Compliance Examiner Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the compliance examiner job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.

USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.

SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Create a Resume in Minutes

D Sawayn

Dion

Sawayn

37642 Heller Station

Detroit

+1 (555) 975 6830

37642 Heller Station

Detroit

Phone

p +1 (555) 975 6830

Experience Experience

Houston, TX

Compliance Examiner

Houston, TX

Grimes-Heller

Houston, TX

Compliance Examiner

Provide comprehensive written and verbal reports to management, including but not limited to, surveillance, investigations, and sales offices inspections
Assist Chief Compliance Officer in reviewing, developing and administering compliance policies and procedures including transactional and forensic testing
Drafts and distributes examination related communications to internal customers, external customers, and management
Adheres to generally accepted organizational examination workflows
Manages examination related travel expenses
Enforce the Electronic Communications policy by conducting ongoing and targeted reviews of email correspondence and other postings to/from employees of the firm
Travel to sales offices and conduct annual and special compliance inspections by reviewing the books and records, interviewing personnel, and observing day-to-day operations in the office

Los Angeles, CA

Compliance Examiner Professional

Los Angeles, CA

O'Connell Inc

Los Angeles, CA

Compliance Examiner Professional

Manages direction for development design specifications for compliance issues
Provides compliance reviews and direction for new and expanding products
Performs other related duties as assigned
Conducts compliance assessments and provides direction on any deficiencies resulting from scheduled product reviews
Assists in comment letters responding to regulatory issues
Participates in development of compliance sessions/presentations
Coordinates development of customer communications related to compliance issues

present

Los Angeles, CA

FFS Senior Regional Compliance Examiner

Los Angeles, CA

Wilkinson, Volkman and Bode

present

Los Angeles, CA

FFS Senior Regional Compliance Examiner

present

Manage the assigned inspection schedule, make arrangements and travel independently
Identify operational and compliance risks and recommend improvements
Review FFS registered branches and develop inspection schedule and assignments
Manage multiple inspections and projects simultaneously
Perform other duties as assigned
Maintain cooperative relationships with supervising principals, FFS compliance examiners and other Farmers audit teams and promote collaboration in the inspection efforts
Manages assigned personnel

Education Education

Bachelor’s Degree in Finance

Harvard University

Bachelor’s Degree in Finance

Skills Skills

Strong presentation skills
Ability to research and manage multiple projects and deadlines simultaneously
Thorough knowledge of SEC/FINRA/NYSE rules and regulations as well industry procedures
Strong understanding of Stifel policy and procedures
Demonstrated skills in negotiating, conflict management, and decision making; with the ability to deal with all levels of branch and firm associates
Ability to identify and escalate disciplinary issues
Thorough knowledge of U.S. Bancorp operations, policies and procedures
Thorough knowledge of government and regulatory laws and regulations
Attend to detail while maintaining a big picture orientation
Time Management – The ability to prioritize and manage one’s own time

Create a Resume in Minutes

3 Compliance Examiner resume templates

Read our complete resume writing guides

Compliance Examiner, W / Travel Resume Examples & Samples

Conducts and analyzes routine compliance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations
Evaluates processes and procedures for compliance
Assists in alerting management to current regulatory issues
Researches, interprets and translates regulatory rules and regulations for staff
Assists in delivering staff training on compliance policies, rules and regulations
Coordinates internal compliance examinations and regulatory agency examinations
Assists in the compliance review of sales and marketing literature and customer disclosures required by regulatory agencies
Advises compliance management of issues that involve possible rule violations and potential liability
Participates in addressing sensitive compliance issues with management in assigned functional area
Participates in corporate policy discussions related to compliance
Develops documentation related to compliance issues to enhance corporate policies
Assists in preparing and delivering written and oral presentations to management
Concepts, practices and procedures of securities industry and/or banking compliance reviews
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
Principles of banking and finance and securities industry operations
Conducting and analyzing compliance reviews and identifying irregularities
Developing compliance policies and procedures
Preparing and delivering written and oral presentations
Use independent judgment on a variety of compliance issues
Provide a high level of customer service
Associate's Degree (AA) or equivalent in a related discipline and two (2) years of compliance experience or three (3) years of financial services experience

