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Tyler Price
Regulatory Compliance Specialist
Summary
A highly accomplished Regulatory Compliance Specialist with over 8 years of experience in the financial services industry. Proven expertise in developing and implementing compliance programs, conducting risk assessments, and managing internal audits. Adept at interpreting regulatory requirements and providing guidance to business units on compliance matters. Seeking a challenging role where I can leverage my skills to ensure compliance and mitigate risks.
Education
Master’s Degree in Regulatory Compliance
January 2017
Skills
- Regulatory Compliance Expertise
- Regulatory Analysis and Interpretation
- Risk Management and Mitigation
- Compliance Program Development and Implementation
- Internal and External Audit Support
- Regulatory Reporting and Disclosure
Work Experience
Regulatory Compliance Specialist
- Provided guidance and support to business units on compliance matters.
- Monitored regulatory changes and ensured compliance through proactive updates to policies and procedures.
- Led internal compliance investigations and resolved compliance issues promptly and effectively.
- Established and managed compliance reporting systems to provide executives and stakeholders with timely and accurate information.
Regulatory Compliance Specialist
- Conducted comprehensive risk assessments and audits to identify and mitigate potential compliance risks.
- Developed and implemented compliance policies, procedures, and training programs.
- Managed and tracked compliancerelated documentation and records.
- Collaborated with internal and external stakeholders to ensure adherence to regulatory requirements.
Accomplishments
- Successfully implemented a compliance program that reduced regulatory citations by 30%
- Developed and implemented a comprehensive compliance training program for all employees
- Conducted internal audits to ensure compliance with industry regulations and company policies
- Monitored industry trends and developments to identify potential compliance risks
- Provided guidance and support to business units on compliance matters
Awards
- Recipient of the Compliance Professional of the Year Award from the Association of Compliance Professionals
- Awarded the Certified Regulatory Compliance Manager (CRCM) designation from the Regulatory Compliance Association
- Recognized by the company for outstanding contributions to compliance
Certificates
- Certified Regulatory Compliance Professional (CRCP)
- Certified Compliance and Ethics Professional (CCEP)
- Certified Information Privacy Professional (CIPP)
- Certified Fraud Examiner (CFE)
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How To Write Resume For Regulatory Compliance Specialist
- Quantify your accomplishments by using specific metrics and data whenever possible.
- Highlight your experience in developing and implementing industry-specific compliance programs.
- Demonstrate your ability to stay up-to-date with regulatory changes and emerging compliance issues.
- Showcase your strong communication and interpersonal skills, as well as your ability to work effectively with a diverse range of stakeholders.
Essential Experience Highlights for a Strong Regulatory Compliance Specialist Resume
- Evaluated regulatory landscapes, identified compliance risks, and implemented mitigation strategies.
- Developed, documented, and implemented comprehensive compliance policies and procedures.
- Conducted internal audits to assess compliance adherence and identify areas for improvement.
- Provided training and guidance to employees on regulatory requirements and compliance best practices.
- Collaborated with internal and external stakeholders to ensure compliance with industry regulations and standards.
- Monitored regulatory changes and provided timely updates to compliance policies and procedures.
- Reported on compliance status to senior management and regulatory authorities.
Frequently Asked Questions (FAQ’s) For Regulatory Compliance Specialist
What are the key responsibilities of a Regulatory Compliance Specialist?
Regulatory Compliance Specialists are responsible for developing and implementing compliance programs, conducting risk assessments, and managing internal audits. They also provide guidance to business units on compliance matters and monitor regulatory changes to ensure compliance.
What are the key skills required for a Regulatory Compliance Specialist?
Regulatory Compliance Specialists typically need a strong understanding of regulatory requirements, risk management, and compliance program development. They also need excellent communication and interpersonal skills.
What are the career prospects for Regulatory Compliance Specialists?
Regulatory Compliance Specialists can advance to senior-level positions within compliance departments or move into other areas of risk management and financial regulation.
What is the job outlook for Regulatory Compliance Specialists?
The job outlook for Regulatory Compliance Specialists is expected to be good in the coming years due to the increasing regulatory complexity and the need for organizations to comply with these regulations.
What is the average salary for a Regulatory Compliance Specialist?
The average salary for a Regulatory Compliance Specialist varies depending on experience, location, and industry. According to Salary.com, the average salary for a Regulatory Compliance Specialist in the United States is around $85,000.
What are the top companies that hire Regulatory Compliance Specialists?
Some of the top companies that hire Regulatory Compliance Specialists include Deloitte, Ernst & Young, PwC, KPMG, and Bank of America.
What are the educational requirements for a Regulatory Compliance Specialist?
Most Regulatory Compliance Specialists have a bachelor’s or master’s degree in a related field, such as finance, accounting, or compliance. Some employers may also require certification from a professional organization, such as the Regulatory Compliance Association (RCA) or the Institute of Internal Auditors (IIA).