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Compliance Specialist Resume Example

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COMPLIANCE SPECIALIST
Summary
I have had the pleasure of working in Financial Service arena and Affordable Housing and through my endeavors have enjoyed and grown professional as a result of it. I have assisted people in my community with their finances. I have always found money fascinating and motivating to help people within. In the last 4 years I moved into Affordable housing and found it to be very rewarding type of work and a newer field that has been expanding and growing in the area.
Skills
  • Customer service-focused
  • Steward of institutional regulatory compliance
  • Excellent communicator
  • Analytical
  • Detail-oriented
  • Excellent time management
  • Sales expertise
Experience
05/2013 to Current
Compliance SpecialistHeritage Estates
  • In this position, 40% of the overall population is a part of the TCAC Affordable Program.
  • This position requires one to work independently as wells as collaboratively with other managers and sales marketers.
  • I implement and write new policy and guidelines changes when they are issued as well as marketing brochures for the program.
  • Analayzing the new guideline changes and the impact on the rents and income limits for the program.
  • Working closely with our bookkeeping department to ensure procedures are followed when increasing rents and fair housing policies are followed.
  • Qualifying new applicants for the program: verification of their income and assets and work with outside financial institutions.
  • Interwork with other departments to keep timeline of approvals needed for move-in each month and manage the 1-2 year waitlist.
  • Recertification of existing residents in the program: case load is anywhere from 10-20 each month in addition to the new applicant I am processing for the program.
  • State and Internal Audits-in the last 4 years since I have been here, we have received 100% -no findings audit form the state for each of our 3 communities.
  • I sever as a liaison between the ownership group as well as our corporate office to ensure procedures are in place and keep us compliant.
  • Section 8- I work closely with this department, advising resident of their rent rates and coordinating vouchers when they come available for our residents to receive.
  • Factoring into their existing TIC applications and rental amount.
  • Utility Credit-this is given to some of our residents in a different building and has to be monitored yearly for any increase or decrease.
  • I monitor the program and write the letters the go out to the residents as it financial impacts them.
01/2008 to 01/2013
Loan OfficerBank of America
  • I was responsible for originating and sourcing my own loans from my existing clientele as well as business partners, I worked closely with Financial Advisors, Realtors and Personal bankers in arranging business transactions for our mutual clients.
  • I always processed my own loans and worked closely with the loan center and Title Company to ensure my pull-through rate of them loans was ensured.
  • I handled about $1-2,000,000 dollar pipeline consistently which was a combination of refinance and purchase business.
  • This position taught me how to maintain and process files and manage multiple and time sensitive task all at the same time.
01/2001 to 01/2008
Client ManagerBank of America
  • I managed a portfolio of 350 clients with a banking relationship of deposit/loans/investments with the bank between $400,000-$3,000,000.
  • It was my job to grow their existing banking needs into 3 areas: Banking, Investment and Mortgage lending.
  • I had large quarterly goals in all 3 areas of loans, banking and investment plus was compensated on bringing over new business to the bank.
  • I worked very closely with Financial Advisors, Loan officers, Private Bank and Trust Services to design financial plans for our customers and their varying needs.
  • It was a long term relationship that I built with my customers not transaction oriented.
Sales Assistant/Reliastar/ING
  • Assistant to Financial Planner and Money Sense program.
  • I coordinated Financial Seminars at local Bay Areas companies, such as The Chronicle, Lucas Ranch and De Anza/Foothill Jr College.
  • I designed the seminar needs by working closely with the HR department in the details of the seminars as well as their group benefit package.
  • Assisted in running financial plans and inputting the clients financial data and setting up calendar of appointments for 50-100 clients after the seminar.
  • This program is covered Investments, Life Insurance and Estate Planning extensively.
Education and Training
AA San Jose State University CertificationDe Anza Jr College
Interests
Notary Public since 2001 Held Series 6 & 63 License
Skills
banking, bookkeeping, brochures, Credit, clientele, clients, Financial, HR, Insurance, Internal Audits, Investments, letters, marketing, Money, office, Mortgage lending, policies, sales, San, Seminars
Additional Information
  • Notary Public since 2001 Held Series 6 & 63 License
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Resume Overview

Companies Worked For:

  • Heritage Estates
  • Bank of America

School Attended

  • De Anza Jr College

Job Titles Held:

  • Compliance Specialist
  • Loan Officer
  • Client Manager
  • Sales Assistant/Reliastar/ING

Degrees

  • AA San Jose State University Certification

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