Compliance Senior Analyst Resume Sample
Shyanne Stehr
87893 Demario Glens,
Houston,
TX
+1 (555) 360 7718
Work Experience
Compliance Senior Analyst
01/2017
-
PRESENT
New York, NY
- Provides a forward vision to identify best practices and opportunities for improvement in both the remit of the role and the reporting on the applications the role oversees.
- Well defined analytical and problem solving skills to conduct effective report analysis so that key issues and variances to norm are properly identified and effective solutions are suggested. Uses reporting effectively to identify issues for solution or areas for improvement as well as to escalate findings to management on those issues that have wider impact
- Strong interpersonal skills to adapt personal communication styles to the style of others, developing rapport across a globally diverse organization across IT. Able to staying calm under pressure, balance multiple projects effectively and to build and maintain SOS’s credibility in technical support
- Working knowledge of databases and data elements inclusive of Structured Query Language (SQL) as a component of database communication protocol to create technical controls as well as recognize the impact of identified variances to the overall operational readiness of IT Services to EY’s businesses
- Takes a proactive role in building knowledge of EY’s global security policies and compliance directives with specific focus on those aligned to the assigned component of the infrastructure environment under formal review by the role in its remit
- Assist with coordination and tracking of all IT Controls & Compliance activities as directed by the IT Controls & Compliance Manager (i.e. Internal Controls testing, external audit, etc.)
- Coordinate the semi-annual Developer Access Review
- Assist in driving the implementation and execution of key controls in our processes, ensuring that our accounting/operational processes are in compliance with GAAP, Cargill’s policies and procedures, and all applicable laws and regulations
Accounting Policy & Compliance Senior Analyst
10/2013
-
07/2016
Boston, MA
- Build strong partnerships with business partners and collaborate on financial reconciliations and problem solving across various teams including COE’s., FSS/CBS locations, and across businesses
- Support efforts to provide tighter oversight to CDD and similar projects where the Policy and Standards takes on increased ownership
- Support day to day functioning of the Global KYC Policy team including OCC-re-plan effort and the expanding Policy and Standards Subcommittee’s oversight of policy and standards implementation
- Assist with managing the Country Variance Reference Guide
- Assist with raising awareness of the OneKYC Program to AML Compliance and Business across regions
- Support Global KYC Program related work streams and initiatives related to KYC
- Assist with projects, research, and drafting materials as required
- Organize and conduct benchmarking exercises including cross-industry research, summarizing findings, creating presentations and tracking and following up on submission gaps
- Assist with various projects by creating project and communication plans, identifying and managing stakeholders, escalating issues
Risk & Compliance Senior Analyst
04/2011
-
06/2013
Philadelphia, PA
- Support various reporting efforts by organizing data and producing analytics and metrics to show implementation trends
- Support Managers’ Control Assessment (MCA) and other oversight assessment efforts
- Provide KYC policy advice to the various businesses as well as other Compliance colleagues
- Maintain KYC Forms for the sixteen client types, reassessing form requirements at least once per annum
- Assist with the management of policy gaps, including maintenance and publication of ICC/IP trackers and flipbooks
- Assist with the Policy pipeline
- Assist with follow-ups on submissions/action items from the Business
- AML/Compliance relevant experience
- Technical: Proficiency with Excel and SharePoint 2010/2013, PowerPoint, OneNote required
Education
Warren National University
2006 - 2011
Bachelor's Degree in Computer Science
Professional Skills
- Planning, prioritization, and multitasking skills
- Solid technology skills including Excel and PowerPoint including experience with creating data analysis
- Strong written and verbal communication skills (including presentations) and the ability to drive execution in a team environment
- The ability to interpret complex verbal information, with strong communication skills, both written and verbal
- Intermediate/strong Microsoft Office skills – Outlook, Excel and Word
- Strong team work, leadership and Good negotiation skills
- Strong compliance and assurance skills
How to write Compliance Senior Analyst Resume
Compliance Senior Analyst role is responsible for interpersonal, leadership, excel, compliance, reporting, analysis, security, technology, finance, credit.
