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Jessica Claire
, , 100 Montgomery St. 10th Floor
Home: (555) 432-1000 - Cell: - resumesample@example.com - -
Summary

Highly experienced Compliance and Regulatory professional looking to add value to an organization, with the help of my adaptability and progressive outlook, which will enhance and further implement the business key mission. As an organized, detail-orientated, and conscientious self-starter, with the ability to strategize and prioritize effectively to accomplish multiple tasks in a tight deadline driven setting, sets me apart as the ideal candidate. With over 10 years of experience in Compliance, Regulatory, & Financial Services, I possess a broad and unique skill set and knowledge base and will strive to align my professional skill set in accordance with organizational objectives. I look forward to the opportunity to join an organization where I’m able to add value and aide it in success in the industry. Accuracy-driven Compliance Officer focused on evaluating and optimizing company policies and procedures across board. Disciplined and forward-thinking with results-oriented approach. Offering [Number] years of [Industry] experience. Veteran Compliance Officer with extensive experience in auditing and compliance assessments gained during [Number]-year career in [Industry]. Collaborates well with team members, senior leaders and external parties to meet [Type] goals and optimize internal policies, [Type] procedures and regulatory compliance. Well-versed in conducting thorough assessments of operations, devising process improvement strategies and building cohesive, successful teams. Focused Compliance Officer bringing [Number] years of expertise in regulatory compliance, audit procedures, project oversight and risk management. Excellent history of delivering effective leadership and training to support staff development. Driven and strategic with an aptitude for program management. Advanced knowledge of audit methodologies, functions and compliance teams. Well-organized and detail-oriented Compliance Officer with key experience in [Type] environments. Knowledgeable about overseeing agreements, enforcing policies and optimizing procedures for dynamic requirements. Focused on maintaining consistence, quality and compliance in all areas. 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 [Company]. Focused Compliance Officer dedicated to maintaining company compliance with all relevant requirements. Proficient in reviewing internal controls, processes and procedures. Advanced skills in [Software]. Customer-focused [Job Title] with [Number] years of experience in [Area of expertise]. Expert in [Skill], [Task] and quickly verifying critical data. Adept at working closely with inspectors for efficient examinations. Analytical [Job Title] with [Number] years of experience in [Area of expertise]. Skilled at [Skill] and [Skill] with exceptional knowledge of [Area of expertise]. Trained in [Software] use and investigative techniques. Fantastic critical thinker connects seemingly separate details and keep up-to-date on [Type] regulations. Proficient in critical thinking and solutions-oriented problem-solving. [Job Title] with talent for [Task] and [Task]. Strong knowledge of [Area of expertise] and [Area of expertise]. Communicative and team-oriented with proficiency in [Software]. Proven history of fostering [Action] to meet team, individual and management objectives. Results-focused [Industry] professional with strength in [Skill], [Task] and [Task]. Proactive leader with strengths in communication and collaboration. Proficient in leveraging [Area of expertise] and [Area of expertise] knowledge to promote [Result]. Adept at managing concurrent objectives to promote efficiency and influence positive outcomes.

