Regional Compliance Resume Sample
Joshuah Wolff
940 Nicolas Squares,
Chicago,
IL
+1 (555) 111 4056
Work Experience
Regional Compliance Manager
04/2016
-
PRESENT
Phoenix, AZ
- Information Security; and
- Interact with others to identify opportunities for improvement and provide resolutions for identified issues
- Five (5) years health care management experience
- Two (2) years use of quality processes and measurement techniques experience
- Knowledge and understanding of regulatory & accrediting agencies standards and experience with ensuring compliance
- DEA experience in outpatient healthcare is highly desired
- Knowledge of 21 CFR Part 1300-End
- Understanding of HIPAA, Federal, State and DEA standards and regulations
Head of Regional Compliance
03/2011
-
02/2016
New York, NY
- Create a culture that encourages commercial thinking and embed compliance and conduct management in regional operational and strategic decision making
- Build and maintain effective relationships with the business
- Provide effective regulatory and compliance oversight
- Maintaining, overseeing and building effective relationship with external service providers
- Is a key input into the formulation and delivery of the strategic direction of the business regionally
- Is responsible for guiding and directing direct reports and peers in their high level decision making
- Responds to questions regarding the interpretation and/or analysis of statutes/regulations, consulting counsel where necessary
- Assists in developing/implementing policies, programs and projects involving regulatory/legislative compliance. This includes new business implementations
Regional Compliance & Approvals Lead
05/2006
-
02/2011
Chicago, IL
- Reviews policies, documents and correspondence (e.g., member, customer and provider communications), for adherence with statutory/regulatory requirements. This includes RFP responses as requested by the proposals department
- Assists in the development and oversight of corrective action plans
- Develops and maintains resource materials relating to regulatory/legislative compliance issues
- Maintains accurate and comprehensive documentation of compliance activities as needed to successfully meet requirements of external audits and requests
- Prepares or assists in the preparation of submissions to regulatory agencies relating to compliance activities
- Develops, implements and monitors regulatory compliance plans including evaluating state and federal regulations, assessments of organizational compliance and, preparation of periodic reports to senior management
- Leads or assists in special projects as assigned
- Directs implementation and training relating to legislative/regulatory requirements
- Work on ad-hoc special projects at a Firmwide and Divisional level, to coordinate Legal and Compliance Division’s resources and response
Education
Western Carolina University - Asheville
2001 - 2005
Bachelor's Degree in Accountancy
Professional Skills
- Excellent presentation and organizational skills and proven training skills
- Excellent contract interpretation, negotiation skills, and direct customer facing experience are core to this role
- Demonstrate excellent written and verbal communication and negotiating skills
- Strong analytical and problem solving skills required; attentiveness to detail
- Superior time-management/ project-management skill set, able to prioritize and handle multiple competing programs and initiatives, and execute excellently
- Influencing and challenging skills at Executive level and with peers across business units
- Proven track record of experience in either managing a complex planning process, or in delivering across a range of strategically important projects
How to write Regional Compliance Resume
Regional Compliance role is responsible for english, spanish, retail, finance, credit, securities, training, auditing, trading, reporting.