Senior pcg Compliance Examiner Resume Examples & Samples

Bachelor's degree in business, finance or related field required
Minimum 4 years Securities industry experience or 4 years in audit or risk examination
Series 7, 63/65 or 66, 9/10 required, and ability to obtain state insurance license within 1 year
Demonstrated skills in organization, strong attention to detail, and the ability to meet deadlines
Strong understanding of Stifel policy and procedures
Communicate complex compliance issues, policies and procedures, in a credible and convincing manner. Also able to identify, correct and/or escalate disciplinary issues
Overnight travel required 25% - 35% or 12-14 weeks per year to branch locations as needed

Compliance Examiner Ii W / Travel Resume Examples & Samples

Conducts and analyzes more complex compliance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations
Alerts middle management to current regulatory issues
Researches, interprets and translates regulatory rules and regulations for staff and middle management
Monitors exception and other internal reports for employee adherence with rules and regulations
Trains staff on internal compliance policies, rules and regulations
Monitors and/or prepares filings and maintains compliance database
Coordinates internal examinations and regulatory agency inspections
Assists in the review of sales and marketing literature and customer disclosures required by regulatory agencies for compliance
Advises senior compliance management on issues that involve possible rule violations and potential liability
Prepares and delivers written and oral presentations to middle management
May coordinate and/or oversee responses to regulatory agency inquiries
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA) ;and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
Fundamental investment concepts, practices and procedures used in the securities industry
Conducting and analyzing compliance reviews and identifying compliance irregularities
Monitoring employee activities for adherence to organizational policies and procedures
Gather information, identify linkages and trends and apply findings to assignments
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Bachelor's degree (B.A) and two (2) years of experience in compliance in the financial services industry or banking preferred

Compliance Examiner Resume Examples & Samples

3-4 years Securities industry experience or 2-3 years in Audit or Risk Examination
Thorough knowledge of SEC/FINRA/NYSE rules and regulations as well industry procedures
Ability to identify and escalate disciplinary issues
Critical Thinking – Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems
General knowledge of business and management principles involved in strategic planning, resource allocation, leadership, production methods, and coordination of people and resources
Monitoring/Assessing – performance of individuals or groups to make improvements or take corrective action

Compliance Examiner Resume Examples & Samples

Scheduling of assigned examinations
Performs data collection in compliance with examination program requirements
Analyzes collected data to identify irregularities
Conducts onsite examinations to evaluate compliance with written policies and procedures
Alerts appropriate parties of identified issues, escalates items as appropriate
Drafts and distributes examination related communications to internal customers, external customers, and management
Adheres to generally accepted organizational examination workflows
Manages examination related travel expenses
Assist with training staff on compliance processes and procedures
Provides for maintenance of proper books and records relating to areas of assigned responsibilities
Reviews exception and other internal reports in compliance with written policies and procedures
Recommends process improvements to enhance the effectiveness and efficiency of firm processes
Financial markets and products
Investment concepts, practices and procedures used in the securities industry
Concepts, practices and procedures of auditing brokerage and investment advisory firms
Rules and regulations of the Securities and Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
Planning, organizing and conducting audits
Reviewing activities for adherence to organizational policies and procedures
Explaining policies and regulations to others
Addressing sensitive issues with others
Preparing and delivering written communication
Gather information, identify potential issues, and use independent judgment on a variety of compliance issues
Interpret and apply organizational policies and procedures, as well as securities and/or banking regulations
Work under pressure to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment with frequent interruptions
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Meet tight deadlines
Bachelor’s Degree and a minimum of three (3) years of financial services experience

Compliance Examiner Resume Examples & Samples

Coordinates scheduling of assigned examinations
Performs collection and validation of data in compliance with examination program requirements
Conducts more complex onsite examinations to evaluate compliance with written policies and procedures
Adheres and recommends enhancements to generally accepted organizational examination workflows
Trains staff on compliance processes and procedures
Reviews more complex exception and other internal reports in compliance with written policies and procedures
May facilitate responses to regulatory agency inquiries
Advanced investment concepts, practices and procedures used in the securities industry
Advanced Concepts, practices and procedures of auditing brokerage and investment advisory firms
Bachelor’s Degree and a minimum of eight (8) years of compliance experience, with preference given to experience conducting brokerage, investment advisory, and/or banking compliance examinations