Skills
  • Marketing understanding
  • Trend monitoring
  • Compliance reviews
  • Risk management strategies
  • Reporting requirements
  • Controls evaluations
  • Project coordination
  • Records management expert
  • Investigative reporting
  • Employer compliance
Experience
08/2015 to Current
Senior Regulatory Compliance Associate BlackRock City, STATE,
  • Review and analyze extremely sensitive client documentation to conduct an accurate Anti Money Laundering investigation, to determine the nature and level of risk to the firm prior to onboarding the client and their assets.
  • Perform highly classified due diligence and sanctions screenings for institutional clients executing investment management agreements contracting with the firms various North America legal entities, to mitigate the firm from regulatory and financial risk.
  • Assist in the compilation of data and presentation of findings to auditors for internal and external OCC audit reviews to ensure the firm is adhering the current regulatory standards.
  • Conduct final reviews of teammates investigations for accuracy to ensure adherence to our regulatory requirements and standards, as well as serve as an SME for the team.
  • Liaison and partner with senior management, key stakeholders and project managers to identify gaps, enhance the client experience, mitigate risk, streamline operational processes, and improve efficiencies.
  • Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines.
  • Planned and executed compliance audits to check company policies, procedures and controls.
  • Maintained and revised policy procedures for general operation of compliance program.
  • 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.
  • Established working relationships with regulatory agencies.
  • Carefully maintained and circulated filing documents and records to department heads.
  • Enforced regulations by reviewing federal and state laws to confirm compliance.
  • Collected, input and analyzed information to make effective evaluations of company operations.
  • Produced [Timeframe] reports detailing compliance findings and recommendations for improvements.
  • Studied regulations to ascertain requirements and delivered necessary training to clients.
  • Provided compliance risk control consultation to committees and leadership.
  • Assessed internal documentation and communications as well as public relations and advertising materials for compliance with company policies and legal requirements.
  • Completed all assignments on time and with no infractions during examinations.
  • Closely monitored infraction tracking system for accuracy and effectiveness.
  • Documented collections amounts and status and maintained information in organizational database.
  • Enforced safety and regulatory adherence throughout client projects and training programs.
  • Tracked both internal and external data export while monitoring for security risks.
  • Compiled and analyzed detailed feedback reports to improve solicitation and collection process.
  • Facilitated adherence to safety and regulatory objectives and managed client-specific projects, training programs and personnel background checks.
  • Oversaw training initiatives, which resulted in [Number]% improvement in employee compliance.
  • Planned, implemented and led [Type] program, which produced [Result] and [Result] within [Timeframe].
  • Reviewed contracts from banks and verified corrections met regulatory requirements.
  • Supported bank clients by answering questions related to compliance and effective training and delivery of new policies and protocols.
  • Established strict culture of safety, which improved overall [Type] performance.
  • Prepared banking policy and procedures and explained all steps to appropriate personnel.
  • Analyzed securities and insurance program registration documents.
  • Conceptualized, developed and implemented [Type] system improvement initiatives.
  • Worked with small and medium enterprises to draft documents, monitor attendance and conduct audits.
  • Supported development of [Type] program, garnering [Result].
  • Reviewed bank processes, inputted [Type] revisions and coached employees on all changes.
  • Drove data accuracy in collaboration with [Type] and [Type] personnel.
  • Assessed and prioritized contributions according to amount and service.
  • Managed annual shareholder contributions and complied with procedures, policies and standards.
  • Fostered valuable shareholder relationships and administered contribution accounts.
  • Guided smaller banking institutions through integration and complex compliance changes.
04/2013 to 08/2015
Global Compliance Operations Analyst JP Morgan Chase City, STATE,
  • Monitored all North America employees trade data to ensure compliance within the firm’s personal account dealing policies and business requirements.
  • Processed employees’ pre-clearance on personal trades and private investments.
  • Tracked personal account dealing violations and issued violation notifications, in addition to escalating policy violations to regional compliance partners.
  • Reviewed and implemented control procedures for new regulations and/or requirements.
  • Maintained over a 150% monthly production average, while keeping an error ratio below 5%.
  • Performed statistical analysis to derive risk impact and recommend next steps.
  • Reported portfolio metrics, data and financial status to senior management.
  • Used Microsoft tools in Power Platform to promote information availability and improve business performance.
  • Made changes to existing systems considering cost, schedule and increased efficiency of operations.
  • Reviewed progress reports, directed problem solving programs and assessed operation outcomes and follow-on actions.
  • Collected and analyzed data to evaluate operational issues and make process improvement recommendations.
  • Compiled and presented reports on findings to senior management teams.
  • Performed quantitative and qualitative evaluations to measure effectiveness of field programs and operations.
  • Tracked project costs and status, reported on risks, and made recommendations on corrective actions.
  • Researched, analyzed, and solved revenue management questions, including forecasting and inventory.
  • Coordinated and conducted special analytical studies and projects to improve programmatic operations.
  • Designed data collection and reduction to draw conclusions from operational, notional and simulated data sets.
  • Assisted with long-range planning by recommending technological application programs.
  • Created test cases and scenarios for documentation and root cause analysis of bugs.
  • Worked successfully with diverse group of coworkers to accomplish goals and address issues related to our products and services.
  • Worked closely with team members to deliver project requirements, develop solutions and meet deadlines.
  • Prioritized and organized tasks to efficiently accomplish service goals.
  • Juggled multiple projects and tasks to ensure high quality and timely delivery.
  • Demonstrated self-reliance by meeting and exceeding workflow needs.
  • Demonstrated leadership by making improvements to work processes and helping to train others.
10/2010 to 04/2013
Investment Regulatory Analyst Capital One, ShareBuilder Investing,Inc City, STATE,
  • Engaged in holistic portfolio discussions with new and existing clients to ensure all investment transactions were in compliance with company and industry regulations, to ensure an exceptional online trading experience for customers.
  • Assisted in the development and integration of software to enhance the online experience for customers while strengthening the companies brand.
  • Provided support to the marketing team in the creation of promotions to increase customer base and companies’ revenue.
  • Maintained comprehensive knowledge of regulatory changes, while operating within FINRA, SEC and other regulatory guidelines.
  • Supervised tellers to verify compliance with both federal and local regulations.
  • Managed IT governance, risk and regulatory compliance.
  • Organized and maintained all files related to regulatory actions.
  • Answered consumer inquiries with friendly and knowledgeable support.
  • Monitored regulatory change required by new and revised laws and regulations, communicating complex protocols and determining operational impacts.
  • Managed regulatory change required by new and revised laws and regulations, communicating complex requirements and identifying operational impacts.
  • Produced and filed applications and related documentation for regulatory procedures.
  • Obtained and distributed updated information regarding domestic or international laws, guidelines and standards.
  • Evaluated [Type] operations to determine compliance with [Type] statutes.
  • Established and oversaw [Type] and [Type] regulatory procedures.
  • Determined requirements applying to treatment, storage, shipment and disposal of hazardous production-related waste.
  • Oversaw impact assessments and wrote reports outlining findings.
  • Worked successfully with diverse group of coworkers to accomplish goals and address issues related to our products and services.
  • Worked closely with team members to deliver project requirements, develop solutions and meet deadlines.
  • Prioritized and organized tasks to efficiently accomplish service goals.
  • Juggled multiple projects and tasks to ensure high quality and timely delivery.
  • Demonstrated self-reliance by meeting and exceeding workflow needs.
  • Provided excellent service and attention to customers when face-to-face or through phone conversations.
  • Demonstrated leadership by making improvements to work processes and helping to train others.
  • Improved operations by working with team members and customers to find workable solutions.
Education and Training
Expected in
Bachelors of Arts: Communications
Temple University - Philadelphia, PA,
GPA:

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Resume Overview

School Attended

  • Temple University

Job Titles Held:

  • Senior Regulatory Compliance Associate
  • Global Compliance Operations Analyst
  • Investment Regulatory Analyst

Degrees

  • Bachelors of Arts

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