To write great resume for compliance senior analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Senior Analyst Resume
The section contact information is important in your compliance senior analyst resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Compliance Senior Analyst Resume
The section work experience is an essential part of your compliance senior analyst resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous compliance senior analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance senior analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Senior Analyst resume experience can include:
- Excellent communication and interpersonal skills to interact in the Company at all levels
- Good interpersonal, as well as both oral and written communication skills
- Experience in SOX & Internal Audit experience, including lead senior/manager responsibilities
- Effectively work with new and changing situations
- Two (2) years contract, audit or accounting experience
- Experience in performing security risk management, analysis and assessments
Education on a Compliance Senior Analyst Resume
Make sure to make education a priority on your compliance senior analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance senior analyst experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Compliance Senior Analyst Resume
When listing skills on your compliance senior analyst resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical compliance senior analyst skills:
- Strong Communication / Presentation / Informing with good evidence of influencing stakeholders
- Proven experience in solving complex reconciliations and driving sustainable processes to reduce reoccurring issues
- Strong working knowledge and experience in SAP/GTS
- Skills with general computer controls and standards such as NIST800-53, Publication 1075, HIPPAA/HITECH, CJIS, etc
- Understanding and experience working with JDE and/or SAP
- An in-depth/detailed understanding and experience using & reporting metrics from Merck’s CMDB Remedy system and reporting structure
List of Typical Experience For a Compliance Senior Analyst Resume
1
Experience For Accounting Policy & Compliance Senior Analyst Resume
- Are our defensive measures operating effectively?
- Proficiency in written and oral communication skills
- Big 4 Accounting Experience
- Work experience in Finance/Accounting/Internal controls/Audit
- Proven ability to quickly produce documents/presentations or evaluate/produce metrics
- Experience with controls/compliance
2
Experience For IT Compliance Senior Analyst Resume
- Understanding of logistics and trade compliance documents
- Attend the Board Advertising Review weekly meeting in order to analyse each advertising/marketing communications from a Compliance perspective
- Knowledge and responsibility for the DT Corporate framework, including testing and or reviewing entity level controls, corporate controls, tax controls
- Assists in preparing and tracking action plans to solved issues. Follow up its status with responsible to ensure the implementation
- Assist as a Senior SOX PMO Analyst, including status for SOX Compliance Reporting to the IAS Manager in North America
- A lead in SOX scoping efforts, including numerous communications with the external audit team
3
Experience For Risk & Compliance Senior Analyst Resume
- Assists leadership with change management relating to processes and reporting
- Supports process improvement efforts by analyzing and presenting data
- Prudential – covers CASS, Transaction Reporting, Depositor Protection and various other Regulatory reviews
- Prepares working papers to document compliance steps performed and results
- Continuously assess, propose and design implementation of internal efficiencies through state of the art tools, auditing techniques, and standards
- General accounting activities
- Build and maintain the controls matrix, in alignment with multiple compliance frameworks, including SOC 2, ISO 27001, FedRAMP and HIPAA
- Knowledge of the banking industry, securities industry and current regulatory requirements
4
Experience For Trade Compliance Senior Analyst Resume
- Able to thrive in a fast paced environment while completing a variety of objectives
- Serve as a QA reviewer for SOX testing globally
- Assist with efforts to prepare numerous SOX Training Decks to be rolled out globally
- Take the U.S. lead in assisting with Enterprise Risk Management
- Conduct controls testing
- What are we protecting?