To write great resume for regional compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regional Compliance Resume
The section contact information is important in your regional compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Regional Compliance Resume
The section work experience is an essential part of your regional compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous regional compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regional compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regional Compliance resume experience can include:
- Produce high quality deliverables which can help define, communicate and train on LCD’s key messages, internally to the department and externally to the wider Firm
- Fluent in English, additional language skills including Chinese, Japanese or Korean would be advantageous
- Fluent in English, additional language skills including German, French or Spanish advantageous
- Experience in dealing with compliance issues, such as remote site risks, controllership, FCPA, anti-money laundering and privacy
- Five years or more professional experience performing Department of Revenue activities using Washington State excise tax laws and rules
- A demonstrated track record of successful performance as well as success in leading/managing others
Education on a Regional Compliance Resume
Make sure to make education a priority on your regional compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regional compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Regional Compliance Resume
When listing skills on your regional compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical regional compliance skills:
- Strong interpersonal skills, flexibility, and a collaborative team-oriented problem solving approach are critical
- Proven experience of working at senior level displaying a deep understanding of business issues and financial knowledge
- Expert problem-solving and analytical skills (including financial analysis)
- Fluent in English, additional language skills including French would be advantageous
- Fluent in English, additional language skills including Spanish and Portuguese would be advantageous
- Work effectively as a team member liaising closely with other Compliance Managers
List of Typical Experience For a Regional Compliance Resume
1
Experience For Regional Compliance Manager Resume
- Experience and knowledge in Compliance and regulatory affairs, particularly in areas related to Morgan Stanley’s business. Ability to quickly grasp new topics and learn about new areas of the business or Compliance
- Drive for and ensure processes, operations, systems, databases and information security are up to date and comply with proper accounting and legal principles/policies/procedures
- Work with relevant stakeholders to resolve and prioritize issues / initiatives related to compliance
- Identifying potential concern and timely escalation to stakeholders
- Represents MoneyGram’s Compliance Program to external audiences, including Agents and banking partners
2
Experience For Head of Regional Compliance Resume
- Assists as requested with training, licenses, accreditation, etc. of new CTC facilities
- Develop and conduct compliance training for employees and third parties
- Meet with and maintain a positive working relationship with local/national representatives of government agencies
- Perform reviews and ensure Quality Control Manuals (QCMs) have been updated to reflect any changes in compliance requirements
- Drive communications for any change/updates in compliance and control environment between GFS-Asia Pacific (Manila) and local finance
- Facilitate and coordinate audit efforts as required with auditors and legal authorities with the execution of required activities – ensure staff and information are available as required
- Ensure business process documentation and SOPs (standard operation procedures) are up-to-date and compliant
- Ensure regional policies and procedures are aligned with financial, regulatory, quality, corporate and government compliance requirements
- Monitor and coordinate across the regional service delivery landscape to ensure all service compliance requirements are understood and required compliance activities are complete
3
Experience For Regional Compliance Analyst Resume
- Ensure proper management, maintenance, and deployment of global compliance processes at the regional level
- Provide guidance and support on local level policy requirements
- Monitor the regional dashboard to track compliance to financial, regulatory, quality, corporate and government compliance requirements
- Indirectly lead entity executive leaders who also serve as Entity Compliance Liaisons in the
- Monitor the Corporate Compliance Program’s performance at the regional level and help
- Communicates with individual POAs, licensing department, IT, software vendors, project managers, and designated IT staff to ensure constant online ordering capability for approximately 100 CSOS POA designees
- Travel as required to meet the needs of the position
- Provides bi-annual Subcontractor Reporting Form (SF294) training to regional staff; oversees corporate submission of SF 294; and prepares corporate SF 295. Reviews all Subcontracting Plans prior to inclusion in Chemonics’ proposals
- Ensuring smooth transition of businesses into 1825
4
Experience For Regional Compliance & Approvals Lead Resume
- Liaises regularly with new business staff to understand and better respond to clients’ needs
- Knowledge of company’s main client and its operations required
