Compliance Resume Samples and Examples

Compliance resume samples most often mention skills in compliance, regulatory, policies and procedures, processes, activities, issues, training, risk, policies and audit.

5.0
10 votes

Mortgage Compliance Resume Sample

Work Experience

  •  Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives   •  Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills

  •  Experience working in a production environ...
  •  Pulling and Pushing: Opening and closing f...
  •  Performing transactional testing of requir...
4.8
18 votes

Team Lead, Compliance Team Resume Sample

Work Experience

  •  Communicate with lines of defense regarding information related to internal audits, KRIs and control tests   •  Participate in the resolution of identified risks   •  Research regulations to advise on application by the business unit   •  Draft and revise polici...
Professional Skills

  •  Excellent IT skills including Word and Excel
  •  Strong verbal and written communication sk...
  •  Experience of process mapping and developi...
4.7
10 votes

Audit Compliance Resume Sample

Work Experience

  •  Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes   •  Scotiabank’s Privacy Code   •  Working knowledge of the policie...
Professional Skills

  •  Considerable skill in effective verbal and...
  •  Strong written and verbal communication sk...
  •  SAS software implementation experience or ...
4.9
21 votes

Compliance Accounting Resume Sample

Work Experience

  •  Liaise with Financial Investigations team in Compliance related to Independent Agent program and active IA’s clients and source of payments   •  Perform evaluation of the design and effectiveness of internal controls to ensure the Company’s compliance with the requirements of the Sarbanes-Oxley Act of...
Professional Skills

  •  Demonstrates good influencing skills and b...
  •  Strong computer skills utilising Microsoft...
  •  Operates effectively in a multi-national c...
5.0
9 votes

Leader Compliance Resume Sample

Work Experience

  •  Implementing improvements and change to compliance plans, reporting and communication   •  Driving and encouraging an effective Compliance culture   •  Compliance, quality assurance or legal experience within financial services   •  Ideally indepth understanding...
Professional Skills

  •  Good people management skills and the abil...
  •  Experience in Manufacturing/Development En...
  •  Relevant experience in international envir...
5.0
18 votes

Compliance, Associate Director Resume Sample

Work Experience

  •  Serves as advisor to client and project manages complex, revenue generating   •  Assess trends of critical and major observations across MSD network   •  Liaise with MSD regulatory surveillance, external affairs, and compliance councils to identify and communicate priority audit ta...
Professional Skills

  •  Have strong consultant and leadership skil...
  •  Research, writing and presentation skills....
  •  Proven experience driving progress and rem...
4.6
12 votes

Finance Compliance Resume Sample

Work Experience

  •  Supporting the KEF Compliance team with Key’s Enterprise Risk Management program and/or KEF Regulatory Compliance.  Performing in-depth testing of critical regulatory processes, seeking to improve the testing program, and execute reporting results to management   •  Document new and/or update KEF ris...
Professional Skills

  •  Demonstrated problem solving skills includ...
  •  Excellent computer skills as they relate t...
  •  Proven ability and experience in performin...
4.8
16 votes

Healthcare Compliance Resume Sample

Work Experience

  •  Oversee Work-plan-related inter-dependencies toward the goal of ensuring timelines, quality and partnership. Support communication of Work-plan updates to Board of Directors’ and Management Compliance Committees   •  Identify areas of risk at Mallinckrodt and manage and assist in the development of ri...
Professional Skills

  •  Advanced verbal and written communication ...
  •  Demonstrate strong communication, interper...
  •  Strong problem solving, conflict managemen...
4.9
9 votes

Information Security Compliance Resume Sample

Work Experience

  •  Experience and Knowledge of Sarbanes-Oxley requirements and IT control frameworks such as CoBIT and NIST800-171/NIST800-53   •  Demonstrated written and oral communication skills and ability to effectively manage communication (remotely or in person) with Peers, Managers, and Contractors and timelines...
Professional Skills

  •  Strong interpersonal skills to build and f...
  •  Considerable process management, negotiati...
  •  Superior analytical skills are needed to i...
4.9
9 votes

Junior Compliance Resume Sample

Work Experience

  •  Adhere to strict deadlines set by externals (Tax authorities, Law & Auditors) or internals (Supervisor, manager)   •  Good communication skills both internal and external   •  Responsible for assisting Compliance Manager in conducting routine compliance testing of GFS policies ...
Professional Skills

  •  Understanding of NIST standards including ...
  •  Experience working as a Federal Civilian g...
  •  Experience working with advisors and/or Ca...
4.5
19 votes

Policy & Compliance Analyst Resume Sample

Work Experience

  •  Experience with general IT   •  Experience with FISMA, RMF, and NIST SP 800-53 and 53A   •  Experience with general IT   •  Experience with general IT   •  Experience with FISMA, RMF, and NIST SP 800–53 or 53A or equivalent policies
Professional Skills

  •  Strong management skill set with proven ab...
  •  Strong research skills – ability to gather...
  •  Possession of excellent organizational and...
4.8
18 votes

Compliance Management Resume Sample

Work Experience

  •  Managing all compliance aspects for UBS FML’s business to comply with relevant legal and regulatory requirements as well as with Group directives and standards   •  Provide Clients and staff with accurate interpretation and analysis of Visa Rules in response to telephone or written inquiries and/or pr...
Professional Skills

