Compliance Analyst

Julie Lee

** ***** **. *********, ** ***** 201-***-**** ************@*****.***

EXPERIENCE

Skadden, Arps, Slate, Meagher & Flom LLP (New York, NY) ● 1/2011 – present

Compliance Analyst

Review and follow up on documentation and information to meet the Firm’s domestic and international Know

Your Client (“KYC”)/Anti-Money Laundering (“AML”) compliance regulatory requirements

Research, document and analyze background information on the Firm’s prospective and existing clients

through public record databases to identify related negative media, Politically Exposed Person (“PEP”) and/or

sanctions

Report and escalate any non-compliance issues with management and Firm partners

Update internal documentation and databases to keep current with compliance status of clients as well as new

regulations and requirements

Assist in the creation, testing, modification and implementation of Firm-wide new client intake procedural

database

Travelers, Commercial Lines (Morris Plains, NJ) ● 1/2010 – 12/2010

Premium Auditor

Reviewed insured’s operation, obtained documentation and data, analyzed and performed physical audit and

inspections on insured’s business and insurers premium calculations

Prepared audit reports, which reviewed the insured's premium, operations and compared results with insurer

test audits, and detailed any discrepancies

Reviewed and researched manuals/databases, on rates, classification and underwriting

Worked with insureds to scheduled appointments throughout New York City on a day-to-day basis

Prudential Financial, Investment Division (Newark, NJ) ● 6/2007 – 12/2009

Senior Associate, Compliance

Co-chaired large initiative to create comprehensive personal securities trading monitoring system and master

restricted list

Offered day-to-day technical support for team, particularly with Microsoft Office applications

Managed communication and distribution of corporate and/or compliance policy to domestic and international

business partners

Supervised the distribution and the timely completion of required attestations from all new hires and current

employees

Coordinated the invitation, registration and completion of compliance training annually for approximately 2200

employees of Prudential Investment Management (“PIM”)

Facilitated renewal of all corporate real estate and commercial lender licenses for each applicable PIM entity

Maintained federally required restricted lists with all securities for which PIM has material non-public

information

Maintained and helped coordinate our department’s Business Continuation Plan in case of pandemic or other

emergencies

Washington Mutual Bank (New Brunswick, NJ) ● 9/2005 – 4/2007

Personal Financial Representative

Developed marketing plans, including outside sales, to generate business

Provided seminars at the local library to customers and town residents on the basics of personal banking and

home loans

Sold deposit products to customers; built new customer relationships through sales initiatives and

telemarketing; cross-sold and provided referrals to other areas of the Bank

During nearly 4 years of cash handling experience, cash drawer always balanced

Regularly called existing clients and outside prospects to develop and maintain business relationships

Prepared routine correspondence; processed account changes; researched and resolved account-related

problems; responded to customer inquiries; assisted customers with account balancing

EDUCATION

Rutgers University, Douglass College

Bachelor of Arts in Psychology: October 2007

ACTIVITIES

Overseas Humanitarian Trips

Sponsored by Chodae Presbyterian Church of New Jersey (Old Tappan, NJ) and Arcola Covenant Community

(Paramus, NJ)

Taught English to locals and helped translate between Spanish and English in Mexico (Aug 1998, Aug 1999,

Feb 2000, July 2000, Feb 2001, Aug 2001), Peru (July 2002), and Honduras (Aug 2002)

Taught English and translated between Korean and English at a rural orphanage in China (July 2007)

Explored new cultures and communicated with native people learning diversity

Arcola Covenant Community

Finance Committee Chairperson (2010), Finance Committee Member (2009, 2011)

Maintain budget; monthly reconciliation of transactions; accounts payable

SKILLS

Computer: Windows (XP, Vista, & 7), Mac OSX, Microsoft Office 2007, 2010 (Word, Excel, PowerPoint, Outlook), iWork

’09 (Keynote, Numbers, Pages), Adobe Acrobat 9 Pro, Lotus Notes, QuickBooks; high computer literacy

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