Compliance Examiner Branch Office Inspections Resume Examples & Samples

Conduct Branch Office and Office of Supervisory Jurisdiction FINRA required inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and Columbia Asset Management locations
Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff
Analyze prepared information and complete independent research to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk
Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations
Write, deliver, and follow up with RPs on Commitment to Action plans for the resolution of identified deficiencies
Maintain current knowledge of industry and firm practices, developments and risks
Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures
Identify and escalate to leadership new risk trends observed while in the field
Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions
Communicate results to all levels of field leadership. Discuss results with all levels of field leadership and work collaboratively to resolve appeals from the field
Work with other examiners as needed to ensure consistency of process
Educate field members about hot regulatory topics, firm trends, and best practices
Participate in project, initiatives, etc. as requested
Series 7 required
Experience in an audit function, familiarity with audit methodologies

Compliance Examiner, Tfce Options Resume Examples & Samples

Reviews trading activity, systems and supervisory policies and procedures to determine compliance with federal, FINRA and other SRO’s rules and regulations
Utilizes computer resources and software applications for data analysis pursuant to review procedures.Interfaces with member firm personnel, peers, management and others and provides excellent internal/external assistance in specialized area of regulatory responsibility
46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to initiate and complete quality analysis and reporting of member firms options activity. Competence using a desktop computer with the full suite of office software applications

Compliance Examiner Resume Examples & Samples

Creates electronic work papers to evidence scope of examination and the accuracy of findings
Utilizes computer resources and software applications for data analysis pursuant to review procedures
Excellent verbal and written communication skills in order to present examination or investigative findings to management and other relevant parties

Compliance Examiner, Tfce Equities Resume Examples & Samples

Compiles and organizes information from a variety of sources to be used in the development of examinations or investigations of potential egregious activity
Develops a thorough understanding of the examination and investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA
45 - A minimum of three years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to communicate efficiently with corresponding parties. Ability to initiate and complete quality analysis and reporting of member firms equities activity. Competence using a desktop computer with the full suite of office software applications

Compliance Examiner Prf Resume Examples & Samples

Performs on-site examinations or quality assurance reviews of these examinations
Evaluates financial institution and mortgage banking activities to assess/monitor compliance with policies and procedures as well as applicable federal and state laws and regulations
Meets with financial institution management to discuss findings
Generates reporting, which identifies and addresses areas of significant risk and evaluates overall effectiveness of operations
May also review such activities concurrently to assure quality, consistent application and performance
Works closely with various groups within the organization and external customer to address routine matters
4 plus years of related experience
College Degree or equivalent work experience
Position requires approximately 50% travel (domestic)
Ability and desire to learn
Certification in risk management
Mortgage banking or general audit experience

Compliance Examiner Mgr Resume Examples & Samples

Selection of counterparties for review based upon a risk-based annual planning process for planned reviews, and a referral process for Ad Hoc reviews from business units due to performance and/or fraud concerns
Allocation of appropriate resources for confirmed reviews based upon scope of review
Oversight of Planning, execution, and reporting of reviews in accordance with CORE policies and procedures, including second-level review of workpapers and reports
Tracking, review, and validation of remediation of findings from prior reviews
Escalation of issues pursuant to CORE procedures
Maintenance of CORE policies, procedures, and assessment framework utilized in counterparty reviews
Maintenance of Areas of Focus and Audit Program objectives through active involvement in CORE’s Centers of Excellence, frequent communication with business unit partners, monitoring emerging risks and regulatory/Freddie Mac Single Family Seller/Servicer Guide changes; includes interaction with management from Legal, Compliance, Single-Family, and Enterprise Risk Management
8 plus years of relevant experience in mortgage operations
Bachelor’s degree or equivalent experience
Two years mortgage operation management experience
Auditing experience preferred