- Comprehend, absorb, and use significant amounts of new information
- Non Markets – covers Private Bank, Capital Markets Originations, Research, Issuer Services, Treasury and Trade Solutions as well as Citi Commercial Bank
5
Experience For Carm & Compliance Senior Analyst Resume
- Evaluates complex management controls; identifies improvements and defining issues, develop criteria, validation, analyzing and reviewing evidence and formulates recommendations to improve compliance
- Researches and analyzes updates to Federal and State laws, and other governing directives, policies and procedures pertaining to contracts and grants being reviewed
- Ensures compliance with Fiscal requirements associated with contracts and/or grants
- Participates in the review and assessment of other staff members' work for completeness and appropriateness and provides review comments to team
- Analyzes complex documents and reports
6
Experience For Cybersecurity & Compliance Senior Analyst Resume
- Leads conferences and meetings for assigned contracts
- Conducts off-site compliance reviews
- Performs special reviews, projects and programs
- Contributes to annual plan of compliance reviews
- Remote Office Work Environment
- Collaborates in the Risk Management & Compliance activities of the department, including: (a) support of the annual SOX plan, (b) meet completion dates, and ensure proper testing performing
- Participates in the annual Sarbanes Oxley process, analyze results, and helps presenting conclusions to process owners
- Assists with activities designed to increase employees’ awareness, such as training, communication campaigns, and control-self-assessment sessions
- Collaborates in the completion of the SOX Section 404 Compliance Program and other compliance programs under the department’s responsibility
7
Experience For Global Trade Compliance Senior Analyst Resume
- Support to other departments about policies and procedures
- Assist in preparing Corporate Internal Audit Review, ensuring internal controls are appropriate implemented and operating effectively in order to have a robust control environment
- Review sensitive issues with discretion and skepticisms
- Prepares reports when needed
- Serves on special projects when needed
8
Experience For Quality Compliance Senior Analyst Resume
- Administrative and budget allocation tasks
- Provide Technology Management, oversight and coordination over the ITC jurisdiction and classification of the business’s products through the automated workflows and process (e.g., automated technical data classification systems
- Continually evaluate the teams’ ETRAD/MCA against various emerging risks as well as regulatory rules and regulations to ensure that any potential gaps in the environment are addressed in a timely matter
- Providing subject matter expertise in EMEA on extra-territorial regulations concerning Citi’s Financial Holding Company (FHC) Governance. Determining the applicability of key US Regulations in EMEA. Driving the implementation of these requirements and appropriate controls in the EMEA countries in partnership with the CCG Cluster Leads
- Supporting the EMEA Corporate Compliance Group Head in the Manager’s Control Assessment (MCA) Annual Risk Assessment process to correctly evaluate the Financial Holding Company regulations’ applicability and residual risk
- Manage day to day operation of the division’s compliance program
9
Experience For SOX IT Controls & Compliance Senior Analyst Resume
- Carry out periodic testing to assess compliance and operational risks, develop and manage associated controls to ensure compliance with the relevant procedures and compliance obligations including the firm’s Code of Ethics
- Participate in the preparation of the Division’s annual risk assessment and audit plan
- Maintain all export compliance records in compliance with the company’s record retention policy
- Reports to VillageHealth Sr. Manager/Manager
- Identifies and assesses areas of compliance risk. Documents findings and recommendations and. Drives development and monitors completion of corrective action plans
- Responsible for the development of policies and procedures, creation and implementation of training program(s), conducting risk assessments, monitoring corrective action plans, and development of audit and monitoring plans
- Responsible for developing strong relationships throughout VillageHealth to foster an advisory or collaborative approach to proactive compliance
- Experience on the following software is encouraged but not mandatory: Varonis, Logrythm, ADAudit
10
Experience For IT Quality & Compliance Senior Analyst Resume
- A keen eye for detail with problem solving and excellent customer focus
- Participate in development, implementation and enforcement of assigned complex tasks using your existing SAP knowledge
- Perform trade compliance data analysis and KPI reporting
- Communicate trade compliance policies and provide technical assistance and training to employees on relevant laws and regulations
- Responds to, or oversees responses to, compliance-related inquiries; and
- Develop and maintain the Quality Management System for Pilar plant
- Custodian of the process of traceability and integrity
- Trained as an internal auditor
- Knowledge of ISO 9000 Standard
List of Typical Skills For a Compliance Senior Analyst Resume
1
Skills For Accounting Policy & Compliance Senior Analyst Resume
- Effective interpersonal skills and ability to manage through the day today deadlines
- Identify potential compliance risks, and effectively escalate to appropriate individuals
- Help ensure related initiatives are effectively implemented
- Experience in performing security risk management, analysis and assessments
- Lead data consistency checks, validation and data import when adding new objects and relationships in the tool
- Analytical and investigative mindset, attention to detail with relevant experience working with technology based solutions
- Effective at managing tasks through to completion
- Accountability, with a strong desire to commit, be held accountable for delivering results.
