Compliance Associate Resume

Writing resume is of vital importance in any job application. A well prepared resume never fails to get the attention of the employer. It is necessary to learn the basic points of preparing a complete and professional looking resume. This compliance associate resume reflects the idea of preparing an interview winning resume. The sections like career objective, skill sets, educational qualifications and job responsibilities will give you a crystal idea of drafting an optimized resume.

A compliance associate handles the tasks of reviewing the internal policies and procedures of the organization. The primary job responsibilities of a compliance associate is to help the organization by ensuring that employees performs their tasks by following the regulatory guidelines, human resource policies and top management's directives. Compliance associate often coordinates with accountants, auditors and tax specialist in performing their duties.

Compliance Associate Resume Example

Career Objective:

To obtain a senior compliance associate position with a company where my analytical and project-management skills and ability to come up with solutions-oriented policies along with strong interpersonal proficiency can help the organization meet its target.

Skill Sets:

• Familiar with federal security laws and regulations as well as alternative investment policies
• In-depth knowledge of real estate rules and regulations
• Comprehensive knowledge of investment management, business risk assessments, and advisory services
• Knowledge of basic Microsoft office applications like Word processor, Spreadsheet and the Internet
• Attention to detail with strong knowledge of equity trading rules
• Possess superior communication, analytical and time management skills

Work Experience:

Organization: Mackey House Inc, WA
Duration: May 2013 till date
Designation: Compliance Associate

• Handle the tasks of monitoring business activities and ensuring that the firm remains in compliance with the policies, procedures and industry regulations
• Responsible for reviewing personal trading and proprietary documents
• Perform the tasks of reviewing marketing strategies and marketing materials
• Handle responsibilities of processing registrations and reviewing client account files
• Responsible for compliance review and audits as well as conduct research on rules and regulations
• Perform regular communication with the public and handle other job responsibilities as per the instructions of senior staff

Organization: Real Estate Firm, WA
Duration: March 2011 to April 2013
Designation: Junior Compliance Associate

• Responsible for managing and providing directions in areas of compliance, regulatory, and registration functions
• Coordinate with compliance associates and legal team in monitoring compliance matters including broker-dealer compliance, operations issues, and securities transactions
• Perform the tasks of responding and managing customer issues, regulatory inquiries, examinations, and investigations
• Handle responsibilities of developing and implementing consolidation of compliance, legal, and registration functions
• Responsible for updating procedural manuals and other core documents on an ongoing basis
• Interface with state securities regulators and all other regulatory agencies as appropriate

Educational Qualifications:

• Achieved Bachelor's degree in Business Management
  University of Washington in the year 2011

Reference:

On request.