Compliance Manager Resume Example

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CONTACT INFORMATION
  • Mr Oliver White
  • 27, Park Avenue,
  • Seattle, Washington, 19807,
  • United States
  • (555)-555-0123
  • example+oliver.white@1001sampleresumes.com
WORKING EXPERIENCE
  • Man Mayer
  • Seattle, Washington
  • December 2018 - December 2022
  • Compliance Manager
    • Reviewed and analyzed new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.
    • Conferred with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases.
    • Evaluated data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures.
    • Trained other examiners in the financial examination process.
    • Established guidelines for procedures and policies that comply with new and revised regulations and direct their implementation.

  • Nicoscape
  • Seattle, Washington
  • June 2016 - December 2018
  • Compliance Manager Assistant
    • Resolved problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
    • Evaluated data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures.
    • Conferred with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases.
    • Investigated activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
    • Reviewed and analyzed new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.

  • Jatonica Group
  • Seattle, Washington
  • December 2012 - June 2016
  • Compliance Officer
    • Investigated activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
    • Reviewed and analyzed new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.
    • Reviewed applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.
    • Verified and inspected cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.
    • Directed and participated in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants and consultants to gather information and discuss findings.

EDUCATIONAL QUALIFICATION
  • Bachelor's Degree
  • Accounting
  • Northwestern University
  • Seattle, Washington
  • September 2008 - September 2012
KEY SKILLS

  • Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
  • Understanding written sentences and paragraphs in work related documents.
  • Communicating effectively in writing as appropriate for the needs of the audience.
  • Understanding the implications of new information for both current and future problem-solving and decision-making.
  • Talking to others to convey information effectively.

QUALIFICATIONS

  • Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
  • The ability to apply general rules to specific problems to produce answers that make sense.
  • The ability to communicate information and ideas in speaking so others will understand.
  • The ability to come up with a number of ideas about a topic (the number of ideas is important, not their quality, correctness, or creativity).
  • The ability to identify and understand the speech of another person.



 


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