Compliance Examiner Resume Examples & Samples

Review marketing materials and communications with customers (including electronic communications) for compliance with applicable rules. File required marketing materials with the FINRA
Assist Chief Compliance Officer with updating Form ADV, Parts 1 and 2, and other regulatory filings, including Section 13. Assist Chief Compliance Officer with regulatory filings
Assist Chief Compliance Officer in reviewing, developing and administering compliance policies and procedures including transactional and forensic testing
Assist Chief Compliance Officer with conduct and documentation of the Annual Compliance Review
Analyze and prepare responses to compliance inquiries from prospects, clients, and regulators
Monitor best execution and directed brokerage. Monitor employee trading for compliance with the Code of Ethics. Administer electronic employee trading pre-clearance system
Participate in other projects, as assigned
Minimum of three years’ experience involving compliance for registered investment advisers and registered investment companies
Series 7, 24 and 66 (or 63 and 65) registrations required or must be promptly obtained
Understanding of federal and state regulations applicable to investment advisers
Understanding of investment adviser products and operations
Strong conceptual and critical thinking skills
Ability to accurately and concisely summarize complex information
Ability to cooperate in a team environment

Compliance Examiner Resume Examples & Samples

Bachelor's degree, or equivalent work experience
Three to five years of experience in regulatory compliance activities
Series 7 License
Series 24 License or the ability to pass the Series 24 exam within the first 90 days of employment
Thorough knowledge of government and regulatory laws and regulations
Thorough knowledge of U.S. Bancorp operations, policies and procedures
Ability to research and manage multiple projects and deadlines simultaneously

Compliance Examiner Professional Resume Examples & Samples

Monitors and communicates regulatory changes that impact products and services to internal and external customers
Conducts compliance assessments and provides direction on any deficiencies resulting from scheduled product reviews
Manages direction for development design specifications for compliance issues
Provides compliance reviews and direction for new and expanding products
Participates in development of compliance sessions/presentations
Participates in internal Education sessions promoting compliance awareness
Provides updates for monthly internal and external compliance reports
Meets with application product compliance liaisons on a regular basis for status updates on compliance issues
Interfaces with legal counsel and federal, state, and local agencies, as needed to resolve regulatory issues
Participates in compliance core group committee as needed
Participates in annual IRS and year-end processing modification project
Monitors and ensures timeline check-points are met for compliance projects
Responds to customer-specific questions
Coordinates development of customer communications related to compliance issues
Assists in comment letters responding to regulatory issues
Participates with and/or leads customer focus and advisory groups
Directs and approves internal and customer communications covering compliance issues (bulletins, position statements, monthly reports, etc.)
Communicates ideas both verbally and in written form in a clear, concise, and professional manner including presentations to employees and clients at all levels
Extensive knowledge of banking regulations
Ability to understand technical documents and legal or regulatory reference materials
Ability to understand and apply learned concepts
Demonstrated ability to plan and complete work within tight time limitations
Ability to apply creative problem solving techniques and tools to compliance issues
Ability to follow and conduct an audit programSearch Jobs US

FFS Senior Regional Compliance Examiner Resume Examples & Samples

Review and oversight of activities within the registered OSJ locations
Manages assigned personnel
Review FFS registered branches and develop inspection schedule and assignments
Oversee the inspection progress and completion of inspections conducted by FFS Compliance Examiners and Supervising Principals
Review and analyze inspection summary reports for compliance and supervisory issues
Monitor the supervision and controls of branch operations consistent with regulatory and firm requirements
Identify gaps and recommend enhancements in the firm's inspection program and training needs
Maintain cooperative relationships with supervising principals, FFS compliance examiners and other Farmers audit teams and promote collaboration in the inspection efforts
Conduct retail branch office inspections
Manage the assigned inspection schedule, make arrangements and travel independently
Select test samples of documents/cases for review
Tests, assess and confirm policies/procedures
Interview registered individuals and other associated support staff
Document and report on the adequacy and effectiveness of the control environment in the branch location
Identify operational and compliance risks and recommend improvements
Monitor and ensure agreed actions are implemented
Conduct meetings with the registered individuals to discuss preliminary findings and obtain formal responses to exam items
Manage multiple inspections and projects simultaneously
General Compliance Activities Participate in special investigations and conduct
Needs Based and/or For Cause audits as directed
Research and analyze federal and state (FINRA, SEC, MSRB, State Securities and Dept. of Insurance) level regulations and when applicable, apply to case subject to review
Serve as Firm designated Investment Company Products Limited Principal and Municipal Fund Securities Principal

