Samantha Gray
North Highlands CA 95660
(916) 987-6543
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Job Objective
Seeking organization with the potential to expand and grow in which my Corporate Compliance Officer skills can be utilized to their fullest.
Highlights of Qualifications:
- Extensive knowledge of Investment Adviser’s Act of 1940
- Solid experience in Fixed Income environment
- Proficient with effective compliance programs
- Proven managerial skills
- Strong interpersonal and communication skills
- High level of ability to multi-task in a dynamic environment
- Strong ability to organize compliance training programs
Professional Experience:
Corporate Compliance Officer
Nycomed US, Enterprise, AL
August 2005 – Present
- Established a compliance committee to look after company’s compliance procedures
- Enforced compliance standards through effective strategies.
- Detected offenses and recommended corrective plans.
- Supervised entire aspect pertaining to investment advisory compliance program
- Supervised compliance training programs.
- Ensured regulatory reporting as required.
- Participated in the staff development programs.
Corporate Compliance Officer
Ivans, Enterprise, AL
May 2000 – July 2005
- Developed and reviewed BI Code of Conduct
- Implemented Code of Conduct throughout BI efficiently.
- Provided advisory support to internal compliance department members and business units.
- Acted as resource person for entire aspect of compliance procedures and guidelines.
- Developed and executed compliance-related policies.
- Maintained corporate Compliance reporting systems.
- Resolved all issues pertaining to corporate compliance standards and procedures.
Education
Bachelor’s Degree in Business
Stephens College, Columbia, MO