compliance analyst resume example with 20+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
  • :

Customer-focused Representative with a proven capacity to troubleshoot issues to ensure customer satisfaction. 18 years of experience in the financial industry with a specialty in annuities and a background in sales processing. Especially effective at implementing and auditing work policies.

  • Managed high volume, high impact area while managing multiple and competing priorities.
  • Wisconsin Life Insurance license- (2000.
  • High customer service standards
  • Strong problem solving ability
  • Troubleshooting skills

Organizational Skills

Time Management

Ability to work in highly regulated environment

Compliance Analyst, 2000 - 09/2014
Autotask Corporation Rochester, NY,
  • Plan, implement and communicate streamlined work flow policies and procedures.
  • Audit field agents to ensure compliance with State regulatory agencies.
  • Monitor and review compliance records and reports.
  • Assist selling agents in various States to acquire and maintain insurance licenses and carrier appointments to sell and service annuity products.
  • Investigate and resolve licensing issues.
  • Manage high volume, high impact area.
  • System Maintenance.
  • Support Management with special projects as assigned.
Annuity Customer Service Specialist, 1999 - 2000
Byrne Dairy Stores Newark, NY,
    Procedural expert for annuity sales -Demonstrated mastery of customer service procedures and expectations.Acted as third-party liaison for insurance carriers, customers and selling agents fielding inquires regarding annuity policies and contracts in a timely and accurate fashion.
Annuity Sales Processor, 1996 - 1999
JPMorgan Chase Chase Insurance Agency City, STATE,
  • Processed, tracked and quality checked annuity business generated and submitted by licensed sales agents.
  • Communicated with sales agents on missing or inaccurate information on policies.
  • Requested needed information from sales agents to ensure timely processing of policies.
  • Performed system updates and modifications as necessary.
Assistant Store Manager, 01/1994 - 01/1996
Petrie Stores / Jean Nicole City, STATE,
  • Oversaw store operations, payroll, customer service and work schedules.
  • Supervised and trained store personnel.
  • Interviewed potential candidates for employment.
  • Supervised loss prevention measures.
Bachelor of Arts: Business Administration, Expected in 2013
San Francisco State University - San Francisco, CA
Status -

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Resume Overview

School Attended

    Job Titles Held:

    • Compliance Analyst
    • Annuity Customer Service Specialist
    • Annuity Sales Processor
    • Assistant Store Manager


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