  •  Strong strategic planning capabilities wit...
  •  Strong Computer skills with the ability to...
  •  Great relationship building skills – a com...
4.9
11 votes

Lead-compliance Resume Sample

Work Experience

  •  Module/Tech Lead (AVP - C12)   •  Perform IC compliance testing reported on IC Scorecard (quanitative testing)   •  Perform monthly internal BSR inspections   •  Perform 10-12 annual 2nd Level BSRs   •  Perform monthly manual JE testing
Professional Skills

  •  Strong organizational skills, analytical a...
  •  Strong communication skills and the abilit...
  •  Demonstrates good listening skills and put...
4.7
21 votes

Privacy Compliance Resume Sample

Work Experience

  •  Conduct third party oversight activities, including HIPAA audits and investigations   •  Work with auditors and Express Scripts stakeholders to identify, track, and resolve audit issues noted during the SOC2 assessment process   •  Monitor and analyze SOC2 requirements or developme...
Professional Skills

  •  Excellent organizational, and communicatio...
  •  Strong verbal and written communication sk...
  •  Experience at using technology to support ...
5.0
24 votes

Supervisor, Compliance Resume Sample

Work Experience

  •  Assist in the drafting, enforcement, monitoring and provision of advice on Manulife’s compliance framework, compliance program, policies and procedures manuals   •  Professional appearance and demeanor to represent the company’s image   •  Ensure the company’s compliance regulation...
Professional Skills

  •  Excellent guest service skills; ability to...
  •  Upervisory or strong team leadership exper...
  •  Proven and progressive audit, compliance, ...
4.9
16 votes

Analyst / Senior Analyst Compliance Resume Sample

Work Experience

  •  Contact advisors for follow up on responses as necessary   •  Review the Hybrid Advisors RIA registration and disclosure documents   •  Provide ongoing compliance support to Hybrid RIAs   •  Identify issues and/or specific advisors that require escalation within...
Professional Skills

  •  Creating new methods and queries to proact...
  •  Demonstrates strong organizational, time-m...
  •  Excellent written, verbal and influencing ...
4.8
13 votes

Risk & Compliance Resume Sample

Work Experience

  •  Provide support for large and complex audits, examinations, reviews, and projects related to keeping the business line in compliance with regulatory issues and requirements, specific to: CAS, CQA, E&Y, SSAE16, Basel II, SOX, OCC, CFPB audit and exam testing   •  Manage audit requests and engagemen...
Professional Skills

  •  Strong written communication skills, inclu...
  •  Solid problem-solving skills and experience
  •  Self Motivated, possess strong communicati...
5.0
20 votes

Regional Compliance Resume Sample

Work Experience

  •  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 techniqu...
Professional Skills

  •  Excellent presentation and organizational ...
  •  Excellent contract interpretation, negotia...
  •  Demonstrate excellent written and verbal c...
4.9
18 votes

Compliance Support Resume Sample

Work Experience

  •  Provide timely guidance and support to business line partners in such a way that it is easily understood   •  Work on detailed projects and assignments while managing deadlines under limited supervision   •  Provide detailed guidance to business line partners based on individual su...
Professional Skills

  •  Solid knowledge of Information Assurance p...
  •  Excellent attention to detail, strong prob...
  •  Strong negotiation, facilitation and netwo...
4.6
21 votes

Auditor, Compliance Resume Sample

Work Experience

  •  Skills: Proficient with Microsoft Office suite. detail oriented. strong written and verbal communication skills. analytical, positive attitude, and highly motivated   •  Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a “Strong”...
Professional Skills

  •  Job requires sitting and working at a comp...
  •  Corporate Accounting and Financial Shared ...
  •  Global Internal Audit Team
4.9
24 votes

Head Compliance Resume Sample

Work Experience

  •  Results of risk assessment   •  Issues identified from Assurance programme   •  Impact of regulatory change, readiness for implementation of required changes and awareness of new requirements   •  Knowledge and understanding of industry related issues and themes...
Professional Skills

  •  Good organisational skills, including an a...
  •  Experience of leading people with skills i...
  •  Excellent analytical/reasoning, problem so...
5.0
17 votes

CIB Compliance Resume Sample

Work Experience

  •  Design and ensure execution of risk-based compliance reviews and ensure work is performed in accordance with Compliance Process Certification methodology and consistent with Compliance Risk Management’s objectives and standards   •  Influence others’ actions and decisions without express of authority ...
Professional Skills

  •  Experience with investigations, business r...
  •  Focused on continuous professional improve...
4.9
9 votes

Markets Compliance Resume Sample

Work Experience

  •  Relevant experience in the financial services field preferably at a diversified financial services company either directly within compliance, legal or risk management   •  Ensure the Markets Compliance function has the necessary resources to carry out its mandate effectively   •  P...
Professional Skills

  •  Excellent management skills including peop...
  •  Sound decision-making skills balancing com...
  •  Excellent organizational skills, able to m...
5.0
26 votes

Mgr-compliance Resume Sample

Work Experience

  •  Experience in collaborating with all levels of an organization’s management team. Exceptional interpersonal and presentation abilities. Fully developed written and verbal communication skills are required   •  Provide subject matter expertise on the conditions and terms of WellCare’s federal and state...
Professional Skills

  •  Strong organizational skills and analytica...
  •  Technical/Professional Knowledge & Skills ...
  •  Strong leadership and interpersonal skills...
4.7
15 votes
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