Compliance Analyst Resume

Samantha Gray

North Highlands CA 95660

(916) 987-6543

[email protected]

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Job Objective

To obtain a challenging Compliance Analyst position in a well reputed organization.

Highlights of Qualifications:

  • A great deal of experience with trade compliance applications
  • Self-motivated and has high standards for accuracy
  • Ability to work independently and as part of a team
  • Excellent written and verbal communication skills
  • Strong interpersonal and time management skills
  • Excellent analytical and critical thinking skills
  • Proficient in Microsoft Office – Excel, Visio, PowerPoint, Project, Word, Microsoft Access, and data manipulation

Professional Experience:

Compliance Analyst, August 2005 – Present

Allegis Group, Inc., New York, NY

  • Managed, authored and adapted firm policies and procedures to keep current with applicable industry regulations.
  • Interacted with Regulators during routine audits as well as regulatory inquiries.

Compliance Analyst, May 2000 – July 2005

Janus Capital Group, New York, NY

  • Traded portfolio monitoring and exception reporting.
  • Proficiently analyzed, designed, tested, and managed rules in Dimensional’s.
  • Post- traded compliance systems support for AUS portfolios.
  • Reviewed advertising, sales, and institutional materials for compliance with industry regulations as well as Dimensional’s policy and procedures.
  • Provided support to sub-advisor reporting obligations.


Bachelor’s Degree in Finance, University of California, Berkeley, CA