZ, 04/2020 - 10/2021
  • Supported the Director of Corporate Compliance with initiatives to assist in creating a growing compliance organization.
  • Coordinated with the Learning and Development team to ensure annual compliance training is completed on-time, appropriate for the team members role and investigate new training platforms.
  • Assisted in State Regulatory Exams by compiling document requests, meeting with the examiners, and working with the compliance team as well as business units to create remediation plans.
  • Coordinated with Bank partners to ensure compliance with State and Federal regulations.
  • Created in person trainings for Sales staff and work with the Sales Director to present it to the nationwide sales team.
  • Drafted and published compliance policies for the company.
  • Designed programs and protocols to control company loss and minimize adverse financial impact.
  • Compiled and submitted regular reports to update senior management on operations and progress.
First Merchants Corporation - BSA/AML Analyst
Highland, IN, 03/2017 - 03/2020
  • Served as a Subject Matter Expert for the department in matters of analysis, investigation and training.
  • Collected data, evaluated findings and produced reports for law enforcement and internal stakeholders.
  • Created and provided training to both new hire employees and existing employees.
  • Conducted large scale investigations regarding complex cases.
  • Coordinated with Bank Bank Secrecy Officer to ensure on-time reports, managed requests, and other items, as necessary
  • Assisted in testing new programming systems, creating procedures and processes for Bank specific issues.
Department Of Agriculture - Loan Analyst
Munising, MI, 01/2017 - 03/2017
  • Listened carefully to customer complaints and swiftly resolved issues by taking appropriate action.
  • Worked successfully with diverse group of coworkers to accomplish goals and address issues related to our products and services.
  • Reviewed financial data, pay stubs and credit history for borrowers to ascertain loan retention.
  • Remained calm, stayed professional and provided exceptional service on calls, even when interacting with difficult individuals.
  • Overcame objections by applying advanced training and persuasion techniques.
Paychex - Vendor Management Analyst
Worthington, OH, 04/2015 - 01/2017
  • Performed annual reviews of vendor activities, policies and procedures.
  • Evaluated vendor services and activities against company standards.
  • Provided support to department by assisting with special assignments and projects.
  • Advised staff through audits and remedy compliance issues.
  • Planned and executed compliance audits to check company policies, procedures and controls.
Northstar Financial Services Group Llc - Compliance Analyst
Az, AZ, 09/2007 - 03/2015
  • Performed special reviews to support management needs.
  • Completed in-depth reviews of audit reports, client actions and monitoring activities.
  • Kept detailed records of investigations and licensing determinations for future review.
  • Investigated statuses of business to determine compliance to laws and necessary corrective actions.
Apex Systems - Collections Specialist
Temple Terrace, FL, 06/1997 - 10/2007
  • Notified customers of delinquent accounts with attempt to collect outstanding amounts.
  • Met demands of busy collections group by performing high volume of daily calls.
  • Located debtors by utilizing skip tracking and other strategies.
  • Completed skip traces on customers failing respond to collection efforts.
  • Mentored new members on strategies and company information to maximize performance.

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Resume Overview

School Attended

  • Governor’s University
  • Western Governor’s University
  • University of Phoenix

Job Titles Held:

  • Compliance Analyst
  • Student Support Specialist
  • Compliance Risk Manager
  • BSA/AML Analyst
  • Loan Analyst
  • Vendor Management Analyst
  • Compliance Analyst
  • Collections Specialist

Degrees

  • Master’s
  • Bachelor of Arts
  • Associates of Arts
  • Comp TIA Project Management Certificate Lean Six Sigma White Belt Certification

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