Compliance Consultant Resume Sample

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Nikko Denesik
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Work Experience


Senior Compliance Consultant
04/2016 - PRESENT
Houston, TX
  • 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 Services Group’s organizational control policies and standards
  • Apply credible challenge and report control gaps and weaknesses to management. Partner with team members and other segments of the overall team to ensure root cause issues are identified, corrective action plans are implemented, and issues are managed appropriately within the line of business
  • Publish reports that summarize control effectiveness and residual fair and responsible banking risk, including recommendations for development of risk mitigation and resolution plans to address identified control gaps or weaknesses. Communicate and collaborate with other FRBD teams and business lines involved and impacted by verification findings and results
  • Manage and mitigate WTP’s compliance risks including privacy and health information risks
  • Serving as key contact person for WTP’s compliance for external/internal inquiries and act as key partner vis-à-vis Zurich Canada Compliance
  • Serve as WTP’s Privacy Officer and ensure close alignment with the Zurich Canada frameworks
  • Embed and continuously improve WTP’s compliance frameworks
Compliance Consultant
05/2011 - 10/2015
San Francisco, CA
  • Manage and mitigate Zurich Canada’s compliance risks including privacy and complaints handling areas, and act as Ombudsman and/or Privacy Officer for Zurich Canada
  • Supporting the overall Compliance team
  • Analyzes audit findings, determines ?causal factors?, formulate opinions, cites specific regulations/standards, and develops recommendations
  • Participate on compliance-related committees/work groups
  • Work under the guidance of an Auditor-in- Charge
  • Professional and Hospital coding and billing experience: CPT (including E/M), HCPCS, ICD-9, ICD-10
  • Proficiency in ICD-9-CM, ICD-10-CM, ICD-10-PCS, CPT, and HCPCS Level II coding
Temporary Entry Level Compliance Consultant
11/2008 - 11/2010
Philadelphia, PA
  • Manage compliance key projects at WTP from Group, Region, Local stakeholders / regulators / WTP’s clients
  • Stays abreast of regulatory and business changes to assist Compliance members and managers in keeping up to date procedures, and develops anticipatory solutions to help ensure effective implementation of new standards and controls and/or compliance gaps
  • Assists with regulatory examinations and inquiries
  • Liaises with third-party advisers and regulatory authorities; and develops and executes oversight programs related to third party administrators servicing Company policies
  • Provides oversight for corrective action plans (CAPs) and when applicable, responds to identified regulatory compliance deficiencies with the purpose of mitigating regulatory risk and driving continuous compliance improvement
  • Partners with the Law Department on regulatory research and delivers clear and effective communications, including oral presentations and thoroughly researched memoranda
  • Maintains effective working relationships and works across functional areas to promote consistency in approach both internally and externally to achieve compliance with insurance laws and regulations
  • Works, in partnership with more senior team members, with assigned client organizations
  • Develop and execute effective analytics to support business priorities and perceived risks to profitability and asset protection

Education


Oglethorpe University
2003 - 2007
Bachelor's Degree in Accounting

Professional Skills


  • Strong communication skills, analytic skills and experience leading cross-functional business initiatives
  • Demonstrated strong organizational skills and documentation skills
  • Demonstrated ability to communicate effectively with internal and external partners, as well as demonstrated strong presentation skills
  • Excellent Communication skills (oral and writing skills)
  • Able to prioritize multiple long- and short-term tasks with proven experience managing multiple conflicting priorities
  • Excellent written and verbal communication skills, with experience delivering presentations as well as writing comprehensive technical reports and standards
  • Strong writing skills with experience in creating security baselines

How to write Compliance Consultant Resume

Compliance Consultant role is responsible for analytical, compliance, advanced, business, research, technical, microsoft, organization, excel, analysis.
To write great resume for compliance consultant job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Compliance Consultant Resume

The section contact information is important in your compliance consultant 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
  • Email
  • Telephone number

Work Experience in Your Compliance Consultant Resume

The section work experience is an essential part of your compliance consultant 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 compliance consultant responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance consultant position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Compliance Consultant resume experience can include:

  • Excellent communication skills (both oral and written) and listening skills
  • Strong background in communicating analytical findings through concise written and verbal communication; excellent visualization skills
  • Strong, proven research skills
  • Strong organization skills with the ability to manage multiple priorities, meeting critical deadlines
  • Strong writing skills, including the ability to proofread, edit, and present concise and accurate information
  • Strong probing and investigating skills

Education on a Compliance Consultant Resume

Make sure to make education a priority on your compliance consultant resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance consultant 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 Compliance Consultant Resume

