compliance assistant resume example with 11+ years of experience

(555) 432-1000,
, , 100 Montgomery St. 10th Floor
Professional Summary

Fantastic critical thinker with great memory and efficiently organize vast amounts of data. Great at performing internal audits, conducting investigative reporting and transcribing information. Fantastic at problem-solving and verifying regulatory information. Proficient in field examinations and configuring driving simulators. Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals. Working in small banking has allowed me to gain knowledge in every department from entry level to CEO as I look to continue to grow in the banking industry.

  • Compliance Training
  • Office Meetings
  • Loan Approval
  • Customer Interaction
  • Electronic Filing System
  • Legal Requirements
  • Operational Efficiency
  • PowerPoint Presentations
  • Best Practices
  • Customer Experience
  • Regulatory Compliance
  • Microsoft Excel
  • Critical Thinking
  • Commercial Real Estate
  • Compliance Reporting
  • Customer Satisfaction
  • Administrative Duties
  • Compliance Assurance
  • Compliance Risk Management
  • Compliance Reviews
  • Area of Expertise Regulations
  • AML Software
  • Law and Statute Compliance
  • Compliance Issues
  • Systems Analysis
  • Time Management
Carl Albert State College Poteau, OK Expected in No Degree : Business Administration - GPA :
Howe Public Schools Howe, Expected in 05/2010 High School Diploma : - GPA :
Work History
Cargomatic - Compliance Assistant
Bentonville/Fayetteville/Northwest, AR, 08/2014 - Current
  • Scheduled and conducted evaluations of company policies, procedures and internal control structures.
  • Developed and implemented internal control tests to verify employee compliance with established policies and procedures.
  • Enhanced accountability and responsibility for compliance by allocating tasks such as assessments, mitigation, monitoring and auditing.
  • Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
  • Enhanced regulatory, strategic and operational performance to keep in alignment with deadlines.
  • Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
  • Gathered, organized and evaluated data to make accurate assessments of current operations.
  • Prepared training programs to improve compliance at all levels.
  • Improved company policies and standards to outline ethical, safe and efficient procedures.
  • Wrote and presented reports outlining findings and recommendations from compliance audits.
  • Counseled committees and department heads regarding compliance risks and standards.
  • Established and cultivated productive relationships with regulatory bodies.
  • Oversaw proper maintenance and dissemination of filing documentation as well as records and reports for review by various departments.
  • Created policies and programs to encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation.
  • Monitored data export from internal and external systems, identifying and reporting potential risks.
  • Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
Turn 14 Distribution - New Accounts Representative
Arlington, TX, 08/2014 - 06/2016
  • Keyed customer contact information and payment data into system carefully observing corporate confidentiality procedures.
  • Interviewed customers to obtain information needed for opening new accounts or renting safe-deposit boxes.
  • Applied needs-based analysis to assess current satisfaction and importance of various product features to customers.
  • Backed up teller team by handling needs of new and existing customers at main counter.
  • Identified issues, analyzed information and provided solutions to problems.
  • Resolved problems, improved operations and provided exceptional service.
  • Improved operations through consistent hard work and dedication.
Ball Corporation - System Administrator
Belgrade, MT, 01/2011 - 12/2013
  • Established network specifications and analyzed workflow, access, information and security requirements.
  • Installed important security and functionality patches to maintain optimal protections against intrusion and system reliability.
  • Worked with users to determine areas of technology in need of improved usability.
  • Oversaw file system and storage upgrades while safeguarding data integrity and redundancy.
  • Managed onboarding and offboarding of employees.
  • Supported day-to-day operations, monitoring and resolving client/server and storage issues.
  • Maintained current software licenses for computers and mobile devices.
  • Created patches and solutions to fix bugs in existing applications.
  • Delivered Tier 2 and Tier 3 support for problem identification, diagnosis and issue resolution.
  • Integrated and updated software products to boost system compatibility.
  • Tested software remotely and onsite for server sets to maintain operational readiness.

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Resume Overview

School Attended

  • Carl Albert State College
  • Howe Public Schools

Job Titles Held:

  • Compliance Assistant
  • New Accounts Representative
  • System Administrator


  • No Degree
  • High School Diploma

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