2
Skills For IT Compliance Senior Analyst Resume
- Additional experience working with BRGAAP, USGAAP and Sarbanes-Oxley, Section 404 is desirable
- Financial services/banking/insurance experience
- Five (5) years' audit and/or monitoring experience
- An understanding/experience with Merck’s Archer system
- Experience in compliance field
3
Skills For Risk & Compliance Senior Analyst Resume
- Excellent knowledge of Italian and English language, spoken and written
- Experience in internal control/compliance/sox
- Strong resilience, judgment and resourcefulness
- Three (3) years' contract experience
- Three to five years’ experience in International Trade and Compliance
- Experience with quality management system
- Collaborate with teams across Medallia, validate security controls are implemented and develop recommendations to remediate control deficiencies
- Monitoring of essential manufacturing requirements defined as key to ensure the integrity of products
- Knowledge and ability of computer accounting and record keeping and reporting systems
4
Skills For Trade Compliance Senior Analyst Resume
- Support the Regulatory Affairs team by maintaining training materials
- Knowledge of NRA and Back-up Withholding, FATCA, Common Reporting Standard, and Qualified Intermediary regulatory requirements
- Knowledge of general accounting principles and policies, report preparation, and record keeping
- Provide compliance advice, guidance and oversight while working closing with the business stakeholders
- Manage the compliance monitoring risk assessment and testing process for Administration
- Ensure at least Argentina and Chile are complying with key global requirements such as the proper implementation and training on KYBP, Crisis Management / Business Continuity Planning, H&S reporting, management of Information Asset Inventories, etc . .
- Knowledge of government contracting, accounting theory, procedures, practices and standards
- Knowledge of Federal, State and local laws, ordinances, policies, procedures and regulations pertaining to government grants and contracts
5
Skills For Carm & Compliance Senior Analyst Resume
- Knowledge of auditing tools, concepts and principles
- Knowledge of auditing policies, standards, and procedures
- Knowledge of regulations, and standards governing all aspects of the utilization of computer systems
- Handle/answer/escalate incoming user questions/requests and track as needed
- Monitor disposition of existing RSS feeds and configure new feeds
- Maintain users (provisioning, role changes, deactivation, etc.)
6
Skills For Cybersecurity & Compliance Senior Analyst Resume
- The ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff, ITG and the business
- Stand firm while being open for new approaches
- Build partnerships both internally and externally. Makes the customer central to all thinking
- Enjoy working on a team, but feel confident to work independently or with limited supervision
- Maintain a high level of integrity, set an example for others, and always strive to do the right thing
- Work with data analytics and generating metrics
7
Skills For Global Trade Compliance Senior Analyst Resume
- Responsible for pest management (reporting, relationship with the supplier and action plan)
- Support key business initiatives by identifying security and compliance related risks
- Propose methods of testing and execute plans discussed and agreed with CMP Management
- Develop and prepare management level style reporting
- Knowledge of contract compliance procedures and techniques for both manual and automated environments
8
Skills For Quality Compliance Senior Analyst Resume
- Read and understand grant and contract data, documents, and reports
- Work independently and concurrently perform multiple compliance projects
- Establish and maintain effective working relationships with co-workers, City management and staff, contract service providers, taxpayers and the public
- Maintain confidentiality of information, integrity and professionalism
- Develop proficiency in RegTool’s objectives and functionality (RSA Archer based application)
- Coordinate with Regulatory Affairs on technical support issues
- Implement RSA Archer configuration changes to support defined projects and ad-hoc fixes
9
Skills For SOX IT Controls & Compliance Senior Analyst Resume
- Develop custom code in Javascript/JQuery/HTML to enhance application features
- Work with the Team Lead to ensure kick off and closing meetings for reviews are planned and executed smoothly with the appropriate engagement of key stakeholders from the Business and Product Compliance
- Manage reporting of progress and escalation of issues to the Group Lead. This includes proactive management of Team Lead's and Testing Head's time to discuss potential issues prior to discussion with the business, and to allow them appropriate time to review the reports prior to issuance
- Knowledge of warranty processes, CRM systems
