Compliance Officer Career Research and Resources
first energy services
Training, DOT compliance OSHA compliance, defensive driving, MSHA surface annual refresher, Hearing conservation, confined space training and permit issuance, hot work, emergency response and action plans, hazardous communication, MSDS programs
Avg. Salary: $50,000 · Company Rank: Not Available
bridger coal co.
MSHA training, enforce compliance to individuals that pertain to federal and state issues, emergency action plans, Member of the emergency response team, accident investigation,inspections, orientation for new miners and visitors
Avg. Salary: $50,000 · Company Rank: Not Available
Citicard
Telephone Command Center (TCC) - Observed call volume, initiated solutions to varying call volumes. Updated team count files, presented forecasts to management, assisted senior management in planning holiday coverage and departmental changes, compiled reports and delivered performance metrics in daily management meeting. Highlights: * Governed the schedule change process for Tampa site; assisted forecasting and schedul...
Avg. Salary: $47,500 · Company Rank: Not Available
Capital One
Inbound Call Center- Managed off phone time exceptions for Hispanic Line of Business, planned team meetings, and reconciled team adherence reports. Measured associate performance for 1,000-person call center comprised of three divergent disciplines. Coached associates to achieve balance in primary key performance indicators through side-by-side meetings, monitoring recorded calls, and devising reference tools. Promoted i...
Avg. Salary: $47,500 · Company Rank: Not Available
Scott & Stringfellow, LLC
Conduct exams of the firm’s retail branch offices. Exams are followed by formal reports of the deficiencies found including proposed corrective actions. Serve as a Compliance Liaison with the firm’s Financial Products and Services Group. Conduct compliance reviews of the firm’s investment advisory programs reporting any issues to members of senior management and members of the firm’s Investment Advisory Committee. Revie...
Avg. Salary: $73,000 · Company Rank: Not Available
Wachovia Securities, LLC
Responsible for the implementation and monitoring of the Firm’s Heightened Supervision program. Conducted for cause compliance reviews and investigations which involved associates’ violations of firm policies or industry rules. • Conducted comprehensive business reviews for all Financial Advisors (FAs) who met FINRA Heightened Supervision requirements or otherwise selected for review. Responsible for conducting routine...
Avg. Salary: $73,000 · Company Rank: Not Available
Wachovia Securities, LLC
Evaluated business and compliance units within Retail Brokerage in order to ensure the effectiveness of internal controls. Documented test work and findings from internal reviews in the Internal Review Database. Created findings report once review was finalized and disseminate to various members of Senior Management. Monitored firm issues to resolution through internal database. • Internal Review was responsible for a ...
Avg. Salary: $73,000 · Company Rank: Not Available
FINRA (Formerly NASD)
Conducted onsite inspections of broker/dealers’ compliance programs and systems, analyzed sales practices, assessed and analyzed each firm’s financial and operational condition according to NASD and SEC rules/guidelines. Prepared reports for each examination/ investigation and participated in conferences/interviews with management of member firms. • Completed monthly/quarterly financial reviews ensuring member firms mainta...
Avg. Salary: $73,000 · Company Rank: Not Available
Elk & Elk, Co., L.P.A
Formulated client distribution statements of monies from settlement using Microsoft Excel. • Managed three department employees while managing both the escrow and general bank accounts associated with the department. • Formulated distribution statements ensuring settlements were provided to each client in an efficient and timely manner. • Assured department productivity by continuously monitoring department employees wor...
Avg. Salary: $73,000 · Company Rank: Not Available
Paymentech
Workforce management- Examined and monitored call volume of two multi-skilled sites, employed immediate resolutions achieving ideal service levels, optimized employee schedules, and mitigated coverage deficits. Quickly mastered core responsibilities, assuming supervisory reporting responsibilities within three months of hire date. Highlights: *Produced site performance reports for the Director. Detailed variations bet...
Avg. Salary: $47,500 · Company Rank: Not Available
