Compliance Monitoring Resume Sample

17 votes

The Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Harley Reichel
25173 Joaquin Shore,  Philadelphia, PA
+1 (555) 359 1708

Work Experience

Compliance Monitoring Specialist
10/2017 - PRESENT
Phoenix, AZ
  • 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 Clients
  • Produce high quality, concise, well researched written work is vital to this role as is the ability to communicate clearly and succinctly with senior management in the business
  • An enthusiasm for analysis and meticulous attention to detail
  • An open, flexible, team-oriented personality, with good communication skills
  • Be able to multi task, prioritise and work to deadlines in a pressurised environment
  • Familiarity with standard MS Office products
Compliance Monitoring Analyst
02/2015 - 05/2017
San Francisco, CA
  • Assisting with other Testings / Reviews / Investigations as required
  • Able to work as part of a team as well as independently and with people of diverse backgrounds
  • Experience working under a government imposed healthcare compliance monitoring and auditing program
  • In-depth knowledge of the industry’s standards and regulations related to compliance with healthcare laws
  • Work constructively with risk & compliance colleagues on all matters, including devising, implementing and maintaining policies & procedures, providing challenge and advice and maintaining compliance with applicable regulatory and industry rules
  • Support the Internal Audit and Risk functions on all matters as determined by the UK Chief Compliance Officer
  • Support the Senior Director, Regional Compliance by working with various departments to carry out projects aligned with the 2018 compliance monitoring plan and risk assessment; conduct detailed and deep-dive monitoring (testing of policy compliance) of various compliance risks; review and analyze collected data and prepare related reports, including remediation/action plans as needed
  • Work on matters of diverse scope where analysis of data requires evaluation and recommendation of action regarding identifiable factors
  • Exercise judgment within generally defined practices in assessment and decision-making
Compliance Monitoring Consultant
02/2010 - 12/2014
Chicago, IL
  • Monitoring and surveillance of Firm, Client and Employee trading activity/Monitoring and regulatory reporting of Firm’s positions in issuers
  • Assist with the execution of the company’s compliance monitoring plans at the company’s Local Operating Companies and distribution partners outside of the U.S. with particular focus on the Sales and Marketing and Research and Development functional areas
  • Maintain the list of regulatory rules, controls and subsequent risk ratings as they pertain to assigned business areas (to include Transfer Agency and Fund Accounting)
  • Work with business areas and Control Managers to understand processes and controls to inform an appropriate monitoring plan
  • Provide Compliance support to business units as allocated/required
  • Active involvement in relevant committees/ forums and in day-to-day interaction with staff
  • Develop and maintain effective relationships with internal stakeholders
  • Knowledge or affinity with the stock market is advantageous
  • Experience with the systems Relativity and Global-relay or Bloomberg/Reuters are advantageous


DeVry University's Keller Graduate School of Management
2005 - 2009
Bachelor's Degree in Finance

Professional Skills

  • Excellent interpersonal, communication and grammar skills as well as strong follow-up skills
  • Strong systems/PC skills to include basic programming skills and use of data extraction/analysis tools (e.g. Excel, Oracle Business Intelligence)
  • Strong problem-solving skills, including creativity and innovative thinking Able to work effectively with diverse cultures
  • Strong organizational skills, with ability to prioritize, multi-task, and meet deadlines while working in a high pressure environment
  • Experience in managing multifaceted projects using strong organizational, interpersonal, and presentation skills
  • Excellent communication and interpersonal skills with ability to establish and maintain effective working relationships
  • Excellent administration, planning and organisation skills

How to write Compliance Monitoring Resume

Compliance Monitoring role is responsible for research, software, compliance, retail, finance, securities, training, integration, database, auditing.
To write great resume for compliance monitoring job, your resume must include:

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

Contact Information For Compliance Monitoring Resume

The section contact information is important in your compliance monitoring 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 Monitoring Resume

