Compliance Analyst Resume Examples and Templates

Compliance Analyst

• Assess specialty investigations in financial fraud and digital security by conducting parallel investigations and to also evaluate the client's tools effectiveness and provide actionable feedback.
• Partner close with the client teams, ensuring their geographical and cultural characteristics are taken into account during the investigative processes.
• Work independently while routinely presenting findings and conclusions through forms, internal tools and debrief meetings.
• Successfully complete training with the client on a periodic basis, staying updated with changes in regulation, law, ongoing legal disputes, partner relationships and procedures, relevant political environment and changes in procedure.

Senior Compliance Analyst

• Acting as primary point of contact for any Compliance related queries for XYZ.
• Assist with regulatory audit, internal audits and clearing any identified exceptions.
• Perform sanctions screening and investigations as required.
• Perform client risk assessments.
• Sign-off on client files, client onboarding, CDD, and trigger events
• Conducting ad hoc compliance projects.
• Maintaining the Compliance Registers and Monitoring Program for XYZ.
• Advising the Business Acceptance Committee on new business.
• Ensure that all activities of the organization comply with the rules and regulations governing the industry.
• Providing guidance on regulatory requirements internally and externally.

Risk and Compliance Analyst

• Collaborating with Business Analysts, Investment Managers and Legal Counsel to gather necessary information for drafting compliance reports.
• Preparing compliance plan reports and sharing details with internal and external auditors on Groupwide compliance plan items.
• Maintaining a record of all pertinent APRA standards, ASIC guidelines, and enforceable undertakings, and ensuring compliance with these requirements through regular testing.
• Participating in the compilation and review of Product Disclosure Statements (PDS), as well as taking minutes and providing written summaries for PDS meetings with in-house specialists.

Compliance Analyst

• Perform Due Diligence research on client.
• Provide a detailed report summarizing findings of individual client review.
• Determine if Clients were conducting suspicious activity by analyzing the client's transactions which includes deposits, domestic, foreign wires, and account transfers.

Compliance Analyst

• Training/Coaching of new team members
• Project Documentation Control
• Assist Managers to stay compliant with regulations in documentation process throughout each project life-cycle

IT Compliance Analyst

• Worked with all departments to select and deploy controls to meet specific security requirements, and defined processes and standards to ensure that security configurations are maintained.
• Liased with and managed evidence gathering process for SOX and PCI auditors.
• Assisted in the coordination and completion of information security operations documentations.
• Recommended and implemented security policies and procedures as a result of in depth research of potential harmful threats to the organizations IT infrastructure.
• Influenced and collaborated with system and application owners to address and correct security vulnerabilities found in vulnerability scans and penetration tests.
• Worked closely with the members of IT and the business to facilitate audit requests (customer, internal audit, and regulatory), defined security processes and standards, and promoted security awareness.

Compliance Analyst

• Recognized by global all hands meeting for doing SOP revamp, finding out error and confusion in procedures from smooth flow of work.
• Identifying error  and providing solutions.
• Acting as a training specialist by training team members and taking skill development sessions.

Compliance Analyst

• Assisted Compliance management with due diligence on regulatory changes to determine actionability plan for compliance.
• Performed data analysis using SQL, Excel, and statistical modeling to track and trend compliance metrics and data privacy legislation.
• Executed risk assessments to identify key compliance and fraud risks, then mitigated risks through applicable controls and compliance audits.
• Stayed current with changes to applicable banking regulations and standards for major entities and assessed their impact to business units, products, and processes.