- Cross functional exposure to other areas of IT
- Attention to detail, with the ability to concentrate for extended periods of time
- Work autonomously on allocated tasks with the ability to escalate issues and clearly and concisely where necessary
- Able generate enthusiasm for best-in-class performance through the clear personal passion to be the best in these areas
10
Skills For IT Quality & Compliance Senior Analyst Resume
- Quickly learn and become proficient using several applications including Service Desk, Mandatory Training Rules Engine (MTRE) system, Basic SAP (HR), HR Portal, Master Data Repository, Deloitte’s Learning Management System
- Able to manage multiple projects simultaneously and ensure monitoring and execution
- System of controls and risk assessment knowledge is welcome
- Work under pressure with multiple tasks
- Experience in interpreting moderately complex technical concepts and communicating recommended compliance changes to stakeholders with varied levels of expertise
- Knowledge of U.S. tax information reporting requirements applicable to products issued by retail, institutional custody, markets and private bank businesses
List of Typical Responsibilities For a Compliance Senior Analyst Resume
1
Responsibilities For Accounting Policy & Compliance Senior Analyst Resume
- Maintains the integrity of compliance program data to ensure accurate and effective reporting
- Conduct internal investigation of compliance issues. Manages investigations from beginning to end
- Prepare compliance reports, identify issues and escalate through proper governance channels as needed
- Respond to RFP requests and client questions around security
- Draft written reports of findings for presentation to the business
- Monitor compliance with applicable US regulations and ensures consistent implementation for compliance and risk programs
2
Responsibilities For IT Compliance Senior Analyst Resume
- Liaise with Compliance and other subject matter experts to determine appropriate action
- Help drive CMP and RCM projects to completion
- Work well under timelines and project plans
- Work well with junior and senior Compliance Officers
- Work well with senior line of business managers
- Work closely with customs brokers, freight forwarders, and internal partners to ensure timely and
- Manage HTS classification, country of origin determination, free trade agreement qualification, export
3
Responsibilities For Risk & Compliance Senior Analyst Resume
- Prepares clear and concise audit work papers, reports, and other communications to document audit procedures performed, exceptions, recommendations and management action plans; conducts audit follow-up activities and assists in making recommendations for improvements and modifications to current procedures
- Formulates reporting and metric capabilities, optimizes reporting workflows
- Presents reporting solutions and develops/enhances existing dashboards and other key reports that are to be utilized by Senior Compliance Leadership to monitor program effectiveness and communication effectiveness to Conifer’s leadership team
- Develops both routine and ad hoc reports to support client engagement and governance processes
- Helps to facilitate and participates in compliance risk assessment process both annually, and periodically; identifies, measures and rates key compliance risks within all lines of business and functions and relevant industry risks
- Develops policy and makes recommendations based on data analysis so Compliance Officers can integrate compliance into business plans, scorecards, and process implementation
- Develops useful tools and dashboards to aid in creating culture of compliance within the organization
4
Responsibilities For Trade Compliance Senior Analyst Resume
- Oversees and monitors activities for compliance with external related regulations
- Consults with and advises administrators, and staff on operational issues related to computerized information systems, and on general business operations as needed
- Assists and trains other audit staff in the use of computerized audit techniques, and in developing methods for review and analysis of computerized information systems
- Maintains currency of knowledge with respect to relevant technology, equipment, and/or systems
- The following items are encouraged but not mandatory: Completed Certification/Licensure Cert Information Systems Auditor (CISA), Cert Internal Auditor (CIA). Knowledge of Payment Card Industry Data Securiy Standards (PCI DSS)
- Three to five years of experience in International Trade Compliance or Logistics
- Execute strategies, procedures and internal controls to support trade compliance
- Oversee third party activities and maintain licenses and permits
5
Responsibilities For Carm & Compliance Senior Analyst Resume
- Subject matter expertise in import (“customs”), export (“export controls”) and sanctions