The section work experience is an essential part of your compliance monitoring 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 monitoring 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 monitoring position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Compliance Monitoring resume experience can include:

  • Demonstrated skills in audit or risk methodology and documentation
  • Strong organizational, analytical and research skills
  • Assertiveness skills and ability to influence and convince
  • Developed people management skills, ability to lead by example and manage a team within a structured environment
  • Audit/assurance knowledge sharing and skills development
  • Promoting effective adoption of the global compliance monitoring standards, recommending and rolling out enhancements as appropriate

Education on a Compliance Monitoring Resume

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

When listing skills on your compliance monitoring 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 monitoring skills:

  • Interpersonal skills necessary in order to interact effectively with all levels of bank management are required
  • Meticulous, attention to detail and strong organizational skills, detail-oriented, rigorous, and works well with other internal functional groups
  • Demonstrate appropriate interpersonal skills and strategies to establish collaborative working relationships within and outside of the team
  • Developing and leading the appropriate global forum to assess and share progress, issues, obstacles, good practices, lessons, efficiencies and effectiveness
  • Work effectively under deadlines both independently and within a collaborative team-oriented environment using sound business judgment
  • Excellent oral and written enterprise-wide communication with experience conveying complex legal and compliance matters

List of Typical Experience For a Compliance Monitoring Resume


Experience For Compliance Monitoring Analyst Resume

  • Strong analytical and problem-solving skills and affinity for IT systems and solutions
  • Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided
  • Work experience in financial services, with strong knowledge of investment management and trading activities
  • Highly proficient MS Office skills (i.e. Powerpoint and Excel)
  • Alerting management immediately of any significant changes to business risks and internal control effectiveness
  • Experience monitoring, auditing, or evaluating programs
  • Experience in analyzing and interpreting federal and state regulations and policies or grant requirements
  • Establish and maintain effective working relationships with senior leaders in the business and with the parent company in the UK

Experience For Compliance Monitoring Specialist Resume

  • Experience with using Microsoft PowerPoint and Excel at an advanced level
  • Experience with analytics and project management tools, including Smartsheet
  • Relevant experience working in financial services
  • Validate control processes to ensure compliance with laws, rules and regulations
  • Strong knowledge of asset management regulation and practices and fund industry
  • Experience of managing Professional Indemnity Insurance relationship & renewals
  • Substantial and broad experience in appropriate Financial and Compliance discipline

Experience For Head of Compliance Monitoring Resume

  • Planning monitoring assignments and executing them in a timely manner in line with the agreed monitoring plan
  • Liaising with the Head of Compliance, the Monitoring Manager and key business stakeholders to confirm and resolve monitoring findings and review queries
  • Ongoing input of monitoring work to, and maintenance of the Global Compliance Monitoring system
  • Assisting with oversight and management of temporary monitoring resources, including summer interns and BNYM
  • Working closely with Compliance colleagues and members of the monitoring team to develop the annual risk-based compliance monitoring plan
  • Ensuring that the monitoring activity is appropriately communicated through the Bank’s governance and co-ordinated with other oversight activity

Experience For Newton, Compliance Monitoring Analyst Resume

  • Monitoring the business response to compliance findings identified
  • Testing across multiple products
  • Understanding of the FCA’s rules and regulations
  • Monitoring requirements needed
  • Collating all review documentation to ensure a clear audit trail

Experience For Compliance Monitoring Associate Resume

  • Preparing and presenting reports to management which outline testing/monitoring results
  • Recommending and assisting business units with corrective action on issues identified in testing/monitoring
  • Collaborating actively with, advise, and support Compliance Regional/Country Heads and/or designated monitoring "champions"
  • Support the lead compliance monitors by conducting targeted monitoring/auditing of federal grant, including programmatic, fiscal and administrative elements
  • Assess the key impacts and requirements in respect of existing or the development of new monitoring and controls
  • Compile breach/incident and audit trial reports arising from monitoring activity
  • Contribute to the maintenance and upkeep of the annual compliance monitoring and surveillance monitoring plan

