Compliance Analyst Resume Example

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

• 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

• 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