Found 259,054 Compliance Officer resume examples
Work Experience:
- Compliance Specialist, Bank of Stockton , Stockton, CA, Feb 2015 - Current
- Accounting Specialist , Bank of Stockton / 1867 Western Financial Corp, Stockton, CA, Feb 2013 - Feb 2015
- Retail Investments/Trust & Wealth Management, Bank of Stockton , Stockton, CA, Nov 2006 - Feb 2013
Education:
- American Banker's Association , National Compliance School , San Diego, CA
- Securities Exchange Commission, Series 6
Work Experience:
- Compliance Specialist , LHP Capital , Knoxville, TN , May 2016 - Current
- Senior Resident Manager , Cornerstone Properties, Kokomo IN , Jun 1997 - May 2016
Education:
Work Experience:
- Compliance Clerk, Grandpoint Bank, Jan 2011 - Aug 2011
- Compliance and Risk Assistant, First Commerce Bank, 2008 - 2010
- Debit Card Fraud Investigator, WASHINGTON MUTUAL BANK, Northridge, CA, Sep 1988 - Dec 2007
- ...
Education:
- Associates in Business, ADAMS STATE COLLEGE, Alamosa, CO
- Business, CALIFORNIA STATE UNIVERSITY, Los Angeles, CA
Work Experience:
- Compliance Representative, Time Warner Cable, Sep 2012 - Current
- Collections Representative, *Time Warner Cable*, Jun 2009 - Sep 2012
- Customer Service Representative, *Time Warner Cable*, Feb 1994 - Jun 2009
- ...
Education:
- Bachelor of Science Degree in Elementary Education, *Wright State University*
- High School Diploma, *Fairborn High School*
Work Experience:
- Compliance Auditor, Fairway Management/Jeffrey Smith Companies, 2009 - Current
- Property Mgr, Fairway Management/Jeffrey Smith Companies, 2007 - Jul 2009
- Secretary/Receptionist, Smith Insurance, Inc, Neosho, MO, 2000 - 2007
Education:
- High School diploma, East Newton High School in Granby, Granby, MO
Work Experience:
- Compliance Assistant, Fidelity Investments (Veritude), Boston, MA, Apr 2008 - Sep 2008
- Custody Fund Accountant, State Street Bank & Trust, Boston, MA, Jan 2008 - Apr 2008
- Accounts Payable Coordinator, BU Student Activities Business Office, Boston, MA, Sep 2006 - May 2007
Education:
- B.A. in Economics, Boston University
- MBA in Finance & International Management, University of Massachusetts, Boston, MA
Work Experience:
- VP, Compliance Manager, Sovereign Bank/Santander, Brooklyn, NY, May 2011 - Current
- Senior V.P. Compliance, Citigroup, Long Island, NY, Feb 2010 - May 2011
- Compliance Manager, Capital One N.A, Melville, NY, Jan 2009 - Jan 2010
- ...
Education:
- B.A. in Communications Studies, STATE UNIVERSITY OF NEW YORK, COLLEGE AT OSWEGO
Work Experience:
- Compliance Consultant, Robert Half Management Resources , Charlotte, NC, Oct 2018 - Current
- Compliance Business Partner, Roundpoint Mortgage Servicing Corporation, Charlotte, May 2017 - Sep 2018
- AML Operations Senior Analyst , Bank of America, Charlotte, NC, Sep 2016 - Dec 2016
- ...
Education:
- Juris Doctor, North Carolina Central University, Durham, NC
- Bachelor of Science in Marketing in Marketing , Hampton University, Hampton, VA
Work Experience:
- Compliance Director, NuRock Management, LLC, Austin, TX, Sep 2012 - Current
- Compliance Director, Realtex Development Corporation, Austin, TX, Oct 2008 - Sep 2012
- Homecare Administrative Director, Homecare Dimensions, Austin, TX, Jan 2009 - Aug 2009
- ...
Education:
- MBA in Business Law/ Administration, Texas State University
- BA in Business Economics, Southeastern Louisiana University, Hammond, LA
- ...
Work Experience:
- Senior - Advisory, Ernst & Young LLP, New York, NY, 2011 - 2013
- Compliance Examiner, FINRA, Chicago, IL, 2008 - 2011
- Associate Examiner, FINRA, 2007 - 2008
- ...
Education:
- US Securities & Exchange Commission in Summer Honors College Program, Office of International Affairs, Washington, DC
- Bachelor of Business Administration in Finance, Investment, and Banking, University of Wisconsin, Madison, WI
Work Experience:
- Manager, Corporate Compliance, Compliance Strategy, Wright Medical Technology, Inc, Arlington, TN, Jul 2012 - Current
- Manager, Corporate Compliance, Needs Assessment Process, Wright Medical Technology, Inc, Arlington, TN, Jul 2011 - Jul 2012
- Compliance Specialist, Wright Medical Technology, Inc, Arlington, TN, Jan 2011 - Jul 2011
- ...
Education:
- Juris Doctorate, University of Memphis Cecil C. Humphreys School of Law
- Bachelor of Arts in Psychology, Christian Brothers University