Experience For Compliance Monitoring Executive Resume

  • Implement changes as a result of monitoring findings to enhancing controls and process
  • Detailed understanding of the regulatory environment and principles
  • Investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings
  • Develop, document and complete the Annual Compliance Desk Review Plan covering the risk framework
  • Design and implement monitoring and surveillance controls to monitor market abuse risks
  • Draft and review monitoring test procedures
  • An understanding of the regulatory environment and expectations, FCA rules and guidance together with other relevant regulations and codes of practice
  • Conducting the pre-scoping exercise for each monitoring review (including meeting with key stakeholders), documenting the scope, conducting all field work, documenting all findings

Experience For Compliance Monitoring Senior Specialist Resume

  • Military Returners’ programme as required
  • Define and execute a risk based compliance monitoring programme for Fidelity’s Luxembourg-based activities (UCITS management company, AIFM and MiFID investment firm) and additionally the activities undertaken by the Luxembourg based entities through branches in other European branches
  • Fluent in English and French – German, Dutch, Italian and/or Swedish would be an advantage
  • Pro-active team player with the ability to work independently
  • Assists in the implementation of compliance monitoring activities; identifying, reporting, and implementing monitoring controls and making recommendations for training and/or other mechanisms to mitigate risks, or improve the efficiency or effectiveness of business operations and compliance program
  • Partners and collaborates with leadership and business partners to enhance business processes based on monitoring results to effectively integrate compliance into daily business operations
  • Assist with and tracks corrective action plans related to regulatory impacts, including those identified as a result of compliance monitoring, testing, or audits
  • Conducts Compliance reviews for purposes of identifying, assessing, and documenting. 50%

Experience For Compliance Monitoring Consultant Resume

  • Monitors FIL’s trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market misconduct, information barriers, conflicts of interest and so forth
  • Participate in company-wide initiatives and special projects as assigned by the Head of Monitoring. Conduct special analyses on request
  • Build and implement an independent Compliance Monitoring Program for the US and Canada business
  • Evaluate potential strategies to gather, analyze and report on the required information
  • Research potential solutions and recommend best methodology/approach Implement strategy/methodology
  • Design report, propose distribution schedule to line manager, ensure reports are timely distributed and communicate key issues to Monitoring team and management. Communicate key issues to stakeholders as aligned with the Head of Monitoring
  • Maintain current monitoring reports and develop new monitoring analytics to support overall monitoring strategies (e.g., new metrics for speaker programs, T&E, etc.). Identify appropriate monitoring tools to assist the Company in monitoring promotional, non-promotional and financial activities
  • Experience in pharmaceutical market desirable
  • Develop and maintain key metrics reports for each of the Compliance groups, as needed, which can be distributed to Compliance and Audit Committees

Experience For Senior Compliance Monitoring Analyst Resume

  • Ensure all reviews conform comply with internal (audit methodology and risk management) and external (regulatory) requirements
  • Ensure that a best practices approach is taken for all work and promote a proactive rather than reactive approach to risk management helping to embed an enhanced compliance and ethical culture at all levels of the business
  • Produce sophisticated reports and present to the Compliance Committee of the Board and other senior members of management highlighting issues and providing potential solutions to issues identified
  • Coordinate with members in local Finance, UK Group Assurance and Best Practices Team and Risk Managers in other group countries to ensure coordination of all reviews and audits within US business
  • In collaboration with Finance, build and implement a coordinated and rolling Risk Assessment Program providing constructive challenge to department’s risk matrices, and work with the business to document key business processes
  • Assist in the identification of key risk areas within the business and contribute to the forward Annual Compliance Monitoring Plan as approved by the Compliance Committee of the Board
  • Lead or participate in ad hoc audits, projects and investigations as appropriate to individual skills and experience

