Compliance Specialist Resume Sample

These are some examples of job descriptions we have handpicked from real Compliance Specialist resumes for your reference.

Compliance Specialist

  • Assist with the development of course content and maintenance of the Learning Management System.
  • Provide monthly reports for Senior Compliance Committee.
  • Administer and trouble-shoot the BSA piece of the FIS-Prime software for anti-money laundering reporting.
  • Assist Senior Vice President, Assistant Vice President and attorneys with travel arrangements.

Compliance Specialist

  • Identify and report system defects on multiple projects simultaneously to design successful processes aimed at increased efficiency and reliability.
  • Conduct regression testing and multi-system impacts of the company’s infrastructure as needed.
  • Accountable for identifying any potential areas of improvement in processes for the benefit of the customer and investor.
  • Assist QA developers in identifying and resolving test inconsistencies for a proper audit.

Compliance Specialist

  • Maintain structure and integrity of binary organization in a multi level marketing company.
  • Provide and answer genealogy questions and compliance questions regarding the company policy and procedures.
  • Managed quality communication, customer support and product representation for each client.
  • Complete placement changes, sale and transfers, sponsorship changes and business entities per member requests.

Compliance Specialist

  • Responsible for the day-to-day management of policies, procedures, and programs associated with global immigration processing and expatriate management.
  • Manage all visa and immigration issues, leveraging internal and external relationships and governmental agencies.
  • Facilitate, coordinate and submit business visa and work visa applications to embassies and consulates.

Compliance Specialist

  • Coordinate and ensure the credit union’s overall compliance with applicable rules, regulations and statutory requirements.
  • Architect of the Compliance Management System for the company, including implementation of new processes for policy reviews, corporate wide compliance training schedule, and consumer complaints.
  • Provide assistance to management and the Board of Directors by conducting analysis, risk assessments, and recommendations, advice, and clarifications of compliance issues.
  • Assist other compliance staff on how to conduct effective research, compliance reviews, and analyses.

Compliance Specialist

  • Manage and facilitate training of administrators/central program managers and campuses on proper management of grant funds.
  • Support Program Director of SRFM with gathering the necessary information for the annual application for federal funds, and other funds, as necessary.
  • Monitor and approve expenditures to ensure alignment with campus improvement plans (CIP) and/or district improvement plan (DIP); Assure budgets support approved work scopes and Campus Improvement Plans.

Compliance Specialist

  • Assisted with the implementation and monitoring of a risk-based supervisory program to ensure compliance with federal, state agency, legal and regulatory requirements.
  • Reviewed disclosure documents, applications, and amendments guaranteeing accordance with firm and organizatioynal policies and procedures.
  • Prepared and presented presentations for staff meetings and town halls.
  • Addressed compliance-related questions and inquiries (phone and electronic) from advisors and internal staff.

Compliance Specialist

  • Assist and manage the Compliance Que to make sure the loans get audited in a timely manner.
  • Receive and audit loans to make sure they are correct and in compliance with the investors and government guidelines.
  • Examine documents such as deeds, tax certs, insurance, flood insurance, appraisals, mortgages, licenses and more to ensure compliance with lender/investor and government.

Compliance Specialist

  • Creates files for every child in care ensuring they are compliant with contracting and state standards.
  • Request documentation on a daily basis from foster parents, therapist, doctors and CPS workers.
  • Plans and manages all aspects of public/fundraising event logistics, ensuring timelines are met and budgets are adhered to.
  • Prepares materials for training seminars, public events and agency meetings.

Compliance Specialist

  • Perform one or more of the following functions: advertising review, audit, surveillance/ AML, or sales supervision.
  • Identify issues and works higher level consultants to analyze issues and assist in implementing action plans to address deficiencies.
  • Create compliance related reports for senior management and assist with site, agency or other examinations conducted by external parties.

Compliance Specialist

  • Maintain compliance with state beverage laws by filing necessary state brand registration applications.
  • Review and research any problems with brand registration preventing sales or importing.
  • Respond to compliance questions received from suppliers, distributors and internal staff.
  • Maintain database of state brand registrations and renewals, including filing procedures and instructions.

Compliance Specialist

  • Communicate with manufacturer to determine technical language for specific repairs.
  • Assist service consultants and technicians with warranty questions and procedures.
  • Research and analyze technical papers and regulations to resolve and process warranty corrections and charge-backs.
  • Write warranty requests and work with the accounting department to ensure an effective payment process.

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