When listing skills on your compliance consultant 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 compliance consultant skills:

  • Excellent written and verbal communications skills including the ability to present risk-based options effectively
  • Seven years of experience working in operations, legal, insurance or regulatory-related roles requiring effective problem solving and analytical skills
  • Excellent judgment and problem solving skills; critical and logical thinker with excellent follow through
  • Strong analytical reasoning, problem-solving and critical thinking skills
  • Strong analytical, investigative, problem solving and decision-making skills
  • Strong communications, analytical, interpersonal, networking and influencing skills

List of Typical Experience For a Compliance Consultant Resume

1

Experience For Senior Compliance Consultant Resume

  • Strong analytical skills, with the ability to effectively identify, communicate, and address potential issues
  • Exhibit strong analytical skills with customer data to provide market insight regarding compliance exposure and performance trends
  • Experience with hands-on SAP GRC and security implementation and/or effective SAP audit experience
  • Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast paced environment
  • Demonstrated ability to mentor and guide others to further develop individual and team skills
  • Strong communications skills and attention to detail
2

Experience For Safety & Compliance Consultant Resume

  • Strong research and analysis skills,
  • Intuitive self-starter with the ability to prioritise workloads effectively for themselves and their Team
  • Support other department initiatives with strong Project Management Skills
  • Strong communication skills, with the ability to generate precise and thorough documentation and reports
  • Acts as resource for colleagues and effectively guides less experienced team members to accomplish goals
  • Proven experience dealing directly with B2B customers via phone and email, as well as having difficult conversations
  • Establish trust with decision makers to effectively reach a resolution
  • Demonstrated project or team lead experience
  • Preferably 5 years’ experience Very solid knowledge of Excel, Access and internal databases (SQL, Oracle Business Intelligence, TERADATA, and Data Stage)
3

Experience For IT Compliance Consultant Resume

  • Prior experience in a financial services industry
  • Proven ability to work under pressure, on multiple assignments, with strong attention to detail
  • Call desk / phone skills
  • Advanced verbal and written skills, and the ability to grasp new concepts quickly, communicate and implement new processes and procedures
  • Advanced conflict management and negotiation skills
  • Previous experience with large government information technology projects with Authority to Operate (ATO) or Authority to Connect (ATC) requirements
  • Experience with measurement through development and implementation of process efficiency and effectiveness measurements
4

Experience For Senior Information Security Risk & Compliance Consultant Resume

  • Prior compliance related experience
  • Deal effectively with peers, as well as clients at all levels and areas of the organization
  • Experience in a regulatory compliance position in healthcare, insurance or financial services or relevant work experience in a business area
  • Intermediate to advanced Microsoft Office software skills – PowerPoint, Excel, Word, etc…
  • Effectively analyze and synthesize complex information
  • Experience in interpreting licensing terms and conditions from various vendors (Microsoft, SAP, IBM, Oracle)
  • Relevant work experience dealing directly with customers via phone and email, ideally involving difficult conversations
5

Experience For Apprenticeship & Compliance Consultant Resume

  • Strong knowledge of risk and ability to define a plan (requirements, testing methodology, etc.) leading to the development of actionable intelligence
  • Develop metrics, reporting and other tools to enable effective monitoring of performance area where compliance is necessary
  • Core experience in designing and implementing of information security risk management frameworks (e.g. ISO, OCTAVE, FAIR, NIST etc.)
  • Business analyst experience; proficient in gathering information and analyzing this information
  • Experience interacting & collaborating with a variety of stakeholders (other team members, internal customers, and executives)
  • Previous experience writing and editing documents larger than 100 pages
6

Experience For Risk & Compliance Consultant Resume

  • Experience in leading / implementing IT controls
  • Experience with gathering and documenting detailed requirements and analysis
  • Experience undergoing Employee Benefit Plan Audit, Regulatory agency audit (DOL/IRS), Form5500 preparation, nondiscrimination testing,
  • A strong technical background and understanding of the Bulk Electric System
  • Comprehensive knowledge of the financial services industry with a strong understanding of the Company’s business
  • Execute a process to materially reduce license sharing in a manner which pays strong attention to upsell opportunities
  • Core experience in risk assessment and mitigation management (including third party risk management)
  • Related experience
  • Demonstrated expertise in at least one of these areas: SAP audit, SAP security design/re-design, SAP GRC implementation, Identity Management
7