Experience For Safety & Compliance Monitoring Auditor Resume

  • Audit or Risk Management experience required
  • Provide ad-hoc advice to management on control issues, and other special projects as needed
  • Share expertise within the team and encourage best practice behaviors across the organization
  • Understand, analyze and interpret highly complex information
  • Proficient in Microsoft Office, PowerPoint and Excel with demonstrated ability to prepare reports utilizing sophisticated charts for managing key metrics tracking

List of Typical Skills For a Compliance Monitoring Resume


Skills For Compliance Monitoring Analyst Resume

  • Developing and overseeing more effective reporting and MI of monitoring work undertaken globally
  • Promoting the consistency and effectiveness of thematic and desk based monitoring and surveillance globally and the balance between them
  • Providing challenge to the business, or internally to ensure good client outcomes
  • Experience planning and drafting monitoring study designs, implementing monitoring studies, correlating and presenting findings
  • Compliance, monitoring, and/or auditing experience
  • Demonstrated success working in fast-paced, rapidly changing environment
  • Experience of performing thematic monitoring reviews would be beneficial

Skills For Compliance Monitoring Specialist Resume

  • Experience of assessing market and regulation changes and being able confidently anticipate changes to ensure compliance
  • Able to work under pressure and able to work at different activities simultaneously and with competing priorities
  • Quickly build effective relationships with clients and others at all levels of the organization, providing top-quality service on a timely basis
  • Good understanding of FCA regulations
  • Good knowledge of at least one programming language (VBA, JavaScript, C++)
  • Experience in the definition and execution of compliance monitoring programs
  • Experience in legal, compliance or finance department or an audit or risk environment conducting independent review
  • Previous experience gained in a compliance, audit or trading support function
  • Good knowledge of equity and fixed income markets and trading environments

Skills For Head of Compliance Monitoring Resume

  • Strong knowledge and ability with Microsoft excel and other office programs
  • An awareness of the impact of compliance on customer experience required
  • Build strong internal relationships with wider compliance, internal audit and senior stakeholders
  • Prioritise workload and identify when support is needed to achieve goals
  • Managing the planning, resourcing and reporting of the programme, collaborating with Heads of Compliance in Investment and Distribution
  • Promoting appropriate supporting technology, including workflow and documentation where value adding
  • Conducting testing and other necessary tasks as required in order to support reviews being undertaken by the other members of the Compliance Monitoring team
  • Managing and coordinating the cross border monitoring of delegated accounts

Skills For Newton, Compliance Monitoring Analyst Resume

  • Developing and promoting common best practices, knowledge and data sharing and efficient approaches
  • Completing Compliance Monitoring reviews as assigned and in accordance with the Compliance Monitoring plan
  • Identifying improvements and enhancements to existing processes
  • Assisting other Compliance personnel in resolving compliance issues as directed
  • Evaluating local practices and implementation through appropriate overseas visits and recommend any key enhancements of methodology, practice, resourcing
  • Complying with all Security and Health & Safety policies and procedures operating within the business
  • Completing compliance monitoring of all the 1st line control functions' activities

Skills For Compliance Monitoring Associate Resume

  • Performing follow-up with the applicable business units to make corrections
  • Notifying management and/or the Chief Compliance Officer immediately on discovery of any material regulatory breach
  • Focus on delivery of the CMP, including adapting and developing this to meet changing requirements
  • Completion of administrative tasks required to support the Compliance Monitoring plan including system administration, planning, fieldwork, and report writing
  • Complete individual monitoring tasks as allocated from time to time, identifying findings, breaches or issues and escalating these as appropriate

Skills For Compliance Monitoring Executive Resume

  • Implement the compliance monitoring program for advertising and complaint handling
  • Track progress and completion of all pending required action plans stemming from all monitoring reviews
  • Responsible for carrying out the Compliance Monitoring plan across global banking markets Regulatory focus (eg Dodd - Frank / Volcker)
  • Manages and monitors routine and recurring subcontractor performance monitoring of reports
  • Collaborate with Monitoring Team and line management to understand the monitoring need
  • Perform field monitoring and data analysis in the LATAM Countries as assigned by the Head of Monitoring
  • Oversee the implementation of monitoring routines and reviews to confirm that procedures agreed to deliver compliance are being implemented
  • Maintain awareness and understanding of the strategic risks faced by the company arising from sources identified in the risk registers

