Compliance Associate Resume

[First Name] [Last Name]

Contact Address: [street]

[Country] [City] [State/Province] [Zip Code]

Contact Number: (012)-345-6789

Email Address: [[email protected]]

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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


On request.