Compliance Resume Samples and Examples

  •  Work with the Compliance Director, Legal and the HRBP on Compliance escalations/issues   •  Liaise with internal and external auditing teams to gather, comprehend, and provide required evidence in preparation for successful audits   •  Be the primary point of contact for background...

  •  Works closely with the Legal department to prepare annual reports for each of the firm’s Futures Commission Merchant (“FCM”) and Swap Dealer (“SD”) entities   •  Coordinates the firm’s U.S. regulatory reform efforts; and   •  Assist in drafting annual reports for the firm’s FCM and...

  •  Continuous focus on all import/export Compliance processes   •  Act as key compliance interface to all Internal and external business   •  Building partnerships and long term strategy with 3PL’s/ Brokers   •  Escalation management with suppliers   •&nb...

  •  Prepares complex data structures and arrays for internal audit compliance. Researches complex problems and errors for solution   •  Maintains metrics needed to comply with legislative and internal requirements. Prepares, analyzes, and distributes reports as appropriate   •  Prepare...

  •  Initial review of state income tax returns, estimates and provisions   •  Assist with review of income tax apportionment and state adjustment schedules   •  Assist with preparation of tax account forecasts and monthly accruals; assist with preparing and reviewing Responses to notic...

  •  Cybersecurity Experience required   •  Management Experience required   •  Acts as a change champion and persuasive advocate; building networks and gaining cooperation across industry, service line or functional boundaries to make certain that the proposed action is always in step ...

  •  Manage assigned specialized compliance functions for major financial services business groups of the largest and most complex nature. Ensure adherence to the Compliance Officer and Money Laundering   •  Control Officer handbooks   •  Identify and report all significant regulatory c...

  •  Lead and advise the Student-Athlete Advisory Committee, advocating for issues important to student-athletes   •  Oversee the administration of the Office of Regulatory Affairs. Oversees & ensures that day-to-day operations are appropriately managed, efficient and effective. Oversees all daily, mon...

  •  Extensive experience in the financial services sector within a Private Banking Wealth Management Compliance, Audit or similar function   •  Knowledge of Wealth Management Products and service preferable   •  Understanding of the UK Regulatory Environment as it applies to Retail Cli...

  •  Enabled by knowledge of WDN’s business strategy and operations, critical success factors, risk profile and potential exposure,, develop, manage and execute WDN’s general and fraud risk assessment programs to identify, understand and document key strategic and fraud risk areas; utilize the results of these programs to dev...

  •  Exhibit pragmatism in advising on clients’ process remediation and implementation strategies, defining work tracks, and submitting assessment findings and recommendations   •  Coordinate as directed by the Chief AML Officer or designated AML Compliance Team manager, the dissemination of regulatory com...

  •  Assist in the development of CRA program   •  Manage and oversee completion of annual CRA process by Americas coverage compliance officers   •  Data analytics, including analysis of metrics impact on CRA scoring formula and results and analysis of results data by risk theme, region...

  •  Department of Transportation & International Air Transport Association Certification   •  Computer experience to include: Microsoft Word ,Excel and PowerPoint, AS/400 Software   •  Ensure regulatory compliance for s   •  Reviews selected populations of inpat...

  •  Significant experience in research and interpretation of Workers’ Compensation state statutes and regulations via the internet or other media   •  Experience in workers’ compensation claims management, bill review, or occupational case management   •  Coordinates and conducts routi...

  •  Estimated functional activity breakdown to be   •  Accountable for the timely completion of RAMP requirements under Shire’s Corporate Integrity Agreement   •  Help oversee GCRM’s response to risk management outcomes (e.g., incorporation into training and policy updates; future audi...

  •  Achieve regional and global objectives   •  Develop and to implement regional and global policies and procedures   •  Participate and contribute towards discussions held by the Compliance Global Business Team for Research   •  Certified IRB Professional (CIP) or...

  •  Manage the execution of AML Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues   •  Develop and manage a team focused on AML Risk Assessment, AML control audits, and independent validation of remediation act...

  •  Report creation and analysis of prohibited software detected in our environment   •  Processing nonstandard software requests   •  Notification and follow up of non-compliant stakeholders   •  Manage compliance operation tasks in Shenzhen Site, to provide the st...

  •  Compliance Management and Team   •  Corporate Audit, Legal and Risk   •  U.S. P&C LOB Management   •  Direct Compliance reporting on key projects to assist business line, global function or HTS in meeting project deadlines ensuring advice is relevant and acc...