Skills For Compliance Monitoring Senior Specialist Resume

  • Implement reporting standards, policies, and procedures for compliance monitoring activities and self-identified compliance issues
  • Assist with development and refinement of monitoring/auditing tools and report templates
  • Assess the key impacts and requirements in respect of existing or the development of new monitoring and controls and update necessary
  • Compile breach/incident and audit trial reports arising from monitoring activity and report the outcome
  • Oversee the creation and implementation of relevant and consistent monitoring templates i.e. causal analysis coding
  • Responsible for carrying out the Compliance Monitoring plan in particular on the Volcker programme as part of the firm's Dodd Frank regulatory obligations

Skills For Compliance Monitoring Consultant Resume

  • Compliance monitoring of wholesale banking products
  • Develop and implement the annual compliance monitoring programme for UK and EMEA
  • Oversee and assist the wider team responsible for conducting thematic reviews as required
  • To support the activities of the Risk & Compliance team and champion the embedding of a compliance awareness culture throughout the business
  • Take accountability and ownership for specific areas of the CMP, e.g. regular monitoring of Gifts & Hospitality

Skills For Senior Compliance Monitoring Analyst Resume

  • Assess when to deal with an issue or when to seek involvement of a colleague (including line manager)
  • Communicates professionally with stakeholders, building positive relationships
  • Compliance Framework and Culture, working closely with and assist the Compliance Managers to drive each business units’ compliance
  • Assist with collating management information and reports, as required
  • A genuine interest in the investment process and trading
  • Investigative and questioning nature, analytical and a self-starter
  • Confident personality and comfortable dealing with traders
  • Support LIBOR submission and related communications monitoring
  • Assist, develop and implement new monitoring controls other than those set out above

Skills For Safety & Compliance Monitoring Auditor Resume

  • Compliance monitoring in relation to regulatory requirements in respect of the Volcker programme
  • Self-motivated, goal-oriented with high level of energy
  • Unquestionable ethics, integrity, and values
  • Work in a multicultural, matrix environment
  • Highly responsible, accountable and adaptable
  • Work with minimal supervision and exercise independent judgment, make decisions, and give appropriate advice to internal stakeholders. A self-starter who works well independently, but knows when to seek input or ask for guidance

List of Typical Responsibilities For a Compliance Monitoring Resume


Responsibilities For Compliance Monitoring Analyst Resume

  • Strong organisational skill & attention to detail
  • Previous experience in a monitoring or testing position
  • Proven ability to understand legal and regulatory concepts and converting them into relevant, practical business requirements
  • Experience working in a professional environment
  • Ideally experience across a range of product and instrument types
  • Leading more complex or challenging reviews
  • Providing QA over the overall programme, execution and reporting
  • Support partner relationships with other companies and financial institutions in lending marketing campaigns and complaint handling

Responsibilities For Compliance Monitoring Specialist Resume

  • Perform thematic monitoring reviews, under supervision of the Associate Director, Compliance Monitoring
  • Tackle decisions involving a wide variety of factors and data points without losing sight of the end goal or key issue
  • Assist in training new sites/staff regarding ABTC rules and regulations
  • Perform monitoring or testing of compliance data
  • To support the compliance trade surveillance monitoring programme across all asset classes: equities, fixed income, FX and multi-asset

