• Utilize credit assessment systems to provide decisions and recommendations on managing high risk clients and sales prospects.
• Utilize case management systems to ensure information obtained is documented and available for internal and external audit reviews.
• Analyze and determine acceptable risk exceptions and provides recommendations on funding methods and feature offerings to minimize financial risk exposure.
• Research credit reports and coordinate communication with credit vendors to investigate credit opportunities.
• Oversee the exception process to ensure recommendations outside of policy guidelines are in the best interest of the company.
• Manage case load to ensure that requests are addressed timely to ensure timeframes are met.
- FINANCIAL SERVICES COMPLIANCE ANALYST at FINANCIAL SERVICES COMPLIANCE ANALYST 1
- SENIOR FUNDS CONTROL MANAGEMENT SPECIALIST at ADP LLC
- BANKING ASSOCIATE at ADP LLC
3 years at this Job
- High school or equivalent
Compliance Analyst, Compliance Administrator 20 yrs.
- Compliance Analyst at Scientific Games, Inc
- Compliance Administrator at Cadillac Jack, Inc
- Insurance Assistant at Liberty Mutual Insurance
- Bilingual Customer Service Representative at RBC Bank Financial Services/Snelling Staffing
2 years, 1 month at this Job
- High school
Compliance Analyst Duties Responsible for reviewing and researching funds transfers that contain potential matches to government sanctions or internal watch list. This includes determining if there is a true match, performing and documenting research, reporting, and escalating to compliance units when appropriate. In addition, the analyst will perform similar functions on additional products such as CitiChecking and CitiDirect.
- Compliance Analyst at Citigroup Global Markets Inc.
- AML Analyst at M&T Bank
- Compliance Reviewer - Contract position at Old Republic Title
- Appeal Clerk - Contract Position at Office of Medicare Hearings & Appeals (OMHA)
1 year, 10 months at this Job
- Associates of Science - Hospitality and Hotel Management
- Associates of Science - Certificate Paralegal Studies
- Certificate - Business Administration and Office Technology
Compliance Analyst at BBVA Compass. Responsible for the timely and accurate review and analysis of mortgage loan applications in order to ensure compliance with bank, state, and federal regulations.
- Compliance Analyst at Insight Global
- Human Resources Manager at L&R Ready Mix
- Branch Associate at BBVA Compass
- Human Resources Specialist at CAPA/Magic Valley Concrete
1 year, 2 months at this Job
- Bachelor of Business Administration - Management
- Associate of Arts - Business Administration
Compliance Analyst role consists of performing a compliance audit review on Pre-and Post Closed Mortgage Loan transactions. Along with providing an extensive quality assurance review and rebuttal process, providing extensive review results. Also, adhere to TRID TILA/REPSA Regulations and comply to the SLA for each client.
- Compliance Analyst at LoanLogics
- Sr Mortgage Uiversal Agent at PNC Mortgage
- Sr. Loan Closer at PNC Mortgage - Robert Half Agency
- Customer Service Representative at Alluvion Staffing Inc
2 years, 5 months at this Job
- - Computer Science
Compliance Analyst (Aug 2016 – Present)
• Review BSA/AML/OFAC related reports, including transaction monitoring, customer due diligence (CDD), AML investigation to ensure quality and sufficient rationale are evident in the reports.
• Perform enhanced due diligence on prospective and existing clients, correspondent banks, and counterparties and determine appropriate action based on findings.
• Monitor changes in BSA/AML and OFAC related laws and regulations, conduct gap analysis, and revise policies and procedures accordingly.
• Manage AML monitoring system validation project by working with consultants, IT, and BSA team.
• Analyze and enhance data mapping between the core banking system and the transaction monitoring system.
• Implement self-inspections periodically to ensure accuracy and compliance with regulatory requirements. Loan Officer (July 2017 – Present)
• Review KYC reports and validate all customer information entered in the Prime Compliance Suite was accurate.
• Coordinate with various departments to resolve any KYC/CDD documentation issues in a timely manner.
• Develop and improve processes utilized by the Loan Department to effectuate compliance decisions and to increase accuracy and efficiency. Deliver on-going compliance training to Loan officers.
• Prepare Monitoring Reports and investigate irregular direct lending transactions for BSA/AML management.
• Perform annual review of syndicated loans by analyzing financial statements, stock performance, and market trends to determine overall financial condition. Operations Officer (Aug 2016 – June 2017)
• Conducted and maintained CDD reports for new and existing clients.
• Identified areas of improvements and streamlined process utilized by the Operations Department to improve internal control, efficiency, and effectiveness.
• Reviewed Fedwire/SWIFT wire transactions and conducted due diligence on trade finance transactions for accuracy or AML/CFT issues and processed payments accordingly.