Compliance Examiner Senior Resume Examples & Samples

Evaluates financial institutions and mortgage banking activities to assess/monitor compliance with Freddie Mac guidance, as well as applicable federal and state laws and regulations
Meets with financial institution management to obtain information to assess the counterparty’s overall organization, processes, and control environment
Planning, execution, and reporting of reviews in accordance with CORE policies and procedures, including first-level review of workpapers and reports
Works closely with various groups within the organization and external customers to address routine matters
5-8 plus years of relevant experience in mortgage operations
Two years mortgage operations experience
Ability to travel 50% of the time (domestic)
Excellent communication skills (both written and verbal), including a professional writing sample
Auditing experience

Compliance Examiner Prf Resume Examples & Samples

Performs on-site examinations and quality assurance reviews of these examinations
Evaluates financial institution and mortgage banking activities to assess/monitor compliance with policies and procedures, as well as applicable federal and state laws and regulations
May also review such activities concurrently to assure quality, consistent application, and performance
Minimum 4 years of related experience
An on-site writing sample will be requested during the interview process
Ability and desire to learn,
Public Speaking and Interviewing Skills,
Attention to detail, and ability to comprehend mortgage banking subject matter in real time
Certification in risk management and/or CIA, CFE, CFSA, CISA
Prior experience in mortgage banking or general audit/risk management experience

Compliance Examiner Mid Career Cg Resume Examples & Samples

Knowledge of consumer protection, fair-lending, civil rights laws and regulations, Community Reinvestment Act and related laws and regulations to determine the extent of banks compliance
Ability to use knowledge of banking operations, accounting and compliance examination policies and practices to detect patterns or practices of discriminatory lending practices
Ability to communicate in writing to craft reports of examination documenting summary of findings and the bank's responses
Ability to make oral presentations required to meet with bank officials and discuss the scope of the examination, findings and recommendations for corrective action

Compliance Examiner Resume Examples & Samples

Acquire and maintain the core skills and knowledge of relevant rules and regulations
Perform daily surveillance of securities transactions received from sales offices
Review trade reports from various sources for suitability and/or regulatory
Travel to sales offices and conduct annual and special compliance inspections by reviewing the books and records, interviewing personnel, and observing day-to-day operations in the office
Handle customer complaint responses and investigations
Conduct special reviews and investigations of alleged violations of company policy and/or securities rules
Enforce the Electronic Communications policy by conducting ongoing and targeted reviews of email correspondence and other postings to/from employees of the firm
Handle internal and external requests regarding to how to follow compliance policy and procedures
Provide comprehensive written and verbal reports to management, including but not limited to, surveillance, investigations, and sales offices inspections
Ensure all required internal and regulatory reporting is conducted in a timely, accurate, and compliant manner
Active FINRA Series 6 and/or Series 7, or the ability to obtain within the first 12 month of employment
Self-starter/responsible
Strong organizational skills and the ability to communicate progress effectively
Proficient in Microsoft Word, Excel, Access and accurate typing skills
Entry level candidate is required to sign a 3-year contract

Senior Compliance Examiner, CG Resume Examples & Samples

Directing and coordinating the work of other employees performing compliance examination activities of relative complexity
Assessing quality of bank management and assisting bank management in formulating programs for the correction of practices leading to the problem bank designations
Conducting fair lending and consumer complaint investigations involving highly sensitive or complex issues. Preparing an investigation report and making written recommendations for or negotiating resolution of the complaint when the bank is found to be in error or violation