- Communicates with MoneyGram’s Senior Compliance and Sales Management on issues of agent risk, advising on risk mitigation, agent restrictions and terminations
- To provide Board and Management visibility and oversight of MIL’s key business risks/ Compile risk information and prepare reports for the RMICC Committee /Board
- Perform a subject matter expert role and partner with key stakeholders to advise them on adidas’ Code of Conduct, ‘Fair Play’ and supporting compliance policies, including by providing training to regional senior leadership teams, employees and relevant business partners
5
Experience For Manager Regional Compliance Resume
- Influencing business decision on target firms
- Recommending transactions to appropriate governance channels
- Supporting the deal offer transaction
- Work independently, self motivated, while being a team player
- Reports to 1825 Head of Compliance and Conduct with a dotted reporting line to the regional MD
- I.A. for the adidas AG with the documented signature authorities
- Local authority as necessary
- Desire to learn about compliance
6
Experience For Director Regional Compliance Management Resume
- Travel in the region is required
- Building, maintaining and continuously improving the compliance culture through prevention, detection and responses of compliance issues and full deployment of the Group Compliance program at regional level
- Is a member of the Regional Executive Committee forming part of the key decision making process regionally
- Works closely with all members of the 1825 executive to drive regulatory and conduct strategy
- Engages regularly with and influences across 1825 and other parts of Standard Life
- Is responsible for two principal areas
- Ensure processes, operations, systems, databases and information security are up to date and align with proper accounting and legal principles/policies/procedures
- Facilitate audit efforts, as required, with auditors and legal authorities with the execution of required activities
- Develop and execute compliance program initiatives across EMEA markets, with a likely focus on Northern, Central & Eastern Europe
7
Experience For Regional Compliance Field Support Manager Resume
- Conduct risk assessments to identify compliance issues and develop appropriate risk mitigation measures
- Review local compliance approval requests and triage matters for resolution or escalation
- Develop and manage relationships with functional leaders and key stakeholders
- Partner with cross functional stakeholders to provide compliance support to the business
- Conduct compliance due diligence on third parties
8
Experience For Director, Regional Compliance Resume
- Provide support for compliance policy, process, and tool development and identify opportunities for programmatic improvements
- Up to 30% regional travel is required
- Self-starter with 7+ years of industry or consulting experience in ethics and compliance, risk mitigation, business process consulting or internal audit, in a multinational company
- Prioritize effectively in a fast-paced environment and work cross-functionally with multiple geographies (in EMEA and elsewhere), functions, and employees of diverse backgrounds
- Fluency in English and the ability to write clearly and concisely. Fluency in another language widely spoken in EMEA is desirable
9
Experience For Icg-regional Compliance Analyst Resume
- Significantly contribute to the development and regional implementation of global compliance strategy, policies, procedures and internal controls by identifying and evaluating regional compliance risks and enforcement trends
- Perform a subject matter expert role and partner with key stakeholders to advise them on the GfK Code of Conduct, 'how we measure up' and supporting compliance policies, including employees and relevant business partners by providing training to regional senior leadership teams, employees and relevant business partners
- Provide global and regional leadership and direction regarding compliance incidents by directing incidents towards the appropriate channels for investigation and overseeing their resolution either directly or through management of third party vendors
- Direct and conduct regional level compliance risk assessments and compliance audits
- Evaluate potential global and regional areas for compliance vulnerability and compliance risk by continually monitoring regional compliance performance; develop/implement corrective action plans for senior leaders for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
- Provide reports on a regular basis, and as directed or requested, to keep the Global Compliance team and Regional senior leadership teams informed as to the operation and progress of compliance efforts in the region and initiate appropriate steps to continuously improve its effectiveness
- Regularly contribute to the collection and reporting of compliance performance indicators
10
Experience For Risk Manager Regional Compliance Enterprise & Operational Risk Management Resume
- Postgraduate business or compliance management qualifications viewed advantageously
- Knowledge of Compliance programs, solutions, processes, controls and procedures with strong anti-bribery & corruption, competition law and anti-fraud & theft compliance required
- Translate strategy into tactical plans and to execute them
- Executes on established MoneyGram Compliance and Anti-Fraud programs, principles, standards, policy and oversight
- Provides guidance and support to the Regional Business through participation in new product/service or channel