- Position can be based out of MGI, MTO, GUA, ISB, ISS, or WOD
- Collect and analyze information and identify linkages in order to integrate and align business processes with TIR policies
- Confident and persuasive in presenting and visualizing findings and data based insights to a wide audience (of varying degrees of management, business functions)
- Progressive experience in auditing in one or more of the following fields: (a) financial/operational, (b) external, (c) information systems, and (d) compliance
- Experience in Big 4 audit companies is desirable
- Think strategically and connect
- Languages: Fluent English, Spanish and Portuguese is desirable
6
Responsibilities For Cybersecurity & Compliance Senior Analyst Resume
- Travels: can be required, less than 10% on LATAM
- Ensure process and controls standardization within Global Compliance and through LATAM
- Supporting Citi’s Global Functions in adhering to applicable laws and regulations and mitigating compliance risks through advisory services, Global Compliance programme elements
- Promoting appropriate compliance risk management for Citi, across business lines, legal entities, global functions and countries with respect to core US banking regulations and other key requirements and regulatory risks that apply enterprise-wide
- Conducting user access reviews
- Drive execution of the M&A Compliance and CEP programs while consistently developing innovative concepts, activities, and solutions to increase their value-add
- Team with acquisition compliance contacts to understand their internal control environment, support their compliance objectives, and support the pursuit of technology certifications as necessary
- Liaise with other TC programs to ensure acquisition compliance contacts are supported and have access to relevant materials and subject matter expertise from across Salesforce
7
Responsibilities For Global Trade Compliance Senior Analyst Resume
- Partner with teams from across the Company to develop business cases for new initiatives and manage the initiatives through CEP to an executive decision point
- Socialize the CEP to potential initiative requesters while providing consistent updates to executive leadership re: initiatives currently going through the CEP and those in the pipeline
- Plan and execute audits of Salesforce's internal control environment including control testing, documentation, and delivery of results to TC management and other internal stakeholders
- Manage relationships with external auditors and support each step of the external audit process
- Track assigned information security risks through the risk management process including risk identification, analysis, decision making, treatment planning and tracking
8
Responsibilities For Quality Compliance Senior Analyst Resume
- Utilize governance, risk and compliance (GRC) tools to manage Guidewire’s list of external authoritative sources, information technology controls, corporate policies and procedures, vendor management system, and risk management workflows
- Assist with ISO 27001 certification
- Participate in internal risk and compliance meetings as a subject matter expert
- Support the Advisory, Privacy and Training Unit in the implementation of law and regulations requirements, internal programs and policies, standards and procedures, for Data Privacy, Consumer Protection, Fair Practices, Transparency, Usury, Insurance Mediation, PSD, Bank Of Italy Regulation
- Advise the business on compliance-related matters, and the regulatory implications of new and existing products, services and processes; resolution of compliance-related incidents/issues
9
Responsibilities For SOX IT Controls & Compliance Senior Analyst Resume
- Develop and/or assists the business in the maintenance of compliance-related procedures
- Assist the Business, Staff and Operative Functions for all Compliance matters in the daily activities
- Develop and maintain a working knowledge of relevant laws, regulations, standards and policies relevant the area of Data Privacy Transparency, Insurance, Consumer Protection, Usury and the other regulations
- Support in the the proper management of the info flows towards the Branch Governance Bodies
- Support in the relationship with the Regulators (Bank of Italy, Data Protection Authority, OAM, AGCM, Ivass, etc.)
- Assist with audit certification
- Policy document creation and communication
10
Responsibilities For IT Quality & Compliance Senior Analyst Resume
- Policy and procedure library management
- Work collaboratively with colleagues in Compliance, Legal, Internal Audit, and Business Operations
- Business acumen to support customer mission and need
- Work with auditors, regulatory entities and cross-functional teams
- Background in review and enforcement of security policies and procedures
- Make presentation to executive management
- How do we judge our level of protection, relative to Risk?
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