Compliance Associate Resume

Posted in Associate Resume Examples

Stephanie Lee
331 Hanover Ave
Bogalusa, LA 70427

Job Objective Seeking a challenging position of Compliance Associate position in a reputed organization to utilize my experience and my knowledge to benefit the organization.

Summary Skills

Remarkable experience in compliance, and quality control
Exceptional knowledge of the rules under the Investment Advisers Act and Investment Company Act
In-depth knowledge of trust and banking laws and regulations
Proficient with MS Office applications (word, excel, PowerPoint)
Strong written and verbal communication skills; and proven attention to detail and follow-up skills
Familiarity with Performing business risk assessments, investment management and advisory services
Proven ability to work alone and work together with all levels of management

Work Experience:

Compliance Associate, August 2005 to till date
South Shore Savings Bank, Bogalusa, LA

  • Identified and resolved operational and compliance issues arising during daily activities.
  • Developed, implement and monitored the compliance training program on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Reviewed emails and all agency mailings for inappropriate business activities like sales practice issues, checks to agents and credit issues.
  • Developed & maintained documentation indicating issue tracking, escalation and resolution.

Compliance Associate, May 2000 to July 2005
West Suburban Bank, Bogalusa, LA

  • Performed reviews of existing compliance program and ensured adherence.
  • Reviewed system generated reports of transactions and investigation of account activity for potentially suspicious activity.
  • Drafted and provided suspicious activity report with recommendations.
  • Assisted with the bank’s compliance risk assessment program, as well as enhanced due diligence reviews.
  • Ensured to carry out the requirements for compliance as directed by Federal and State regulators.


Bachelor’s Degree in Finance, Carnegie Mellon University, Pennsylvania, PA

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