Senior Compliance Examiner CG Resume Examples & Samples

Serving as a key field office representative responsible for planning and conducting comprehensive compliance examination activities that include: annual percentage rate and annual percentage yield calculations, analysis of consumer and small business financial information, determination of the bank's lending patterns for income levels and geographies, review of certain financial performance indicators for the bank and analysis of demographic data related to the bank's market area
Serving as subject matter expert for the field office/territory in consulting with other examiners on one or more complex areas which may include fair lending, UDAP, CRA, Reg Z, or other consumer protection areas
Serving as coach and mentor to less tenured and noncommissioned examiners; providing advice, counsel and on-the-job training in applicable compliance examination and investigation techniques
Conducting or directing examinations of banks presenting more complex and/or sensitive compliance situations such as those with problematic compliance ratings; higher than average fair lending or consumer complaints; assets greater than $10 Billion; rapid asset growth, past-due RE and consumer loans; dominant management; institutions reported in Quarterly Lending Alerts or flagged as credit card banks; Large, Limited Purpose or Wholesale Banks, ILC, Niche Banks; banks having Multi-state or Multi-MSA operations; banks with high yield on credit card ratios; DeNovo institutions; etc
Working closely with banks or bank trade associations that have requested assistance in developing or refining compliance, fair lending and civil rights or CRA programs
Representing the Corporation and participating in meetings, presentations and educational forums with bankers, community groups and bank trade associations

Compliance Examiner Professional Resume Examples & Samples

Ability to leverage and sort large amounts of data
Advanced excel skills a plus
Workday experience a plusSearch Jobs US

Hsmv Compliance Examiner Resume Examples & Samples

Knowledge of automotive parts and repairs
Skill operating personal computers, including Microsoft Word and Excel
Skill in dealing with customers from varied backgrounds in stressful public contact situations effectively and efficiently in a tactful and courteous manner
Skill collecting and reviewing data
Skill performing investigative work
Skill in understanding, interpreting and applying rules, regulations, policies, and procedures
Skill in preparing accurate and complete written reports
Skill evaluating applications for licensure or permitting
Skill preparing correspondence
Knowledge of the Florida Real-Time Vehicle Information System (FRVIS)
Ability to handle cash, make correct change and follow money handling procedures
Skill in recording information and maintaining tracking logs
Ability to operate a motor vehicle

Securities Compliance Examiner Resume Examples & Samples

Travel to examination sites may be required
Supplementary vacancies may be filled in addition to the number stated in this announcement
This position has promotion potential to the SK-14 level
PROBATIONARY PERIOD: This appointment may require completion of a one-year probationary period
SECURITY CLEARANCE: Entrance on duty is contingent upon completion of a pre-employment security investigation. Favorable results on a Background Investigation may be a condition of employment or selection to another position
DRUG TESTING: This position may be subjected to drug testing requirements
PERMANENT CHANGE OF STATION (PCS): Moving/Relocation expenses are not authorized
DIRECT DEPOSIT: All Federal employees are required to have Federal salary payments made by direct deposit to a financial institution of their choosing
This position is in the collective bargaining unit
To begin, click Apply to access the online application. You will need to be logged into your USAJOBS account to apply. If you do not have a USAJOBS account, you will need to create one before beginning the application
Follow the prompts to select your résumé and/or other supporting documents to be included with your application package. You will have the opportunity to upload additional documents to include in your application before it is submitted. Your uploaded documents may take several hours to clear the virus scan process
After acknowledging you have reviewed your application package, complete the Include Personal Information section as you deem appropriate and click to continue with the application process
You will be taken to the online application which you must complete in order to apply for the position. Complete the online application, verify the required documentation is included with your application package, and submit the application
Required: Your responses to the Occupational Questionnaire
Required: Your complete and comprehensive resume that includes a complete history of your work experience and the applicable employment dates with months and years. To determine if you qualify for this position, OHR will review your work history that is relevant to the specific position for which you applied. If you are selected for this position, OHR will review your complete work history to establish your starting salary.Note: Your resume must directly address the definition of specialized experience listed in the qualification section of this announcement and must NOT contain pictures
Required, if applicable: CTAP documentation (a copy of a separation notice or other proof of eligibility for priority selection; a copy of an SF-50, Notification of Personnel Action, showing current position, grade, promotion potential, and duty location; AND a copy of your most recent performance appraisal.)