Experience For Compliance Consultant, Mandates Control Group Resume

  • Identify patterns and recommend improved outcomes to Voya’s service delivery and/or customer experience
  • Immigration experience is required
  • Significant compliance and/or internal audit experience
  • Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls
  • Highly-skilled in developing baseline and configuration language, mappings, process diagrams and designs
  • Work experience in defining business and functional requirements for e-GRC platform automation (e.g. RSA Archer, BWise, OpenPages, Agiliance)
  • Previous experience in a Hedge Fund, Private Equity, and/or Buy-Side setting
8

Experience For Allstate Dealer Services Compliance Consultant Resume

  • Previous experience consulting on NERC CIP standards
  • Experience working with Medicaid member and provider fraud detection
  • Experience with report writing/database software such as Cognos Impromptu and Teradata SQL Assistant
  • Demonstrated strength in the following work competencies
  • Experience conducting fraud investigations
  • Case handling experience
9

Experience For License Compliance Consultant Resume

  • Deliver effective training on compliance issues and requirements
  • Experience with regulatory matters, filings and compliance working with regulators, customers or clients
  • Experience with internal controls and auditing best practices
  • Experience in meeting with internal and external auditors, IT management and others to discuss and address internal control concerns
  • Experience conducting investigations
  • Experience in publishing information security baseline documents for enterprise-wide distribution
  • Experience working with Medicare, Medicare Advantage, Medicare Part D, Medicaid and / or Tricare regulations
  • Previous experience with implementing CMS ARS, MARS - E, & HIPAA; IRS 1075; and AICPA SOC2 control frameworks
10

Experience For Quality, Risk & Compliance Consultant Resume

  • Experience working with regulator audits
  • Experience performing data analysis
  • Significant experience in the collective investment schemes / asset management industry (NURS and UCITS) working with or for an ACD
  • Experience in Human Resources, compliance, risk, and/or operations supporting the Human Resources function
  • Establish strong working relationships cross-functionally
  • An understanding of the exchanges, how they operate, how they licence the use of their data and where customers can fall foul of their terms of business

List of Typical Skills For a Compliance Consultant Resume

1

Skills For Senior Compliance Consultant Resume

  • Proven experience with project management that produced successful results and prior work experience with progressively increasing responsibilities
  • Demonstrated process evaluation, analytical and problem-solving skills, with excellent attention to detail
  • Compliance in the financial services industry or other work experience in the financial industry which demonstrates research/analytical skills
  • Strong interpersonal skills and influencing ability
  • Strong analytical skills and working knowledge of HR processes and practices
  • Previous experience in a role requiring leadership skills with the ability to influence without authority
  • Strong organizational, proofreading, and computer skills
2

Skills For Safety & Compliance Consultant Resume

  • Strong problem solving, strategic and analytical skills
  • Effective communication skills, problem solving & delivery of solutions
  • Effectively operate in a fast-paced, evolving environment
  • Client service focused with strong relationship skills
  • Good interpersonal skills with ability to work with all levels throughout the organization
  • Effectively prioritizes and reviews the status of assigned work via use of compliance tools to track progress and manage due dates
  • Strong problem-solving, strategic and analytical skills
3

Skills For IT Compliance Consultant Resume

  • Strong organizational, time management, research and practical problem solving skills
  • Excellent oral and written communication, relationship building/interpersonal skills
  • Strong analytical and communications skills and working knowledge of HR processes and practices
  • Exceptional organizational and time-management skills including the ability to prioritize
  • Strong oral/written communication and negotiating skills
  • Excellent contract writing and verbal communication skills
  • Strong MS Office computer skills; advanced understanding of PowerPoint, Excel, and Word desired
  • Strong technical skills (especially Microsoft Office Suite)
  • Strong verbal and written communication skills with ability to communicate in a concise manner
4

Skills For Senior Information Security Risk & Compliance Consultant Resume

  • Excellent interpretive/analytical skills are required in order to understand and apply rules to business situations
  • Strong computer skills in the Microsoft Office Suite especially Word, Excel and PowerPoint
  • Excellent client management, presentation skills and conflict resolution ability
  • Excellent communication skills and proficiency in Excel
  • Self-starter and goal-oriented with excellent time management skills. Ability to solve problems and resolve conflicts
  • Problem-solving, interpretation, decision-making, coaching and judgement skills
  • Prior experience conducting or participating in Regulatory or Mock Examinations
  • Demonstrated experience conducting training sessions particularly for (1) small and large groups and (2) on EEO/AA/diversity related issues
  • Advanced multi-tasking and analytical/troubleshooting skills
5

