compliance associate resume example with 5+ years of experience

Jessica Claire
, , 100 Montgomery St. 10th Floor (555) 432-1000,

Hardworking and reliable attorney with a successful background in regulatory compliance, program development, and suspicious activity investigations. Offering proficiency in legal research, oral and written communication, and offering client-oriented service. Highly organized, positively proactive, and focused on making a career shift to into the legal department for financial crimes.

08/2019 to Current Compliance Associate Wells Fargo | Loveland, CO,
  • Built a robust program to review loss data, exceeding Enterprise requirements, through collaboration with Control and front-line partners to aid in proactively reviewing and updating associated compliance oversight activities
  • Created and manage the New Business Initiatives program to ensure compliance participation in new initiatives, post-implementation reviews, and portfolio monitoring for all products and services in Corporate and Investment Banking
  • Drafted two desktop procedures for loss data and business initiatives to aid in the high-level education of the broader team and new team members while also providing a how-to guide
  • Participated in interviewing new candidates for the Emerging Risk team and collaborated with management on the final offer
  • Presented to and educated a team of 50 peers regarding New Business Initiatives and Loss Data to provide a broader understanding of both the Emerging Risk and Change Management teams
  • Dispositioned 5400 regulatory alerts through Thompson Reuter's Regulatory Intelligence to make proactive updates to compliance oversight activities
  • Dispositioned 1800 regulatory alerts in the Enterprise systems of record to effectively disseminate updates to Business Unit Compliance Officers regarding their compliance programs
  • Led a group of twelve peers in creating a presentation for the 50 risk units within Corporate and Investment Banking with the goal of educating new team members on relevant programs and processes during onboarding
06/2017 to 08/2019 Compliance and Operational Risk Specialist Bank Of America Corporation | Hingham, MA,
  • Successfully provided and compiled answers and supporting documentation for an OCC exam regarding the Procurement team and related oversight activities to successfully close out the exam
  • Reviewed and updated compliance coverage plans for Third-Party Risk including service agreements and other contracts to ensure compliance adherence
  • Owned and successfully implemented Operational Excellence in an effort to streamline more processes and routines and freed up two hours a week for each team member
  • Reviewed and determined applicability for over 900 regulations for Technology Compliance Operational Risk team and deactivated 700 regulations to provide a clearer focus of regulatory requirements for the team and front-line partners
  • Created 60 regulatory requirement guidebooks for all groups within the Technology Compliance and Operational Risk team to review associated policies, procedures, monitoring activities, and controls and successfully mitigated 6 gaps
  • Identified, drafted, presented, opened, and successfully closed an international compliance issue by reviewing 75 regulations for EMEA, LatAm, Canada, and APAC by engaging with international compliance partners and identified and closed three potential gaps by strengthening relevant monitoring activities
  • Organized and led a team offsite for Data Management Compliance and Operational risk to prepare for 2018 by engaging all team members to discuss their roles, current successes, and current opportunities for improvement which allow for an open forum of successful brainstorming to remediate any issues and strengthen the team for the follow year
  • Performed a Targeted Risk Assessment on all front-line units and their adherence to the Data Management standards by using the regulatory guidebooks to map front-line activities to relevant policies, procedures, and regulations which led to the Compliance and Operational Risk team to make 20 recommendations and aid in building 2 new monitoring activities and 4 controls
01/2017 to 06/2017 IT Compliance and Business Analyst Modis Professional Services | City, STATE,
  • Researched and reviewed 500 regulations related to technology compliance to determine applicability to the compliance program leading to the successful streamline of the regulatory review process
  • Created, presented, and collaborated with compliance partners on the creation of regulatory guidebooks which led to successfully remediating and presenting suggestions to front-line policies and procedures
04/2016 to 01/2017 Independent Legal Consultant Self-Employed | City, STATE,
  • Reviewed 20,000 transactions routing through an intermediary bank for potentially suspicious activity by reviewing the transaction file, creating a research file with internal and external searches and writing a business justification file which led to the proper escalation of 1 case to the banking client
  • Trained 5 new team members on the proper way to prepare the transaction, research, and narrative files for a successful review and received praise from both pod leaders
  • Reviewed internal documents for a major consumer tracking company to prepare the client for possible litigation and successfully marked 500 documents as attorney-client privilege
  • Conducted legal analysis and compliance review of a social media tracking corporation based on federal regulations and corporate policy in preparation for potential litigation and successfully redacted irrelevant information
  • Reviewed SAR filings, due diligence reviews, and internal audits in preparation for complex litigation tied to a wrongful death lawsuit
Expected in 12/2013 J.D. | Law Wake Forest University School Of Law, Winston-Salem, NC, GPA:
  • Early Graduate
Expected in 12/2010 Bachelor of Arts | Sociology Wake Forest University, Winston-salem, NC GPA:
  • Early Graduate

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Resume Overview

School Attended

  • Wake Forest University School Of Law
  • Wake Forest University

Job Titles Held:

  • Compliance Associate
  • Compliance and Operational Risk Specialist
  • IT Compliance and Business Analyst
  • Independent Legal Consultant


  • J.D.
  • Bachelor of Arts

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