Compliance Analyst Resume
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4790 Calumet Ave, Apt#7
New York, NY 10040
(123)-456-7000
t.freeney@emailaddress.com
Job Objective: To obtain a challenging Compliance Analyst position in a well reputed organization.
Highlights of Qualifications:
A great deal of experience with trade compliance applications
Self-motivated and has high standards for accuracy
Ability to work independently and as part of a team
Excellent written and verbal communication skills
Strong interpersonal and time management skills
Excellent analytical and critical thinking skills
Proficient in Microsoft Office - Excel, Visio, PowerPoint, Project, Word, Microsoft Access, and data manipulation
Professional Experience:
Compliance Analyst, August 2005 - Present
Allegis Group, Inc., New York, NY
Managed, authored and adapted firm policies and procedures to keep current with applicable industry regulations.
Interacted with Regulators during routine audits as well as regulatory inquiries.
Compliance Analyst, May 2000 – July 2005
Janus Capital Group, New York, NY
Traded portfolio monitoring and exception reporting.
Proficiently analyzed, designed, tested, and managed rules in Dimensional's.
Post- traded compliance systems support for AUS portfolios.
Reviewed advertising, sales, and institutional materials for compliance with industry regulations as well as Dimensional's policy and procedures.
Provided support to sub-advisor reporting obligations.
Education:
Bachelor's Degree in Finance, University of California, Berkeley, CA
