Compliance Officer Resume Example
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COMPLIANCE OFFICER
Summary
Focused Compliance Officer dedicated to maintaining company compliance with all relevant requirements. Proficient in reviewing internal controls, processes and procedures.
Experienced compliance professional familiar with developing policies, leading training programs and managing reporting. Well-coordinated and methodical with exceptional verbal and written communication skills. Seeking fast-paced position with the organization
Enthusiastic individual with superior skills in working in both team-based and independent capacities. Bringing strong work ethic and excellent organizational skills to any setting. Excited to begin new challenge with successful team.
Skills
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Experience
Compliance Officer | 04/2019 to CurrentBalyasny Asset Management - Boston , MA
- Enforced regulations by reviewing federal and state laws to confirm compliance.
- Produce CTR's, SAR's, Risk Assessments, Analytical Data Results reports detailing compliance findings and recommendations for improvements.
- Collected, input and analyzed information to make effective evaluations of company operations.
- Assessed internal documentation and communications, as well as public relations and advertising materials for compliance with company policies and legal requirements.
- Maintained and revised policy procedures for general operation of AML/BSA compliance program.
- Planned and executed compliance audits to check company policies, procedures and controls.
- Provided compliance risk control consultation to committees and leadership.
- Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines.
- Developed organizational methods and policies, implementing training initiatives to deliver ongoing awareness of and compliance with established procedures.
- Adhered to deadlines in optimizing regulatory and operational performance.
- Oversee all aspects of Bank Secrecy Act Compliance Program, Coordinate AML systems, Ensure effective compliance with all Tribal, Federal, State and Gaming regulations, Monitoring BSA, Office of Foreign Asset Control (OFAC), USA Patriot Act, and Privacy Act reports, findings and analysis, Ensuring generated reports are timely and accurate
- Implementation of the Compliance Program to ensure compliance with regulatory requirements, Report to FinCEN suspicious activities, day-to-day, tracking and monitoring cash transactions, Investigating and filing suspicious activities reports, analytics reports, Title 31 Interdepartmental Trainer,
Real Estate Agent | 10/2006 to CurrentBerkshire Hathaway Homeservices Homesale Realty Maryland - Glen Burnie , MD
- Broker: Catalina Romero, (619)763-7391, may be contacted
- Promoted property sales through advertisements, open houses and participation in multiple listing services.
- Successfully guided home buyers and sellers through sales and purchase of properties.
- Created and maintained large client base by meeting needs and delivering exceptional customer service.
- Advised prospective clients on current market activities.
- Counseled customers on market current status for residential and land markets.
- Showed building models to prospects based on expressed needs and preferences.
- Assisted clients in leasing of homes, retail and entertainment space.
- Managed and rented out rental properties.
- Ensure adherence of leases and contracts.
- Wrote contract documents, purchase agreements and closing statements.
- Showed residential properties and explained features, value and benefits of available homes.
- Negotiated, facilitated and managed real estate transactions.
- Followed up with prospects throughout sales processes.
- Advertised properties to general public via networking, brochures, ads and multiple listing services to maximize exposure.
- Communicated with owners regarding home and loan status.
Variance Analyst Specialist | 06/2004 to 01/2019Sycuan Casino - City , STATE
- Salary: $56,000 + 40 hours/week Manager: Martha Jayo, (619) 445-6002 X 1176, may be contacted.
- Auditing and Investigation of Variances incurred for the entire personnel in the casino, Data Entry of Daily Transactions, and Customer's Data, Surveillance reviews and reporting, Employees Performance Records and Reporting for Training and Disciplinary Actions, Title 31 (IRS & Fincen) daily reports auditing.
- Creating and Enforcing New Policies and Procedures, Computerized Records Systems Trainer, AML and T31 interdepartmental Trainer, SAIR and SAR's Investigation and Filing, Proper Recording of Cash Transactions, Updating Exclusion and Watch Lists.
- Watch Lists Updating, Promotional Items Recording & Auditing, Title 31 packages Auditing, Management' Assistance as needed.
Education and Training
San Diego Mesa College - - City | Associate of ScienceAdmin of Justice/Real Estate, Expected in 07/2020
Nordstrom Business College - - City | CertificateComputer And Information Sciences, 06/1996
Allied Real Estate Completed Platinum Professional Studies Completed Tax Prepared Licensed IRS Forensic Document Verifier Completed AML/BSA Trainings Completed
- Completed coursework in [Subject], [Subject] and [Subject]
UReal Estate - - City | LIcense Real Estate, 11/2008
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Resume Overview
School Attended
- San Diego Mesa College
- Nordstrom Business College
- UReal Estate
Job Titles Held:
- Compliance Officer
- Real Estate Agent
- Variance Analyst Specialist
Degrees
- San Diego Mesa College - City | Associate of Science
Nordstrom Business College - City | Certificate
UReal Estate - City | LIcense
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