List of Typical Skills For a Regional Compliance Resume
1
Skills For Regional Compliance Manager Resume
- Extremely strong organization and productivity skills to seamlessly manage multiple complex engagements simultaneously
- Strong managment, critical thinking, analytical and communication skills, both verbal and written
- Very good English communication skills (oral and written)
- Excellent written and verbal bilingual skills in English and Spanish
- Information Seeking - The ability to efficiently and effectively collect information, to provide insight to others or to help solve business issues
- Fluent in English, additional language skills would be advantageous
- Demonstrated experience leading teams and initiatives both directly and indirectly
- Confident, highly motivated self-starter who works calmly and effectively under pressure
- English and Portuguese language skills
2
Skills For Head of Regional Compliance Resume
- Additional language skills in Portuguese and French, highly desired
- Proven understanding of financial reporting and P&Ls
- Management experience with responsibilities for hiring, performance management and coaching
- Experience of managing teams in an ambiguous and constantly changing environment
- Strong knowledge of the Quebec regulatory environment surrounding insurance and mutual funds
3
Skills For Regional Compliance Analyst Resume
- Sales Force experience or knowledge and working knowledge of industry distribution systems
- Maintain effective relationships with other compliance team and resources. Acting as a regional point of contact for SEA area in license compliance
- Experience working in the Asia Pacific region (multi-country coverage) required
- Experience in service support function with comprehensive understanding of compliance and internal controls
- Chronological Résumé detailing work experience that supports your letter of interest
- Significant experience of working in a senior risk or compliance role
- Significant compliance experience in in leading regulated global financial services firms, preferably with exposure to the commodities sector
- Excellent time management and delegation
4
Skills For Regional Compliance & Approvals Lead Resume
- Strong internal and external stakeholder management
- Manage an effective, ongoing, proactive compliance and risk management program covering all LOBs
- Ensure branch physical appearance conforms with good business practice and relevant legislation (e.g. Health & Safety)
- Review the effectiveness of compliance activities, and drive for necessary improvement to compliance coverage
- Experience in software industry with both technical and contractual exposure
- BA/BS or equivalent combination of education and work experience
- Work experience within Financial industry or Compliance environment
- Managerial experience in internal audit/compliance of an MNC and/or financial shared services
5
Skills For Manager Regional Compliance Resume
- Experience 5/10 + within a large multinational corporation in areas such as Legal, Compliance, Audit, Quality or Risk Management
- Multi-task, prioritise and project manage complex issues
- Inquisitive with an excellent attention to detail
- Work experience as a subject matter expert in Compliance or Fraud Prevention within the financial services industry
- Working across boundaries -Encouraging team work and collaboration and breaking down boundaries
- Understanding of the advisory sector and an established network of relationships
- Understanding of how businesses are structured and work
6
Skills For Director Regional Compliance Management Resume
- Working knowledge of relevant Hong Kong regulatory requirements
- Working knowledge of SAP (or other ERP’s) an advantage
- Willing to be assigned in Parañaque City
- Working knowledge of local AML Regulations
- Help in preparing quarterly compliance reporting including; Individual Risk Committee Report, Regional Vice President Reports and required Board Reports
7
Skills For Regional Compliance Field Support Manager Resume
- Track record of leading a highly engaged and performing compliance or risk function
- Provide DEA Compliance training and maintain training logs for all CTC facilities in your region
- Ensure that the branches are performing CHQ mandated daily, weekly, and monthly monitoring activities
- Partner with business unit leaders to increase awareness of the importance of integrating
- Detailed knowledge of external factors impacting regulatory and risk strategy
- Build relationships -Building partnerships, networks and relationships
- Ensure BCP is reviewed, updated and local level testing is performed annually
- Manage and track employee participation in mandatory training programs
8
Skills For Director, Regional Compliance Resume
- Responsible for keeping abreast of current compliance issues, industry and/or market developments
- Perform standard ongoing audit program for Mutual Funds and Insurance sales activities
- Produce various reporting as required, daily, weekly and monthly
- Periodically review Financial Needs Analysis, Replacement forms and Training Supervision to ensure compliance with regulatory requirements
- Master’s in Business Management or Post Graduate Diploma in Business Management – Finance, Banking
- Track record of leading change in a compliance and risk function
- Take responsibility for specific initiatives within Compliance e.g., training, offsites, team development LI-JG1
- Execute the compliance monitoring processes and procedures for the region
9
Skills For Icg-regional Compliance Analyst Resume