- Compliance Analyst at Chang Hwa Commercial Bank, New York Branch
- Corporate Relations Intern at New York Cares, Inc.
- Operation Management (COO) Intern at American Red Cross Greater New York Region
- Development & Communication Intern at Global Fund for Children
2 years, 5 months at this Job
- Master of Public Administration - Public Administration (GPA: 3.9)
- Bachelor of Business Administration - Business Administration
Contract compliance analyst on the Sales and Service Conduct Oversight Team (SSCOT) in the Community Banking & Risk Department tasked with researching, performing data analysis, and making recommendations regarding adherence to sales conduct and compliance and potential fraud issues to optimize customer retention.
• Improved customer satisfaction ratings by researching and closing over 100 complex cases within a three-month period
• Consistently exceed key performance metrics by 60% per week
• Served as a key member of a team that closed over 2,400 cases within a two-month period based on a strict federal regulatory deadline
• Train and mentor new consultants to ensure optimized operational efficiency and customer satisfaction
• Extract, compile, and analyze data using a variety of internal systems and tools (Access, SQL, and Excel) to provide key information on sales metrics and optimize profitability
- Compliance Analyst at Wells Fargo
- Sales Associate at Bath and Body Works
- Principal Legal Consultant (Manager/Sr. Paralegal) at Universal Pictures Home Entertainment
- Senior Paralegal at Walt Disney Studios Home Entertainment
1 year, 4 months at this Job
- Master of Business Administration - EMBA
- B.A. - English
Compliance Analyst is to review various types of compliance files in a timely and correct manner. The Analysts conducts file reviews for various affordable housing programs. Report and assist compliance findings to clients. Communicates with clients to resolve issues with files and other duties as required.
- Compliance Analyst at US Housing Consultants
- Assistant Manager at Neilan Park Apartments
- Leasing Agent at Cambridge Park Apartments / Foresite Realty Management, LLC
2 years, 3 months at this Job
- Associate - Business Management
- High school or equivalent
• Provides feedback to the compliance analyst and manager by communicating up to date guidance from the client.
• Contributes to process improvement surrounding quality control for loan/file review and reporting.
• Provides support to analysts by being a point of contact surrounding loan and file review.
• Assists in training entry level analysts surrounding processes and all user interfaces.
• Developing processes and procedures for the compliance analyst by updating company guidelines, breakdowns on federal regulations and client requirements.
- Sr. QC Compliance Analyst at Clayton Holdings
- QC Compliance Analyst at
- Compliance Analyst at
- Senior Credit Risk Analyst at
1 year at this Job
- Bachelor of Arts - marketing and video production
* Owner of the Quarterly Global Compliance Metrics Report which entails the collection and review of quarterly activity for specific business units and programs within the Compliance Unit. * Responsible for the presentation of the Global Compliance Metrics Report on a quarterly basis to the CECO and the Compliance Senior Leadership Team. * Continue to transform and re-design all metrics presented in the Global Compliance Metrics Report from the Cognos database to the Tableau platform. * Responsible for Leading the documentation for all ideation sessions (CPT Next Generation Growth, Insider Threat, Measurement, Data Analytics, PGIM Technology Law and Digital Mindset Matrix) facilitated throughout the year and responsible for working with management in developing the next steps for execution. * Continue to support the Employee Insights methodology as it pertains to the company's overall goal in managing and monitoring risk for its employees. * Prepared and maintained a Proof of Concept Reference Guide which included the methodology, dashboard views, detailed descriptions/definitions for each of the programs (Conflict of Interest, Gifts and Entertainment, OBA) of the Employee Insights Dashboards. * Assisted with the creation of the Key Risk Indicator calculations for both inherent and violation risk scores for Compliance Employees. * Continued to work on the second phase of the Employee Insights Project which included the data collect process for Management Controls, EOS, Marketing Materials, Prospect Data, Ethics and Wire Transfers. * Continue to assist in the data automation process for the GETS, ABC, PST, PODS and OBA systems. * Continue to create and actively manage project plans by playing a role of a product owner within the systems Jira and MZ Azure. * Continue to assist and create automated reports in Tableau, Excel and Power BI for business unit compliance functions to assist and enhance their processes. * Continue being a Project Manager and leading/supporting the HPLT Compliance Surveillance Program initiative. * Continue to actively work on numerous ad-hoc projects, assignments and reporting as need by the senior leadership team.
- Compliance Analyst at Corporate Compliance - Compliance Technology and Analytics
- Data Analytics and Reporting, Compliance Analyst at Corporate Compliance - Compliance Technology and Analytics
- Senior Accounting Associate at Corporate Compliance - Compliance Technology and Analytics
- Senior Accounting Associate at Prudential Retirement
3 years, 6 months at this Job
- Bachelor of Science in Finance - Finance