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Compliance Officer Resume Example

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COMPLIANCE OFFICER
Professional Summary

Compliance Officer with four years of experience working collaboratively with top leaders and staff to optimize adherence to policies, code of conduct, procedures, standards, and regulations. Strong history of providing excellent team leadership and management training programs to foster staff development. Outstanding program management capabilities with advanced knowledge in supervising business lines, compliance teams and audits.

Skills
  • Administrative support
  • Employee training and development
  • Advanced MS Office Suite
  • Regulatory Compliance
  • Project Management
  • Investigations skills
  • Document review
  • Building Effective Relationships
  • Organizational Skills
Work History
Compliance Officer, 05/2016 to Current
AKSM, Ltd. – Columbus, OH
  • Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
  • Reviewed contracts for compliance and privacy-related issues.
  • Prepared training programs to improve compliance at all levels.
  • Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
  • Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
  • Maintained accuracy, completeness and security for medical records and health information.
  • Maintained excellent attendance record, consistently arriving to work on time.
  • Reviewed monthly Office Of Inspector General exclusion reports and cleared all potential matches.
  • Organized and edited training manuals, multimedia visual aids and other educational materials.
  • Conducted training courses and prepared videos for long-term use.
  • Researched and obtained relevant course materials to achieve training objectives.
  • Reviewed and edited all training materials for accuracy and company policy compliance.
  • Counseled committees and department heads regarding compliance risks and standards.
  • Created policies and programs to encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
Executive Assistant, 01/2008 to 01/2020
AKSM, Ltd. – Columbus, Ohio
  • Distributed company-wide announcements via email and mail.
  • Maintained office supplies inventory by checking stock and ordering new supplies as needed.
  • Responded to emails and other correspondence to facilitate communication and enhance business processes.
  • Interacted with vendors, contractors and professional services personnel to receive orders, direct activities and communicate instructions.
  • Produced accurate office files, updated spreadsheets and crafted presentations to support executives and boost team efficiency.
  • Handled all scheduling for CEO and CFO's calendar and prepared meeting agenda and materials.
  • Seamlessly interacted with various members of management to plan and complete special projects.
  • Created appropriate documentation for members of board and senior leadership before meetings.
  • Handled logistics, catering, agendas and travel arrangements for meeting and event planning for board of directors, president and executive vice president.
  • Worked with senior management to initiate new projects and assist in various processes.
  • Enhanced collaboration between team members by preparing meeting materials and taking clear notes to distribute to stakeholders.
  • Helped employees with day-to-day work and complex problems by applying motivational and analytical strategies.
Human Resource Coordinator, 01/2005 to 01/2008
AKSM, Ltd. – Columbus, Ohio
  • Reviewed and confirmed that all final paid hours corresponded with timesheets and state laws.
  • Sent notices to employees and subcontractors regarding expiring documentation.
  • Conducted background checks on candidates by obtaining information from law enforcement officials, previous employers and references.
  • Supported human resources staff with new hire orientations and monthly departmental meetings.
  • Researched all payroll, COBRA, disability and FMLA issues.
  • Captured key feedback from employees during exit interviews.
  • Reviewed human resources paperwork for accuracy and completeness, including verifying, collecting and correcting data.
  • Evaluated timecards for accuracy on regular and overtime hours.
  • Entered personnel and subcontractor data into central database.
  • Coordinated employment offers with management and extended offers to selected candidates.
  • Maintained company compliance with all local, state and federal laws, in addition to establishing organizational standards.
  • Reviewed and corrected job offer letters for completeness and accuracy before approving delivery.
  • Completed employee employment verifications and unemployment paperwork prior to hire or termination.
  • Explained employee compensation, benefits, schedules, working conditions and promotion opportunities.
  • Addressed and resolved general payroll-related inquires.
  • Edited job position announcements before authorizing post.
Assistant Trainer and Senior Online Banking Specialist, 01/2001 to 01/2005
National City Bank – Columbus, Ohio
  • Promoted to Online Banking Specialist in December 2002.
  • Promoted to Senior PC Sales and Service Specialist in January 2004.
  • Promoted to Assistant Trainer is May 2004.
  • Trained new personnel regarding company operations, policies and services.
  • Developed training materials and provided ongoing training to staff.
  • Built long-term, loyal customer relations by providing top-notch service and detailed order, account and service information.
  • Preserved revenue streams by utilizing strong communication and negotiation skills, offering refunds as last resort to maintain customer satisfaction.
  • Maintained up-to-date knowledge of product and service changes.
  • Assisted customers by listening closely, finding solutions to problems and making recommendations based on extensive product knowledge.
  • Investigated and resolved customer inquiries and complaints quickly.
Education
Bachelors Degree: Business Administration and Human Resource Management, 12/2004
Franklin University - Columbus, OH

GPA: 3.84, Magna Cum Laude

Certifications

Certified Professional Compliance Officer, American Academy of Professional Coders, March 2017

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Resume Overview

Companies Worked For:

  • AKSM, Ltd.
  • National City Bank

School Attended

  • Franklin University

Job Titles Held:

  • Compliance Officer
  • Executive Assistant
  • Human Resource Coordinator
  • Assistant Trainer and Senior Online Banking Specialist

Degrees

  • Bachelors Degree : Business Administration and Human Resource Management , 12/2004

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