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.

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1 vote

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...
5.0
1 vote

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...
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1 vote

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 ...
5.0
1 vote

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...
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1 vote

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
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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
1 vote

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, ...
5.0
1 vote

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 ...
5.0
1 vote

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
1 vote

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...
5.0
1 vote

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...
5.0
1 vote

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
5.0
1 vote

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
1 vote

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...
5.0
1 vote

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
1 vote

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...
5.0
1 vote
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