Compliance Analyst Resume Examples
- Conceptualized and oversaw implementation of data tracking process within consumer complaints
- Worked independently to research, analyze, and develop strategies for reducing customer irritants
- Lead monthly presentation on team findings to senior management
- Worked with various business partners, including Legal Dept., in order to identify process improvement opportunities and expedite remediation – achieving 6% decrease in overall consumer complaints
- Demonstrated innovative and realistic problem solving skills while utilizing expertise in regulatory guidelines
- Partner with first line of defense to implement and maintain an effective regulatory compliance program for the organization.
- Lead, design and implement programs, policies and procedures to ensure compliance with federal, state and local regulatory requirements.
- Provide the annual compliance risk assessments to assess process risk and strength of operational controls. Identify weak controls and collaborate with partners to prioritize, develop and implement measures to strengthen the compliance program.
- Provide regulatory risk and compliance guidance on process improvement and customer experience enhancement initiatives.
- Collaborate with relevant stakeholders globally to ensure identification of root cause, seamless resolution and remediation of process and system breakdowns. Drive development and implementation of effective solutions to prevent re-occurrences.
- Foster a culture of compliance in the organization by ensuring awareness of compliance and data privacy requirements for new and existing employees.
- Engage with internal testing and audit functions to understand compliance issues and defects. Partner with business to prepare action plans and responses, and ensure effective governance around the deliverables.
- Bi-Annually conducting Regulatory Compliance Survey to our Global Vendors, in order to make them ascertain that the Parts sold to us meet the continuously updated Regulatory Standards.
- Prime regulations worked upon are European REACh (Registration, Evaluation, Authorization & restriction of Chemicals), SVHC (Substances of Very High Concern), China & European RoHS (Restriction of Hazardous Substances), WEEE (Waste Electrical & Electronic Equipment directive), CA Prop 65 (California Proposition 65), Heavy Metals, Biocidal Product Regulations, Asbestos, Halogens, Radioactive Substances, ODS (Ozone Depleting Substances), PAHs (Polycyclic Aromatic Hydrocarbons), POP (Persistent Organic Pollutants), Full Material Declaration (FMD), Part Weight, MSDS (Material Safety Datasheets).
- Deciding the Regulatory Compliance status of Products from Regulatory Response of Vendors, which, maybe in the form of Full Material Declaration (FMD) or other Regulatory Document formats.
- Evaluating the Regulatory Compliance of Products by examining their BoM (Bill of Materials) and interpreting the Manufacturing Structure as well as its Chemical Composition & Component Parts type.
- Executing SAP MM T-Codes (Transaction Codes).
- Reviewing available Part information in SAP via Display Material T-Code.
- Exploring for Alternate Parts through Stock/Requirements List T-Code, if, we get the Lifecycle status of Part as Obsolete.
- Responsible for monitoring whether the United States of America has complied with commitments made at the Biarritz G7 summit in the specific field of Development & STEM/Women’s Education.
- Compiling my findings into a summarized report following writing and citation standards established by the G7 Research Group, which is then published as part of a broader compliance report.
- Participate in external examinations and reviews by regulators and coordinate sharing of accurate, complete information.
- Investigate complaints received from customers and regulators to assess infraction of regulatory, company policy and code of conduct requirement, and partner with business to implement solutions.
- Risk Analysis, Risk Mitigation and Compliance.
- Anti Money Laundering Remediation of Business Banking Group
- Experienced in AML Research tools such as , Lexus Nexus, ,Enterprise Case Manager,Secretary of State Website.
- Received Spot Award for Quality and Performance
- Error analysis of site for being a ‘Green-lit’ Analyst with maximum quality
- Performed compliance testing results of all business units with the respective regulations, client contracts and operational adherence’s
- Performed compliance check for the vendor management team with regards to due diligence reports, OFAC check, Evaluation of W9 forms, CFPB check, and BBB check
- Worked closely with Compliance Managers from different Business Areas and identified the risks and their severity
- Prepared details reports stating the effectiveness of compliance controls to determine whether the risk controls are operating as intended and published these reports to the Board of Directors, Executive Management and the BU
- Perform loan level due diligence reviews on residential loan pool acquisitions by; reviewing historical notes from servicing, to determine the current status of an asset to identify adverse findings and recommend potential drops.
- Consistently review third party services (valuation, fraud, compliance) to provide valuable input for loan decisions.
- Create detailed chronology report of events that lead to untimely claim submission by interviewing third party. Compile data and calculate timeframes of financial and legal document submission.
- Complied with regulatory requirements, including the Bank Secrecy Act, Anti Money Laundering, OFAC, USA Patriot Act, and HMDA
- Monitoring and surveillance of investment guidelines in Bloomberg AIM and Compliance checklists
- Post trade monitoring of investment guidelines and follow up on breaches identified
- Maintain compliance records, register and files
- Proactively enhance knowledge of new and changing regulations and industry best practices through self-education and by actively engaging with industry peers and associations.
- Collect, analyze, and process data for timely completion and filing of sales/use tax returns.
- Process tax returns and filings for assigned clients.
- Complete month end reporting.
- Maintained a professional relationship with clients.
- Supported Compliance with Regulatory requirements required by the US Patriot Act article 326 for the Seller Identification Program (SIP) by researching and analysing with documentary or non-documentary means.
- Work responsibilities include OFAC Sanctions Screening, Contract retention and documentation, PEP and Adverse News Screening, and KYC due diligence.
- Displaying/Exploding Parts BoM by applying T-Code.
- Seeking Vendor information for Parts by Vendor Pricing Report T-Code.
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