(555) 432-1000,
Montgomery Street, San Francisco, CA 94105
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.

  • Research proficiency
  • Compliance documentation
  • Corrective action plans
  • Reporting skills
  • Conducting investigations
  • Adobe Acrobat
  • Data Management
  • Document reviews
  • Regulatory examinations
  • Compliance understanding
  • Risk analysis
  • Quality controls
  • Audit Support
Texas State University San Marcos, TX Expected in 2014 BBA : Finance - GPA :
Work History
Checkout.Com - Compliance Analyst
Dallas, TX, 11/2019 - Current

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
Public Consulting Group - Operations Specialist
Oh, OH, 03/2018 - 11/2019

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
Facebook - Accounting Analyst
Mesa, AZ, 07/2015 - 04/2017
  • 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
Horace Mann Educators Corporation - Financial Advisor
Springfield, IL, 09/2014 - 04/2015
  • 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

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School Attended

  • Texas State University

Job Titles Held:

  • Compliance Analyst
  • Operations Specialist
  • Accounting Analyst
  • Financial Advisor


  • BBA

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