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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
  • Process Management
  • Compliance documentation
  • Regulatory examinations
  • Reporting skills
  • Compliance Training
  • Audit Support
  • Internal Audits
  • Research proficiency
  • Information gathering
  • Teamwork / Collaboration
    • Work History
    Compliance Analyst11/2019 to Current
    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. The Advertising Analyst is charged with reviewing the advisor's communications as it relates to FINRA Rule 2210 and finding solutions to meet the regulatory standards. The following are some of the day-to-day responsibilities:

    • Timely review and approval of material submitted with minimal supervision.
    • Proactively assist financial professionals with making advertising pieces compliant with regulatory standards and internal policies.
    • Assist in the development and management of controls, systems, procedures, files, and records as required by FINRA, SEC and state regulatory agencies.
    • Assist in developing, updating and maintaining; written supervisor procedures, training material, compliance library of approved material, and compliance issued communications.
    • Participate in the training and development of fellow Advertising Analysts.
    • Interact effectively with Kestra Financial professionals, product wholesalers, outside Broker/Dealers and Registered Investment Advisors, agents, advertising agencies and public relation firms.
    • Diplomatically communicate content concerns to financial professionals, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language.
    • Assist with training of internal personnel and field force on advertising processes, procedures, and regulations.
    • Maintain appropriate books and records pursuant regulatory requirements.
    • Assist to ensure company policies and procedures are followed.
    • Communicate questions and concerns to/from financial professionals or home office staff to other Analysts and Management.
    • File communications with FINRA for review.
    • Conduct research of regulations as needed.
    • Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.
    Operations Specialist03/2018 to 11/2019
    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
    • 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 invoiceproblems 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
    • 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
    Certifications
    • Series 7 – General Securities Representative Exam
    • Series 24 – General Securities Principal Exam
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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

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