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compliance officer resume example with 3+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
Professional Summary

Seasoned Compliance Officer with 3 years of experience working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction.

Analytical Mortgage Loan Officer with 5+ years of experience. Deadline-oriented and mathematically adept with commitment to financial success and helping clients. Outstanding ability to align government regulations, underwriting guidelines, and customer needs with organization policies and procedures.

Enterprising Branch Manager successful in leading every facet of new and ongoing business operations. Strategic thinker and tactical decision-maker with passion for serving customers and exceeding expectations. Creative problem solver skilled at de-escalating situations and driving positive change.

Skills
  • Payment Schedule Computation
  • LexisNexis Software
  • Problem Solving
  • Corporate Financial Statements
  • Loan Feasibility Assessment
  • Income Evaluation
  • Customer Relations
  • Application Review
  • Tax Liability Calculation
  • Referral Network Development
Work History
Compliance Officer, 01/2019 to Current
YodleeSeattle, WA,
  • Managed practical action plans to respond to audit discoveries and compliance violations.
  • Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
  • Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
  • Improved company policies and standards to outline ethical, safe and efficient procedures.
  • Performed comprehensive analysis of registrations for securities and insurance programs.
  • Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
  • Enhanced accountability and responsibility for compliance by allocating tasks such as assessments, mitigation, monitoring and auditing.
  • Managed quality programs to reduce overdue compliance activities.
Mortgage Consultant, 09/2020 to Current
Fidelity D & D Bancorp, Inc.Dunmore, PA,
  • Oversaw sales and underwriting processes of mortgage lending office.
  • Reviewed loan files and updated to match current standards.
  • Worked with underwriters to fix application problems and resolve issues.
  • Explained different types of loans pertaining to client situations.
  • Implemented sales strategies that established relationships with realtors and CPAs.
  • Fielded customer complaints and provided solutions.
Mortgage Consultant, 07/2019 to 07/2020
Fidelity D & D Bancorp, Inc.Dunmore, PA,
  • Oversaw sales and underwriting processes of mortgage lending office.
  • Reviewed loan files and updated to match current standards.
  • Worked with underwriters to fix application problems and resolve issues.
  • Explained different types of loans pertaining to client situations.
  • Implemented sales strategies that established relationships with realtors and CPAs.
  • Fielded customer complaints and provided solutions.
Branch Manager, 04/2018 to 11/2018
Res-Care, Inc.Clarksburg, WV,
  • Boosted branch sales by developing and deepening customer loyalty through incentive programs.
  • Assessed expansion plans and presented costs to forecast trends and recommend changes.
  • Developed prospects for new loans though weekly cold calling.
  • Expanded territory by negotiating beneficial deals for principle product sales, distribution and service.
  • Complied with Bank Secrecy Act, Anti Money Laundering, OFAC, USA Patriot Act, Privacy Act and Community Reinvestment Act.
  • Resolved customer complaints to maintain high level of satisfaction.
  • Interviewed, hired, and developed team.
Accomplishments
  • Collaborated with team of 4 in the development of increased market share.
  • Implemented new quality assurance procedures to maximize customer satisfaction and loyalty.
  • Used Microsoft Excel to develop inventory tracking spreadsheets
  • Collaborated with team of 4 in the development of new policies, procedures, and guidelines in compliance with State of California legal requirements.
  • Received “Employee of the Quarter” service award
  • Hold National Sales Record
  • Awarded American Express Custom Solutions Centurion
  • Repeatedly commended by superiors for excellent customer service.
  • Supervised team of 30 staff members.
  • Collaborated with team of 6 in the development of Sales Training.
Education
Bachelor of Science: Accounting And Business Management, Expected in 04/2013 to University of Phoenix - Tempe, AZ
GPA:
Transferred Credits To University: General Education , Expected in 2013 to Sacramento City College - Sacramento, CA
GPA:
GED: , Expected in 2010 to Sacramento Unified School District - Sacramento California,
GPA:
Affiliations

National Association of Underwriters

Sacramento Association of Realtors

Sacramento Young Professional Network

Mid Town Rotary

Salvation Army


Certifications
  • Certified Masters in Teleservice, First Union Bank
  • Certified Associate in Teleservice, First Union Bank
  • Certified Master Underwriter, National Association of Underwriters
  • Certified FHA Loan Originator, FHA
  • Certified Correspondent Lender, GMAC Bank
  • Certified CalFHA loan Originator, FHA
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Resume Overview

School Attended

  • University of Phoenix
  • Sacramento City College
  • Sacramento Unified School District

Job Titles Held:

  • Compliance Officer
  • Mortgage Consultant
  • Mortgage Consultant
  • Branch Manager

Degrees

  • Bachelor of Science
  • Transferred Credits To University
  • GED

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