Skills For Apprenticeship & Compliance Consultant Resume

  • Security awareness experience, training development and delivery experience
  • Track implementation of corrective action plans while ensuring proper validation of action plan effectiveness
  • Address license violation by working effectively with our regional clients
  • Function in a fast-paced environment and prioritize multiple projects with competing priorities
  • Strong communicator at all levels with experience of working with management and external stakeholders
  • Business experience working in a medium to large corporation with at least 5 years of compliance-related experience
  • Demonstrated experience influencing others
  • Prior credentialing experience, preferably in an audit function
6

Skills For Risk & Compliance Consultant Resume

  • Advanced skills in spreadsheets, word processing, and presentations
  • Reasonable business writing and communication skills
  • Exceptional analytical, organizational, time management, and problem solving skills
  • Advanced oral and business writing skills
  • Self-directed analytic and problem solving skills
  • Work experience in driven environment & partnering skill set
  • Advanced PC including Microsoft Office, communication, facilitation and presentation skills
  • Possess a good understanding of Company products and operations, or a commitment and demonstrated capacity to quickly develop this knowledge
7

Skills For Compliance Consultant, Mandates Control Group Resume

  • Provide assistance in understanding the requirements in the NERC O&P Standards and what evidence is sufficient to demonstrate compliance with the Standards
  • Performs analysis that requires high-level of technical and analytical skills
  • Two years experience in a role requiring knowledge of, and experience with, health care regulations
  • Valid driver’s license, passport, and good driving record
  • Work effectively on teams and as an independent contributor with limited direction and oversight
  • Attention to detail; meticulous organization skills; consistent and reliable in level of output with focus on accuracy and thoroughness
  • Lead the delivery of an effective communication, training and awareness programme to promote the delivery of good Customer Outcomes
  • Prior compliance issue investigation and/or compliance or internal auditing experience
8

Skills For Allstate Dealer Services Compliance Consultant Resume

  • Develop, and carry out, assessment programs to ensure compliance controls are operating effectively
  • Effectively present information and respond to questions from groups of managers, employees and the general public
  • Prior compliance related experience and knowledge of compliance issues, approaches, techniques, databases, etc
  • Compliance, or risk management experience or equivalent related experience
  • Prior claims experience, preferably in an audit function
  • Facilitate SME discussions with various application owners to effectively document Baseline requirements and standards for the organization
9

Skills For License Compliance Consultant Resume

  • Developing and maintaining good working relationships with all areas of the business
  • Assessing systems, processes or controls for effectiveness and compliance with regulatory and industry standards
  • Ascertaining needs and priority requirements to ensure all packages of care are fulfilled within agreed timeframes
  • Working experience with HIPAA, Medicare and / or Medicaid regulations
  • Overall experience in designing, implementing and supporting Information Technology requirements for clients
  • Working experience in a consulting firm or ‘Big 4’, a leading bank or regulator
  • Experience developing, modifying and maintaining SharePoint server portals
10

Skills For Quality, Risk & Compliance Consultant Resume

  • Previous experience creating and editing RFP responses containing NIST 800 - 53 or FISMA detailed capability and commitment narratives
  • Previous experience creating and editing RFP responses containing HIPAA detailed capability and commitment narratives
  • Institutional securities sales and trading and/or investment banking compliance and risk management experience
  • Core experience in audit findings mitigation, conducting internal audits and facilitating external audits
  • Adapt to changing and competing priorities

List of Typical Responsibilities For a Compliance Consultant Resume

1

Responsibilities For Senior Compliance Consultant Resume

  • Routinely interacts with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Technology Strategy and Alignment department, Supervision & Supervision
  • Proven organization skills with the ability to manage diverse tasks and projects simultaneously
  • Demonstrated verbal and written communication skills, including ability to present recommendations to executive management
  • Proven problem solving, analysis and evaluation skills to assess key business risks
  • Strong audit, regulatory and/or compliance experience required
  • Consult with business to develop corrective action plans and effectively manage change to ensure regulatory and policy compliance
  • Team Mentality: Partners effectively to drive our culture and execute on our common goals
2

Responsibilities For Safety & Compliance Consultant Resume

  • Manage effectively in a matrix environment with business relationships in different geographic locations
  • Proven track record of solid business relationship management
  • Effectively engages in and coordinate with global Compliance data analytics initiatives
  • Experience identifying impacts and creating solutions for laws and regulations
  • Demonstrated strength at thriving in highly ambiguous and evolving environments, as well as high profile, urgent situations
  • Strong working knowledge of an advanced data mining
  • Good understanding of superannuation legislation and current issues is desirable
3

