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Risk and Compliance Officer, Associate Resume Example

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RISK AND COMPLIANCE OFFICER, ASSOCIATE
Summary

Talented and detail-oriented Risk and Compliance Officer with the necessary experience in complex environments. Knowledgeable about overseeing agreements, enforcing policies, and optimizing procedures for dynamic requirements. Focused on maintaining consistency, quality, and compliance in all areas. Experienced in reviewing financial statements, recommending enhancements, and monitoring ongoing activities.

CORE COMPETENCIES AND ACHIEVEMENTS

  • Leadership and Management. Provide strategic counsel to the senior leadership team. Continuously sought after for input by other department leaders and employees. Recognized for mentoring and training new employees in complex operational roles.
  • Communication. Cross-cultural work experience; effective communicator, able to prepare diverse, global communications with cultural sensitivity and emotional intelligence. Successfully present risk, compliance, and operations monitoring and audit results to senior leaders organization-wide.
  • Creativity and Innovation. Proactively produce and implement unique ideas/solutions for problem-solving and competitive edge.
  • Project Management. Exceptional ability to manage all aspects of projects from ideation to completion and beyond. Consistently delivered quality projects on time and ensured deadlines were met repeatedly.
  • Account Management and Business Development. Successfully maintain and develop existing client relationships and create new relationships with prospective clients. Established and maintained positive working relationships with multiple clients and vendors, leading to business development.
  • Analysis and Budgeting. Accurate, reliable, and diligent, committed to fact-based claims.
Skills
  • Leadership
  • Consumer banking
  • Analytical skills
  • Risk
  • Compliance
  • Operations
  • Investigative skills
  • Leading audits
  • Regulatory compliance oversight
  • Audit oversight
  • Data evaluation
  • Risk reviews
  • Process development
  • Document analysis
  • Regulatory documentation
  • Problem resolution
  • Planning
  • Conflict resolution
  • Customer service
  • Training & Development
Experience
Risk and Compliance Officer, Associate|Company Name - City, State|02/2019 - Current
  • Successfully oversee entire compliance and operational risk testing.
  • Maintain and revise policy procedures for the general operation of compliance program. Serve as an expert for internal teams when escalating issues.
  • Assess internal documentation and communications and public relations and advertising materials for compliance with company policies and legal requirements.
  • Plan and execute compliance audits to check company policies, procedures, and controls.
  • Work in collaboration with internal control teams, including Audit, Risk and Compliance, and Legal pursuing organizational alignment.
  • Conduct complete qualitative data analysis.
  • Present outcomes, solutions, and recommendations to the senior leadership team.
  • Conduct risk assessment to identify and control environmental and safety risks to reduce injuries and costs to the organization.
  • Mitigate regulatory risks by obtaining documents, clearances, certificates, and approvals from local, state, and federal agencies.
  • Perform statistical analyses to identify trends, variations, patterns, and insights.
Administration CWM OPS |Company Name - City, State|09/2018 - 02/2019
  • Managed scheduling for staff, monitoring resource allocation to provide optimal coverage and service.
  • Oversaw unique event calendars for senior executives, factoring in availability and expected operational demands to keep workloads in balance.
  • Planned and managed internal and external meetings, handling conference rooms for training and town halls and budgeting process.
  • Wrote email messages, memos, and business letters for management and proofread all documentation to provide error-free correspondence.
  • Guided administrative and professional staff through computer and software problems. In charge of IT, inventory, and guaranteed update of GREDL Application.
  • Liaised between internal and external stakeholders to provide updated project status and performance reports.
  • Handled employee onboarding and offboarding activities, including equipment set up, system access, and U4 registration submittal success.
  • Supported employees on career development, granting applicable licenses.
Operations Analyst-ATM Hardware Vendor Escalations|Company Name - City, State|02/2017 - 09/2018
  • Successfully oversaw and tracked solution of received ATM and eATM escalation including Executive (Executive Office and FSD), Branch/District, Needs Attention (Social Media, pre-escalation upgrades) from various sources throughout different business units for entire Chase ATM and eATM Fleet exceeding 16K+ units.
  • Drove customer escalations to resolution by engaging directly with clients. Managed data across applications such as Gasper, Eagle, and TI.
  • Performed documentation of problems, formulated data and diagnosed applicable root causes. Implemented solutions for problem resolution.
  • Served as an advisor to branch employees, leaders, and vendors.
  • Provided complete quality control and eliminated downtime to maximize revenue.
  • Handled daily checkpoints, tracked progress with branches, monitored systems across applications, and written oral executive communication.
  • Evaluated customer account information to assess current issues and determine potential solutions.
Operations Specialist|Company Name - City, State|10/2008 - 02/2017
  • Completed comprehensive tasks by implementing customer service initiatives, audits, and keeping records on accounts while complying with regulatory requirements such as Bank Secrecy Act, Anti Money Laundering, OFAC, USA Patriot Act, and Privacy and the Community Reinvestment Act.
  • Liaised between bank branches regarding best practices and operations.
  • Coordinated staffing and schedule of all branch locations, ensuring optimum coverage, achieving an overall satisfactory rating in all categories of branch operations on annual reviews.
  • Fulfilled diverse duties to provide customer service, operate money counters, balance and replenish ATMs, maintain accounts and open new accounts.
  • Conducted cash audits of all branches monthly and quarterly.
Education and Training
Texas Woman's University|City, StateGeneral Studies

54 credit hours completed and Dean's list.

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Resume Overview

School Attended

  • Texas Woman's University

Job Titles Held:

  • Risk and Compliance Officer, Associate
  • Administration CWM OPS
  • Operations Analyst-ATM Hardware Vendor Escalations
  • Operations Specialist

Degrees

  • General Studies

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