Compliance Resume Samples and Examples

  •  Assists with monitoring fund compliance on a daily/weekly basis with consideration to investment restrictions detailed in Prospectus, Statement of Additional Information and Investment Company Act of 1940   •  Assists with monitoring fund compliance with consideration to the quarterly and annual requi...

  •  Serves as compliance team lead and subject matter expert for CW segment/divisional groups and regulatory agencies for defined matters   •  Performs evaluation of internal operations, controls, communications, risk assessments and maintenance of documentation as related to regulatory compliance and rec...

  •  Establishing proper controls so that all regulatory filing reporting requirements are consistently met for Pruco Securities   •  Drafting Form U5 and State termination language when a registered representative is terminated for cause or resigns while under internal review and/or reportable Internal Re...

  •  Develop and ensure implementation of Enterprise compliance policies and procedures throughout the organization including the dissemination of written policies and procedures   •  Draft policies that clearly communicate relevant compliance requirements to applicable lines of business, global functions ...

  •  Define, execute and maintain a framework for IT Compliance management including validation and classification methods   •  Plan, design and execute IT compliance testing, controls assessment and documentation across all domains for IT General Controls, (PCI DSS) Payment Card Industry, Data Privacy, HI...

  •  Support site KPI’s   •  Ensure providers have a compliance plan and policies and procedures that detail provider expectations. Review, monitor and report on providers' effective implementation of the plan   •  Review documents and determine if transactions are according to regu...

  •  Participate in firm wide and other department projects/initiatives as the GRC representative/subject matter expert to provide GRC guidance and interpretation of rules, regulations, risks, and best practices   •  Participate in the filing and creation of the GRC goals   •  Act as a ...

  •  Assist in activities related to the development, implementation, maintenance of, and compliance to the Humana’s Privacy Policy and procedures supporting the protection of personal and health information   •  Act in a supporting role to engage with other compliance organizations to shape Application Se...

  •  Develop, document and implement customized import, export controls and supply chain security compliance training programs for internal and external stakeholders. Communicate formal guidance regarding the requirements and interpretation of import, export and supply chain security regulations and implement such requirement...

  •  Demonstrated experience on Design Control for IVD or Medical device industries (CE IVD, FDA IVD, etc)   •  Demonstrated ability to manage & implement multiple, large scale projects with minimal supervision, across the business &/or at remote &/or global locations   •  I...

  •  Great opportunity for an individual to build relationships across BlackRock’s businesses and Compliance teams both within UK and more globally   •  Interaction with senior individuals across the firm   •  Opportunity to bring fresh perspectives and innovation to drive evolution of ...

  •  Interact with internal and external entities to include senior managers, members of the product sales team and other Citigroup compliance units on the Compliance, Legal and business sector regulatory compliance issues and processes   •  Assisting with the implementation of the regulatory compliance pr...

  •  Expertise in compliance policy and program development, execution and sustainability, including translating laws and regulations into actionable requirements and execution; performing risk assessments; monitoring development and execution; testing program development and execution; and training and communications  &...

  •  Assists coordination with support groups and Lines of Business on oversight of implementation efforts associated with emerging regulation   •  Produces presentations and communications   •  Knowledge of industry rules and regulations, including Fed, SEC, FINRA, and MSRB   ...

  •  Manage the seasonal launch & replenishment order flow process and the first line contact for TOMS Retail stores   •  Order and/or return processing in the TOMS ERP system   •  Escalate pricing and/or discount errors to relevant teams   •  Prioritize, multita...

  •  Support CF10 in management of regulatory relationships with FSA CBU and PBU and other regulators (OCC, Fed)   •  Building relationships with individuals at key regulators   •  Working with the business to respond to routine and ad hoc requests   •  Working with ...

  •  Monitoring that trading by the use of various surveillance tools   •  Support key program development initiatives to enhance Citi’s complaint practices   •  Extract and manipulate data from various sources for analysis, risk assessment and scoping of compliance monitoring, based on...

  •  Organizing and facilitating meeting schedules and logistics   •  Administrative or operational experience and 1+ years industry experience   •  PCG U.S. Group   •  Reviews and approves communications and advertising materials, including new and modified products...

  •  Collaborate with LOB Compliance Officers, and other related groups, to design unique responses to internal clients’ needs in accordance with our compliances practices framework   •  Training & Awareness   •  Advise business personnel on specific compliance rules / regulations a...

  •  Manage multiple ongoing client inquiries across days simultaneously   •  Monitor client issues requiring assistance from other groups within company   •  Accurately complete all data and configuration related tasks   •  Become knowledgeable in file layouts and l...