Compliance Specialists are responsible for ensuring that government regulations are met with regard to the sale of certain goods. This includes performing audits along with conducting investigations, compiling reports, and giving recommendations or advice on how to best avoid future violations. The top skills for this position are research, customer service, communication, technology, time management, organization, and attention to detail. A bachelor’s degree in business administration is needed for this position; most positions require accounting experience as well.
The Best Compliance Specialist Resume Samples
These are some examples of accomplishments we have handpicked from real Compliance Specialist resumes for your reference.
- Assist with the development of course content and maintenance of the Learning Management System.
- Provide monthly reports for the Senior Compliance Committee.
- Administer and troubleshoot 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.
- Completed and documented required client reporting schedules.
- 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.
- Prepared consolidated, condensed, and detailed reports for management review meetings.
- Maintain structure and integrity of the 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.
- Provided daily and weekly updates on client’s industry news from trade publications and the Internet.
- 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.
- Evaluation of the current state of the company, identification of problems, gaps in procedures that could lead to compliance issues.
- Improvement to compliance processes due to a proactive approach to compliance monitoring.
- 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, recommendations, advice, and clarifications of compliance issues.
- Assist other compliance staff on how to conduct effective research, compliance reviews, and analyses.
- Identified new opportunities for improving business relationships with clients while actively enhancing accounting systems through various adjustments (bookings and billing).
- 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 plans (DIP); Assure budgets support approved work scopes and Campus Improvement Plans.
- Increase in sales by $100K per quarter as a result of providing better communication with clients through effective audits using technology as well as personal visits.
- Performed data analysis for Business Strategy Development Committee; performed data manipulation for research into the inter-departmental analysis.
- 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 organizational 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.
- Researched and presented results from Questionnaires to more than 80 department heads and managers.
- 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.
- Developed business plans for seven public companies over three years.
- Researched market environment, competitive strategy, and trends in key sectors of the economy through an analysis of thousands of hours of audio and video material.
- 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, therapists, 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.
- Compiled reports from 10 different research firms on the diffusion process of a variety of new products, services, and technologies into the marketplace.
- 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.
- Developed process for the transfer of title of properties from one owner to the next.
- Identified and helped resolve concerns with compliance issues that arose within several small business entities.
- 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.
- Solved issues pertaining to taxation, inventory, and accounting matters at various levels of branch locations in a multi-state company.
- Communicate with the manufacturer to determine the 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.
- Redirected operational problems when they had a negative effect on future business operations.
Resumes are a crucial aspect of any job search. In order to make a good first impression, it is important that your resume be formatted and written professionally.
Hope these samples gave you an idea of what your resume should look like and some tips on how to make sure that your resume stands out from the rest.