Compliance Analyst CV template 1, risk, officer, monitoring, customs, senior, skills, sample

Maxine Corry
Dayjob Limited
The Big Peg
120 Vyse Street
Birmingham B18 6NF
England
T: 0044 123 456 7890
E: info@dayjob.com

PERSONAL SUMMARY

Maxine is an expert at researching compliance issues and developing policies and procedures based on her findings. She can analyse existing procedures to identify gaps, inconsistencies or conflicts and take appropriate action to address them. As a true professional she possesses the analytical and curious mindset needed to ask insightful questions. Additionally, she can apply critical thinking to identify new ideas on how to do things better and safer. Through her career she has gained extensive experience of and a demonstrated interest in the Financial Services Sector. She has gained awareness of the Generally Accepted Accounting Principles, Financial modelling and Investment Appraisals. On a personal level she can communicate ideas and questions effectively and is comfortable interacting with senior decision makers. Right now, she would like to join a company that sets high standards for itself and its employees.

CAREER HISTORY

COMPLIANCE ANALYST – Start Date – Present
Employers name – Location
Responsible for monitoring and managing the portfolio of existing investments to ensure their compliance with all relevant regulations.

Duties;

Writing up compliance policies, procedures, and related documentation.
Producing detailed reports on compliance related issues for senior managers and colleagues.
Ensuring that the same organizational standards are being followed throughout the organization in terms of compliance.
Keeping up to date with, and understanding, relevant laws and regulations.
Resolving managerial and employee concerns about legal compliance.
Keeping other departments like the legal, human resources and finance ones updated on their regulatory requirements.
Applying for compliance certification and regulatory approval.
Adapting to new challenges in a dynamic context with shifting priorities.
Coordinating with the legal and finance department.
Conducting short notice compliance audits.
Training employees on all relevant industry standards.
Juggling a number of projects at one time.
Writing up accurate and fact-filled reports and presenting them to the company executives.

JOB TITLE – Start Date – End Date
Employers name – Location

KEY SKILLS AND COMPETENCIES

Professional

In-depth knowledge of industry compliance requirements and standards.
Adapting to a rapidly changing business and technical environment.
Ability to work both independently and in a team environment.
Excellent understanding of financial statements and accounting.
Ability to draft policies and procedures with practical approach.
Maintain a good relationship with the regulators and regulatory bodies.
Capability to manage and make progress against multiple simultaneous demands in short time frames.

Personal

Self-motivated and able to work effectively within a team
A desire to further develop and to undertake relevant examinations.
Prepared to take full personal ownership for the timely delivery of results.

AREAS OF EXPERTISE

Compliance registers
Special investigations
Documenting processes
Financial models

ACADEMIC QUALIFICATIONS

University name – Degree details              Study Dates
College name      – Qualifications                Study Dates
School name       – Subjects / Grades         Study Dates

REFERENCES

Available on request.

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