Responsibilities For IT Compliance Consultant Resume

  • Advanced training and experience in industry internal audit standards and best practices
  • Experience working with project controls, and/or quality assurance environments
  • Build cohesive and productive working relationships with Legal & Compliance, Customer Experience Leadership teams and floor representatives
  • Experience managing IT projects ideal
  • Strong working knowledge of a data migration tools
4

Responsibilities For Senior Information Security Risk & Compliance Consultant Resume

  • Develop the strategy to enhance the effectiveness of the Compliance & Ethics Department fraud prevention compliance program, including
  • Experience in power generation and/or bulk electric
  • Previous experience in IT asset management
  • Excellent MS office knowledge, especially MS Excel
  • Responsible for management of good working relationship with TPVs
5

Responsibilities For Apprenticeship & Compliance Consultant Resume

  • Manage multiple tasks simultaneously; maintain focus and prioritize to provide exceptional service levels in a dynamic environment
  • Three or more years of experience in higher education, college student conduct, civil rights/equal opportunity field
  • Demonstrated ability to create an environment of trust through integrity
  • Effective in communication with management and senior leadership
  • Assume responsibility for all CFPB documentation and tracking within the Customer Experience Department
6

Responsibilities For Risk & Compliance Consultant Resume

  • Monitoring and assisting the team to proactively respond to emerging issues and trends relating to clients’ risk management and compliance obligations
  • Researching and monitoring Anti-Money Laundering and Customer Identification cases for insurance companies and broker-dealers
  • Understanding core AML / BSA risk and incorporating best practices
  • Reviewing new and existing statutory/regulatory requirements for the potential impact at U.S. Bank
  • Advising management and the compliance function with regards to corporate governance matters
  • Understanding of country retirement funds (structure, environment)
  • Working independently with limited guidance, conduct formal compliance verification to ensure compliance has been met
7

Responsibilities For Compliance Consultant, Mandates Control Group Resume

  • Thinking outside the box to initiate improvements of processes or methodologies
  • Automating security control evaluation
  • Partnering with business lines in implementation of information security controls which meet regulatory or industry standard compliance
  • Supporting senior members of the department in the identification, planning and execution of the Department’s activities
  • Ensuring internal policies and procedures are updated to reflect regulatory requirements
  • Evaluating and advising on the adequacy and efficacy of HR compliance-related issues, policies, procedures and controls
  • Documenting compliance gaps and participating in the remediation and resolution of issues
  • Writing detailed case summaries which clearly address each individual allegation in an Ethics Line case, in a concise
  • Perform routine and ad-hoc compliance monitoring roles (e.g., anti-fraud, Rule 38a-1, AML), including substantive testing
8

Responsibilities For Allstate Dealer Services Compliance Consultant Resume

  • Critical Thinking: Thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution
  • Exercise judgment in identifying and escalating matters to managers attention and above, as appropriate
  • Fluent understanding of and ability to execute service delivery according to client – specific protocols and service level agreements
  • Support the establishment and implementation of a high quality, repeatable and documented Care1st compliance monitoring and auditing process
  • Practical working knowledge of an Insurance / operational & control environment framework, while understanding of compliance / regulatory correlations
  • Provide consultative advise to functional operating areas to aid in achieving compliance
  • Commitment to educating and sharing information broadly with the compliance organization
  • Develop and drive to completion 3120 supervisory initiatives, including surveillance review and reporting
9

Responsibilities For License Compliance Consultant Resume

  • Act as a liaison to various compliance areas in an effort to identify potential gaps or enhancements resulting in training or educational opportunities
  • Work with Training to ensure all training courses and documentation are written in the same manner and in agreement to the CFPB regulations
  • Monitor new and changes to existing regulations, standards and laws impacting Safety, - - Telecom, Energy Efficiency and other agency approval requirements
  • Prepare and provide periodic reports to meet regulatory requirements governing political contributions, investing in certain foreign companies, and affiliates
  • Assist with drafting and preparing compliance reports and other materials for the Funds’ Board of Trustees
  • Works independently on complex data gathering, checking, manipulation, and analysis tasks
  • Knowledge of IT Assets Management and SCCM tool (incl. setting of metric engine hints)
  • Assess and report on subadvisers’ compliance with applicable policies and procedures pertaining to management of the MassMutual Funds
10

Responsibilities For Quality, Risk & Compliance Consultant Resume

  • Analyze and assess subadvisers’ trading practices and commissions
  • Exercise appropriate discretion when difficult conversations occur, in keeping with LinkedIn culture and values
  • Provide analytics for negotiations and discussions regarding their license management
  • Educate decision makers and local sales reps on the process and reasoning behind our policies
  • Collaboration with the following investigative

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