Compliance Analyst Resume Example
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COMPLIANCE ANALYST
Professional Summary
Quality-driven Compliance Analyst familiar with tracking, documentation and reporting requirements. Assesses work, materials and procedures and recommends adjustments to maintain compliance. Over many years of experience and motivated, energetic mindset.
Skills
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Work History
Compliance Analyst11/2019 to Current
Company Name – City, State
Company Name – City, State
The Advertising Analyst is a Compliance Analyst position at Kestra Financial that supports the marketing initiatives for advisors who utilize their services. From print items, to social media campaigns and seminars, financial professionals must comply with an array of regulatory requirements. The following are some of the day-to-day responsibilities:
- Delivered and tracked program training for all associates and supervisors in order to safeguard continuing business relationships
- Developed improvement and corrective action plans to bring operations in line with requirements
- Managed compliance product and service reseller review program, including development of policies and procedures
- Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls
- Advised division leaders of regulatory risks in business processed and provided recommendations for improvement
- Supported and trained customers on compliance-related issues
- Prepared documentation and records for upcoming audits and inspections
- Formulated detailed recommendations based on audit findings to support annual planning and definition of goals
- Managed full life cycle of assigned audits in alignment with departmental procedures, delivering progress as well as closing reports to senior management and clients
- Defined and developed policies and procedures for consumer reporting and privacy practices
- Liaised with clients to identify and target inefficiencies in areas of risks and business controls, process gaps and workflow discrepancies
- Helped create training programs to handle system-wide issues and maintain compliance
- Consulted with clients on best practices and served as project manager for all process improvements and regulatory initiatives
- Structured programs, produced working documentation and implemented best practices
Operations Specialist03/2018 to 11/2019
Company Name – City, State
Company Name – City, State
Responsible for Account Servicing of Investors including Cost Basis/Account Transactions, Transfer of Assets, and assist clients with operational issues around retirement planning.
- Delivered expert clerical support by efficiently handling wide range of routine and special requirements
- Interacted with customers professionally by phone, email or in-person to provide information and directed to desired staff members
- Communicated corporate objectives across all divisions through regular correspondence and scheduled status updates
- Kept physical files and digitized records organized for easy updating and retrieval by authorized team members
- Developed highly-efficient administrative team through ongoing coaching and professional development opportunities
- Evaluated performance and policies against metrics
- Improved customer satisfaction scores through application of superior conflict resolution and problem-solving skills
- Improved office operations by automating client correspondence, record tracking and data communications
- Established and developed highly efficient and dependable administrative team by delivering ongoing coaching and motivation and fostering career advancement
Accounting Analyst07/2015 to 04/2017
Company Name – City, State
Company Name – City, State
- Managed accounting system using Wave Accounting inventory software to enhance reporting and organizational analysis
- Analyzed trends and monitored customer behaviors to serve as predictors for future marketplace actions
- Maintained strict client confidentiality in personal, telephone and email interactions to comply with preset standards and regulations
- Invoiced customers for purchases of goods and services to adhere to accounting standards and generate revenues
- Researched billing and invoice problems and resolved issues in compliance with established standards
- Prepared quarterly balance sheet reconciliations to obtain accurate picture of organization's financial situation
- Eliminated discrepancies in finances by expertly documenting expenses, monitoring income, handling bank deposits and managing statements
- Maintained proper inventory controls and eliminated workflow gaps to balance projected demands with on-hand supplies
- Improved business direction by prioritizing customers and implementing changes based on collected feedback
- Supported management by processing invoices and documents with consistent on-time delivery
- Analyzed and adjusted inconsistencies in automated supply accounting system
- Assisted day staff by completing daily computer backups, virus checks and program updates
Financial Advisor09/2014 to 04/2015
Company Name – City, State
Company Name – City, State
- Assisted clients in making beneficial and strategic decisions regarding investments, low-cash financing and sourcing overseas partners
- Partnered with local organizations to provide specialized financial planning support to diverse populations with unique needs
- Cultivated and strengthened relationships with new clients and educated clients on account services and capabilities
Education
BBA: Finance 2014Texas State University-
City,
State
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Resume Overview
School Attended
- Texas State University
Job Titles Held:
- Compliance Analyst
- Operations Specialist
- Accounting Analyst
- Financial Advisor
Degrees
- BBA : Finance 2014