- Maintain CSOS Coordinator Status to ensure all POA’s have appropriate approval and certificates with DEA for online CS ordering
- Monitor business activities for potential compliance risk implications and maintain a current understanding of relevant functional processes
- Undertake highly complex tasks, requiring specific compliance knowledge and a commercial mindset
- Administer and execute the Europe Customs Compliance program at regional level, according to company objectives, policies and procedures
- Ensure that daily, weekly, monthly import/export functions, reports and monitoring activities are performed and reported accurately and timely
- Ensure that preventative and detective controls are monitored and are being used in accordance with policy, rules and regulations
10
Skills For Risk Manager Regional Compliance Enterprise & Operational Risk Management Resume
- Clear demonstration of people leadership and development
- Detailed knowledge of the regulatory framework
- Detailed knowledge of risk management frameworks
- Regulatory research analysis and interpretation
- Compliance certification is an added advantage
- HR Shared Services Specialist
- Impact and Influence - Influencing others to achieve a positive impact. This includes communicating clearly, building support for ideas and having an impact on other people
- Utilize management principles including supervising, mentoring, training, motivating, coaching and evaluating staff to inspire them to be the best they can be
List of Typical Responsibilities For a Regional Compliance Resume
1
Responsibilities For Regional Compliance Manager Resume
- Participate in a risk assessment annually and formulate compliance plans geared at developing and improving policies and procedures, activities related to training and education
- Develop ongoing monitoring and surveillance of key current and emerging compliance risks. Work with Compliance colleagues in shared services to enhance automation and replace manual controls when possible, develop economies of scale and consistency of reporting and monitoring
- Proven experience of relationship management with external regulators
- Able to demonstrate a proven track record of corporate acquisition and integration from a regulatory and risk perspective
- Exceptional interpersonal and communication skills and ability to negotiate at all levels of the organization
- Strong knowledge of Quebec insurance laws and regulations, and the ability to apply these in practical situations
- Experience or knowledge of the advisor role and responsibilities
- Understand and follow the collective bargaining agreement, agency policies, and support diversity programs, and employee training
2
Responsibilities For Head of Regional Compliance Resume
- Motivate and inspire others to realize their potential through leading by example and making a difference in the organization
- Engage employees in creative and innovative thinking, problem solving, judgment and decisiveness
- Courageous decision making -The ability to make decisions at pace and in ambiguous or conflicting situations
- Identify and document reviews findings to include control weaknesses, missing controls or process improvements
- Perform monthly financial reviews (controls and Balance Sheet), analysis on financial reporting, budget results, cash flow, and debt control
- Review the previous day’s Mutual Fund trading activity in accordance with Regulatory requirements and internal policies
- Ensure that appropriate compliance due diligence reviews are conducted on all new acquisitions, joint ventures and partnerships
3
Responsibilities For Regional Compliance Analyst Resume
- Support the drafting and implementation in collaboration with in-house lawyers and appropriate business leaders compliance policies and procedures at the S&P Global or S&P Global Platts level that are required to address any new regulatory developments
- Manage future regulatory examinations with CCO and other compliance colleagues
- Advise the Chief Compliance Officer of S&P Global Platts with regard to significant compliance matters and issues pertaining to S&P Global Platts and identify resources required for developing and maintaining an effective compliance program for S&P Global Platts
- Demonstrated successful track record in compliance project management that includes planning, delegation of responsibility, progress monitoring, follow through and implementation, coupled with a keen understanding of what comprises a proactive, business-oriented compliance management function
- Work with DMs in region to determine whether adequate customs compliance structure & staff is in the branch
4
Responsibilities For Regional Compliance & Approvals Lead Resume
- Work with Regional and/or Country Managers to ensure that annual risk assessments are conducted and reported on in compliance with the requirements for AEO certification
- Assist and support districts at a country level with the application for and maintenance of AEO certifications
- Identify Customs compliance risks within the region and escalate as needed to the Regional Customs Director and CHQ Customs Compliance team
- Continually seek quality improvement and "upstream" preventative controls that streamline processes and save time and resources
- Maintain compliance with and proficiency of rules, regulations and policies enforced by other government agencies involved in the regulation of imported or exported goods in the European Union
