Found 258,445 Compliance Officer resume examples
Work Experience:
- Operations/Compliance Manager & Head Trader, LENOX WEALTH ADVISORS, Inc, New York, NY, Oct 2011 - Current
- Director of Operations & Technology Management, CAPITAL MANAGEMENT SERVICES, Inc, Philadelphia, PA, Sep 2010 - Sep 2011
- Registered Principal/Director of Operations & Technology, CALLE FINANCIAL NETWORK, LLC, Jul 2005 - Sep 2010
- ...
Education:
- Bachelor of Science in Business Administration, Boston University School of Management, Boston, MA
Work Experience:
- Compliance-Permanent Controls Unit Consultant, Natixis North America, LLC , New York, NY, Sep 2012 - Current
- Principal, Metlife Securities Inc., Somerset, NJ, Nov 2011 - Aug 2012
- Business Supervisor Equities, MF Global Inc, New York, NY, Nov 2010 - Sep 2011
- ...
Work Experience:
- Compliance Coordinator and HIPAA Officer, McLaren Home Group, Davison, MI, Aug 2011 - Current
- Business Information Specialist, McLaren Home Group, Davison, MI, May 2010 - Aug 2011
- Customer Service Supervisor, McLaren Home Group, Davison, MI, Jun 2009 - May 2010
- ...
Education:
- Bachelors of Science in Communication, Statistics, Management, Spring Arbor University, Flint, MI
- Associate's in American Health Information Management Association, Baker College, Flint, MI
- ...
Work Experience:
- Regional Head of Legal & Compliance, currently Regional, Relocated to Miami, Miami, FL, 2008 - Jan 2008
Education:
- JD in Juridical and Political Science, Universidad Mayor de San Andres
- Master in Corporate Law, Universidad de Aquino Bolivia La Paz Bar
- ...
Work Experience:
- Chief Compliance & Risk Officer, PONDERA MEDICAL CENTER, Conrad, MT, 2008 - Current
- Chief Operating Officer, SOLANO FAMILY PRACTICE, EXCEL CARE, Benicia, CA, 2006 - 2008
- Employee Health & Safety Manager, SUTTER SOLANO MEDICAL CENTER, Vallejo, CA, 2005 - 2006
- ...
Work Experience:
- Compliance Safety and Health Officer, DEPARTMENT OF LABOR, Tarrytown, NY, Oct 2001 - Mar 2013
- Safety Specialist, U.S. POSTAL SERVICE, New York, NY, Apr 2000 - Oct 2001
- Safety Specialist, U.S. POSTAL SERVICE, Jersey City, NJ, Apr 1998 - Apr 2000
Education:
- Bachelor of Science in Business, Mercy College, Dobbs Ferry, NY
Work Experience:
- Compliance Officer - Grant Monitor, STATE OF COLORADO - Department of Public Safety/Division of Criminal Justice, Denver, CO, Mar 2010 - Current
- General Professional IV - Contracts Specialist, State of Colorado - Department of Personnel & Administration/Office of the State Controller, Denver, CO, Jan 2000 - Oct 2009
- General Professional III, State of Colorado - Department of General Support Services, Denver, CO, Nov 1997 - Jan 2000
- ...
Education:
- AAS in Mid-Management Small Business, AIMS COMMUNITY COLLEGE, Greeley, CO
Work Experience:
- Compliance inspection/Enforcement Officer, U.S.- E.P.A, Atlanta, GA, 2004 - 2012
- Senior Mechanical & Consulting Engineer, Tech Associates Eng. Co. Inc, 1999 - 2001
- Senior Mechanical Engineer & Systems Design Coordinator, SKC, Inc, Covington, GA, 1997 - 1999
- ...
Education:
- Bachelor of Science in industrial safety, air filtration, environment/codes, Clemson University
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:
- Director of Compliance, State Bank of Long Island, 2008 - Current
- Retail Banking, State Bank of Long Island, 1989 - Current
- Branch Administrator- SVP, State Bank of Long Island, 1989 - 2008
- ...
Education:
- Certificate, Adelphi School of Banking and Money Management
- American Institute of Banking
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