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Compliance Specialist Resume Example

Resume Score: 80%

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COMPLIANCE SPECIALIST
Professional Summary
Skills
  • Compliance knowledge
  • Auditing processes
  • Information gathering
  • Federal and state regulations
  • Investigations skills
  • Industry trend assessments
  • Document review
  • Policy analysis
  • Vulnerability examination
  • Data verification
  • Performance review
  • Stocking and Replenishing
  • Product Displays
  • Product and Service Sales
  • Store Merchandising
  • Inventory Planning
  • Customer relationships
  • Money handling
  • Safety processes and procedures
  • Performance improvement
  • Inventory management
  • Order fulfillment
  • Inventory audits
  • Warehouse safety
Work History
Compliance Specialist07/2020 to Current
Carter Credit Union – Shreveport, LA

1. Review, communication, investigation, and dissemination of information concerning Bank Secrecy Act and Anti-Money Laundering programs including the required recordkeeping, processing, and filing of Currency Transaction Reports and Suspicious Activity Reports.

2. Maintain current knowledge of Bank Secrecy Act and all related AML and OFAC regulations and a current knowledge of all federal and state laws and regulations. Maintain appropriate levels of security and record keeping in accordance with operating policies, procedures, and regulations.

3. Research regulatory issues and compliance questions from staff using legal and regulatory reference materials as appropriate.

4. Assist in development, revision, implementation, monitoring, training, notices, and ongoing operation of risk related programs and procedures to comply with legislative and regulatory changes or new requirements.

5. Perform tasks and monitor data to enhance fraud and risk controls. Identify fraud activity and maintain knowledge of appropriate actions. Maintain knowledge of fraud and risk trends; be prepared to make recommendations on mitigation strategies for ongoing areas of risk or sudden fraud events. Perform tasks related to fraud recovery and recourse actions.

6. Audit, monitor, and track transactions and services as needed to identify areas of operational and compliance risk.

7. Maintain knowledge of services, accounts, and procedures to assist staff with compliance and risk related questions.

8. Conduct or coordinate account research, reviews, and monitoring including research conducted for official requests including subpoenas, search warrants, garnishments, and child support levies.

8. Monitor and perform due diligence in conjunction with vendor management program. Support all areas of operations or assist in special projects as needed.

9. Be available for support or special duties at all locations.

Customer Service Representative04/2014 to 09/2018
Defense Commissary Agency – Barksdale AFB, LA
  • Evaluated supplies and product inventory to check for quality and quantity issues and returned unacceptable materials to vendors to obtain replacements or refunds.
  • Rotated stock correctly to prevent out-of-date products and removed aging items from main shelving to build special promotional displays.
  • Maintained well-organized restocking areas to avoid blocking aisles or creating safety hazards.
  • Prepared merchandise for transfer to shelves by removing packing materials and applying identifying codes, such as price or inventory control numbers.
  • Helped customers locate desired items and transfer oversized items to vehicles.
  • Placed special customer orders for custom or special order merchandise.
  • Demonstrated strong communication skills and understanding of packing slip processing requirements.
  • Operated RF scanners to track merchandise and verify contents of containers.
  • Applied proper safety procedures in warehouse, stockroom and store and immediately informed management of safety concerns.
  • Maintained strong vendor connections, including arranging pricing and delivery structures and managing specific shipment or paperwork concerns.
  • Collaborated with backroom and receiving team, working night shifts to support inventory fulfillment goals.
Financial Sales Representative06/2003 to 06/2012
Barksdale Federal Credit Union – Bossier City, LA
  • Complied with regulatory requirements, including Bank Secrecy Act, Anti Money Laundering, OFAC, USA Patriot Act, Privacy Act and Community Reinvestment Act.
  • Originated, reviewed, processed, closed and administered customer loan proposals.
  • Assisted senior-level credit officers with complex loan applications.
  • Compiled database of loan applicants' credit histories, corporate financial statements and other financial information.
  • Recommended loan approvals and denials based on customer loan application reviews.
  • Closely monitored performance of current portfolio of specialty loans and made changes to achieve performance targets.
  • Resolved conflicts and negotiated mutually beneficial agreements between parties.
  • Upheld strict financial controls by keeping funds secure and accurately transferring monies.
  • Assisted customers with setting up or closing accounts, completing loan applications and signing up for new services.
  • Provided advice on different bank products and financial options.
  • Completed highly accurate, high-volume money counts via both manual and machine-driven approaches.
  • Completed special procedures for customers such as ordering new checks, stopping payments or investigating identity theft.
  • Monitored customer behaviors and upheld strict protocols to prevent theft of assets.
  • Promoted products or services to each customer to consistently achieve sales targets.
  • Prospected for new business through networking, community outreach and customer referral generation.
  • Trained and mentored junior banking staff to maximize performance, efficiency and compliance.
  • Opened, closed and updated accounts for customers.
  • Upheld stringent bank standards for loans, money handling and legal considerations.
Education
Bachelor of Science: Business Administration And Management06/2014Louisiana Tech University- Ruston, LA
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Resume Overview

Companies Worked For:

  • Carter Credit Union
  • Defense Commissary Agency
  • Barksdale Federal Credit Union

School Attended

  • Louisiana Tech University

Job Titles Held:

  • Compliance Specialist
  • Customer Service Representative
  • Financial Sales Representative

Degrees

  • Bachelor of Science : Business Administration And Management 06/2014

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