- Regularly communicate with Regional Product leadership, CHQ personnel, RVP, DMs, Product Managers, Compliance personnel and others on branches performance, audit findings, red flags, legislative changes, policy, procedure, rules, or regulation amendments, general information dissemination, and administrative issues/questions
- Consolidate monthly export Customs Compliance Alert reports from branches in the region
5
Responsibilities For Manager Regional Compliance Resume
- Identify training opportunities, assist with the development of training material by providing expert content and deliver training when appropriate
- Understand performance of all branches in region related to Customs compliance activities
- Conduct and report on ad hoc requests from the regional product leadership to audit or assess customs declarations, compliance with customs authorizations and/or specific operational procedures
- Coordinate and conduct seminars
- Review amendments to trade and customs related legislation, research, report on the impact of such amendments, and publish related Newsflashes, when appropriate
- Manage and monitor the 3rd party broker program in the region. This would include overseeing applications, revalidations, cancelations as well as ensuring that 3rd party broker quarterly reviews are completed
- Ensure that districts are effectively auditing 3rd party broker files
- Develop and maintain a “Helpdesk” function in the region, with the primary task of assisting district offices with the provision of information and guidance in the customs clearing process
- PC Skills (Excel, Word, Visio, Powerpoint
6
Responsibilities For Director Regional Compliance Management Resume
- Experience interacting with government agencies
- Conduct internal reviews of varying complexity and scope on the Americas operations for the organization, including financial, risk and compliance testing
- Liaise with DM, Regional Vice-President and Corporate Customs Compliance Managers
- Develop and execute compliance program initiatives across EMEA markets, with a likely focus on Middle East & Africa
- Prepare detailed reports of findings and recommendations for management
7
Responsibilities For Regional Compliance Field Support Manager Resume
- Conduct special studies for management
- Support APAC countries and Singapore site in their responsibilities to meet the compliance requirements as set out by the Roche Group, in particular but not limited to
- Experience in compliance, risk management, or regulatory related function in the financial services industry
- Organisation, time management, ability to work to deadlines
- Filipino citizen or holder of relevant residence status
- Speak and/or understand Chinese (preferably Mandarin) required
8
Responsibilities For Director, Regional Compliance Resume
- Relevant education or external accreditation in the areas of compliance, audit, quality or risk management
- Skills: high-energy, positive, level of integrity & tenacity & team spirit. Good communication skills in multi-cultural environment. Good ability to network in various environments & matrix organization. Languages: fluent in English, other language is an advantage
- Three or more professional references with current telephone numbers
- Advanced knowledge of compliance risk managment, applicable compliance laws, regulations and consumer protection topics and issues
- Strong working knowledge of related fields including credit risk management, bank operations, AML, privacy and information protection, consumer lending, mortgage lending and operational risk and ability to apply that information to the current role
- Strong communication (both oral and written) skills and ability to operate in a matrix and multicultural environment, strong leadership and interpersonal skills
- Proactive, initiative-taking mindset and approach to engage the business partners and gain their support
- Familiar with Expeditors’ network
- Broker’s License or suitable external qualifications
9
Responsibilities For Icg-regional Compliance Analyst Resume
- Experience in compliance within an international business in a large site and/or regional compliance function, preferably from life science company
- Interact at senior level, manage key stakeholders and initiate programs through influence
- Simultaneously manage multiple projects (activities) in a fast paced environment for timely completion of projects
- Strong professional and interpersonal skills to effectively operate on a regional basis (i.e. aptitude for working with diverse cultural groups and appreciation of business or social dictums within disparate entities)
- Results and impact oriented. Desire and ability to challenge the current business status quo
10
Responsibilities For Risk Manager Regional Compliance Enterprise & Operational Risk Management Resume
- Providing compliance and regulatory advice and services primarily to the Markets and Securities Services business, both domestically in Hong Kong and across all Asia Pacific countries
- Act as a strategic business partner to General Managers, Transportation Managers and site JHSC’s in order to ensure and/or maintain compliance. Acts as key contact for all regulatory inspectors (MOL, Fire, Police etc) where required, and provides guidance to compliance activities as well as adherence
- Canada Walmart Division: Compliance, Ethics and Legal
- Healthcare compliance certification required or obtained within first year. Licensure not required
- Location/Facility – Bryan Tower
- Work experience as a subject matter expert in compliance in a banking or financial services environment especially in AML compliance, fraud, risk and investigation management and sanctions
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