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Compliance Associate Resume Example

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COMPLIANCE ASSOCIATE
Professional Summary

Versatile and highly competent Compliance professional with over 9 years of experience in the financial services industry. Analytical individual who pays strict attention to detail. Adept at formulating and drafting new processes and procedures, resolving critical issues and assessing firm-wide risk. Applicant operates with a strong sense of urgency and thrives in a fast-paced work environment. Repeatedly recognized for outstanding performance which is highlighted by advancement to increasingly critical positions.

Skills
  • Articulate oral & written communication, copywriting
  • Goal oriented and results driven
  • Creative thinker with the ability to prioritize and problem solve
  • Adaptable team player
  • Confidential
  • Risk Assessment/Risk Management
  • Marketing campaign management
  • CRM, CMS, OMS Administration
  • Proficient in Microsoft Office, Outlook, Excel, PowerPoint & Adobe Acrobat
Work History
Compliance Associate, 06/2016 to 02/2020
Company Name – City, State
  • Chiefly involved in the review of all firm advertising material, including the firm's proprietary family of mutual funds, to ensure content met the standards mandated by the Investment Advisers Act of 1940 and the Financial Industry Regulatory Authority. Member of the Investment Company Institute Advertising Compliance Advisory Committee.
  • Maintained an effective annual review compliance testing regimen ensuring compliance with standards set forth by the Securities and Exchange Commission with the goal of mitigating potential regulatory risks. Regularly worked with firm management to identify, formulate and implement risk policies, procedures and controls.
  • Initiated, developed, maintained, and revised policies and procedures as needed for the general operation of the compliance program to prevent illegal, unethical, or improper conduct.
  • Researched and co-managed the implementation and deployment of Schwab Compliance Technologies (SCT). Platform improved compliance communications across all departments.
  • Consulted and interacted with outside counsel and regulators as needed, based on the nature of the legal matter, potential opportunity or routine examination.
  • Acted as a member of the firm's branch auditing team for potential M&A candidates/RIAs.
  • Maintained a critical role in the firm's cyber security awareness testing program.
  • Mutual fund trade monitoring.
  • Created and maintained the firm's selling agreements with BD partners and independent RIAs.
Marketing, Communications & Traffic Strategist, 04/2013 to 06/2016
Company Name – City, State
  • Website and content management system administrator. Kept the firm's public website, eAdvisor Portal, multiple microsites and the firm's mobile app up-to-date and accurate.
  • Managed the firm's social media presence (Facebook, LinkedIn, Twitter and YouTube) Created, scheduled and analyzed targeted campaigns designed increase brand and product awareness.
  • Led Unique Positioning Statement copy writing efforts for high-net-worth financial advisors across the country. Crafted one-off pieces designed to differentiate financial advisors (and their practices) in a now overly saturated market. Achieved nearly a 100% approval rate.
  • Crafted, designed and deployed all firm related email campaigns. Strong working knowledge in Act-On, Distribion and Constant Contact.
  • Organized, scheduled and promoted the firm's various external facing webinar campaigns.
  • Proofed copy on print advertisements, client communications and all physical deliverables produced in-house.
  • New advisor on-boarding.
  • Researched, presented and implemented various cost savings initiatives after identifying areas of overspending.
Fulfillment & Logistics Specialist, 04/2011 to 04/2013
Company Name – City, State
  • Independently operated the firm's print media department. Production, assembly and shipping of all physical deliverables, sales material and bulk mailings to nearly 3000 financial advisors across the country. Comfortable with production print machines and the software used to run them quickly and efficiently.
  • Created income hypotheticals, portfolio analyses and introductory presentations showcasing investment vehicles for financial advisors to pitch to their high-net-worth clientele.
  • Orchestrated logistics for nationwide conference events and Focus Forum campaigns.
  • Discovered, reported and implemented simple, yethighly effective cost saving initiatives.
  • Successfully trained new members of the department after being approached with a new opportunity. Built on their individual strengths and effectively communicated the responsibilities and priorities associated with the position.
  • Maintained optimal stock levels of office and product inventory.
Education
Bachelor of Arts: Business Administration, 2010
Eastern Connecticut State University - City, State
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Resume Overview

School Attended

  • Eastern Connecticut State University

Job Titles Held:

  • Compliance Associate
  • Marketing, Communications & Traffic Strategist
  • Fulfillment & Logistics Specialist

Degrees

  • Bachelor of Arts : Business Administration , 2010

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