Compliance Officer Resume Examples
- Oversaw and monitored violation tracking system for accuracy, which reduced Money Laundering issues by more than 60%
- Played key role in development and launch of Compliance in AMLATFA, providing research and development of training requirements and securing approval for implementation
- Managed quality programs to reduce overdue compliance activities
- Analyzed client bank processes and provided coaching for compliance and heightened efficiency
- Drove system improvement efforts from concept to completion while strategically managing outside vendors
- Oversaw federal examinations and worked directly with federal and state examiners
- Improved collection process via solicitation and analysis of feedback as well as detailed reporting
- Provide social workers with pertinent information gathered during applicant interviews.
- Respond to requests for information from the public, other municipalities, state officials, or state and federal legislative offices.Perform general office duties, such as taking or transcribing dictation, typing or proofreading correspondence, distributing or filing official forms, or scheduling appointments.
- Established and cultivated productive relationships with regulatory bodies
- Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies
- Appointing nurses for NHS (UK)
- Handling documentation work (RPO)
- Achieve targets
- Customer handling
- i conduct inspections to ensure that the provisions of the national road traffic Act are complied with.
- we mainly conduct this inspection on Driving licence testing center and Vehicle testing station.
- Comprehensive crime scene investigation and management expertise gained during my tenure as an Investigator with the Department of community safety ; managed case assignments, gathered and preserved evidence, arranged interviews with sources and witnesses, reviewed public databases, and communicated with local law enforcement agencies as well as when necessary.
- Achieved a reputation for thoroughness, efficiency, and the ability to quickly build rapport with individuals from diverse backgrounds and situations.
- Diversity management (Good understanding and relation with different people) Conflict management ( getting good results out of conflict)
- Interpersonal relations ( having good relationship with colleagues)
- Emotional intelligence ( Able to control my emotions over different situations)
- Provided risk analysis and compliance guidance to ensure business processes, procedures, products and systems were in compliance with applicable state and federal regulations, licensing requirements and internal policies.
- Developed, implemented and managed all aspects of the company’s Compliance Program that included monitoring, self-assessment, executive reporting, developing and maintaining compliance policies and training as well corrective action follow-up.
- Developed and presented regulatory compliance training for employees and external partners.
- Managed all regulatory examinations and follow-up as necessary.
- Ensuring that all the necessary Sacco data required for the analysis of the Sacco performance are captured
- Guiding Sacco societies on the upload of the monthly returns and make follow ups in instances where Saccos face challenges
- Advising the portfolio head on the timely submission of prudential returns, annual accounts and auditors’ management letters from Sacco societies under your portfolio.
- Evaluating the accuracy of returns and generate report detailing the level of compliance/non- compliance.
- Reviewing incidents of non-compliance where there appears to be failures to meet regulatory requirements and recommend for enforcement actions
- Drive mobile intensive care unit to the specified location, following instructions from emergency medical dispatcher.
- Prepare statistical reports, narrative reports, or graphic presentations of information,
- Direct, supervise and evaluate work activities of Paramedics, emergency technicians, clerical staff, and other personnel.
- Conduct and administer daily operations, including ng, planning budgets, authorizing expenditures, establishing rates for services, and coordinating financial reporting.
- Review and analyze facility activities and data to aid planning and provide risk management to improve service utilization.
- Maintain awareness of advances in medicine, computerized diagnostic and treatment equipment, data processing technology, and government regulations.
- Consult with medical, business, and community groups to discuss service problems, respond to community needs, enhance public relations.
- Managing an effective compliance program including monitoring, training and developing effective policies and procedures to ensure that the bank achieves optimum compliance with applicable laws with minimal risk.
- Managing compliance and Mortgage Quality Control personnel.
- Informing and advising senior management regarding proposed, pending and new regulatory changes applicable to the Bank.
- Writing and updating a compliance manual, and various training presentations on regulatory compliance issues.
- Monitored compliance with processes, policies, procedures and standards in regard to open a bank account for an organization, NGO, NPO and Politically exposed Person.
- Performed detailed analysis on NGOs, NPOs and Politically Exposed Peron and gather all required and relevant documents to open a bank account.
- Conducted Google Searches, World Check and other relevant searches in order to get whether a person or a company is involve in Money Laundering.
- Counseled committees and department heads regarding compliance risks and standards
- Draft new policies/procedures as they become required either by the law or the College.
- Format all policies and procedures into the new College format.
- Ensure correct Logo, address details and CRICOS information exist on all policies and procedures
- Ensure policies comply with all relevant legislation, regulations, and standards within the overseas education sector.
- Communicate and interpret policies/procedures to the College and ensure they are implemented.
- Ensure policies/procedures are workable documents consistent with the operational requirements of the College
- Encourage and gather feedback (which then results in in-depth working knowledge of the policies by staff) on the policies and their practical application in the workplace.
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