Responsibilities For Head of Compliance Monitoring Resume

  • Review and investigate trading exceptions generated on a daily basis from the firm’s automated compliance monitoring tools. Areas to review include best execution, fair allocation, timely execution, conflicts and market abuse
  • Performance of best execution and market abuse monitoring for the firm’s Retail Brokerage platform
  • Maintain a database to record monitoring issues
  • Assist with ad-hoc compliance monitoring tasks, as required
  • Ensure that all areas under your control are optimally staffed to balance the needs of providing a reliable service with cost efficiency
  • Plan and conduct compliance monitoring, some of which is delegated to Group Internal Audit

Responsibilities For Newton, Compliance Monitoring Analyst Resume

  • Learn and interpret state and federal banking laws and regulations
  • Assist in the completion of compliance monitoring risk assessments
  • Learn and interpret state and federal banking laws and regulations; assess the impact of such rules on bank processes
  • Reviews of Bloomberg, e-mail and telephone communications made by investment professionals
  • Arrange for the operational Boards to be provided with accurate, reliable and timely management information to enable effective control of the business FS activities
  • Ensure procedures are in place to identify measure and monitor the range of financial and other risks faced by the company and controls established to mitigate them

Responsibilities For Compliance Monitoring Associate Resume

  • Work with the fraud officer/ MLRO to prepare information for the Board on the policies necessary to guard against the company’s services being used for financial crime purposes
  • Attend ‘proposition committee’ to provide guidance and oversight of compliance risks
  • Product Manager liaison point of initial contact
  • Support FS Compliance Director in regulatory relationships
  • Maintain the highest standards of integrity and professionalism in all business and personal dealings

Responsibilities For Compliance Monitoring Executive Resume

  • Ensure that the Management team in your area are aware of their regulatory responsibilities and the implications of non-compliance
  • Maintain awareness and understanding of regulatory requirements imposed by the Financial Services and Markets Act 2000 and associated rules issued by the Financial Conduct Authority (FCA)
  • Considerable knowledge of financial industries and the associated legislation and regulatory requirements
  • Build key external and internal relationships
  • Fully CeMap qualified (or equivalent)
  • Extensive knowledge of the mortgage lenders and marketplace regulatory framework
  • Monitor regulatory compliance on both a regular and periodic basis, identify gaps in controls, and propose and track remediations by partnering with business leads and stakeholders
  • Prepare Board of Directors compliance reports by collecting, analyzing, and summarizing information and producing accurate and reliable information for decision making
  • Coordinate with business units in the development and implementation of policies and procedures to minimize compliance risks and ensure that governance policies are being followed and updated as required

Responsibilities For Compliance Monitoring Senior Specialist Resume

  • Support the business in investigating and remediating any potential compliance matters
  • Consult with corporate attorneys and others as necessary to address difficult legal compliance issues
  • Provide regulatory subject matter expertise as it pertains to the creation, dissemination, and recording of advertising and for handling, responding, and tracking customer complaints
  • Review communications, legal agreements, and advertising for lending products to validate compliance with applicable laws, regulations, policies, and other requirements
  • Maintain superior knowledge of lending compliance laws and regulations related to advertising and complaint handling and proactively identify emerging compliance risks
  • Identification of the “root cause” of issues identified through monitoring/testing
  • Assist in the review and development of compliance training as needed
  • Preparing summaries on the number of outstanding monitoring issues, items greater than 90 days, and corrective action underway for the Chief Compliance Officer and management
  • Participating in Compliance Risk Management Department Projects as assigned

Responsibilities For Compliance Monitoring Consultant Resume

  • Collaborate with line of business to develop requirements for the reporting of compliance monitoring activities and self-identified compliance issues throughout the bank
  • Develop processes for the delivery of data collected in BWise, the bank's Governance, Risk and Compliance (GRC) Management tool and the distribution of this data to the first line of defense, second line of defense, internal audit, regulators, etc
  • Methodology, including best and effective practice development with/from GIA
  • Complying with all BNY Mellon and Pershing corporate policies and procedures, including HR policies and procedures, applicable to Pershing
  • Manage and maintain the inventory of compliance related monitoring being performed by the first and second lines of defense in BWise
  • Develop and maintain key risk indicators or other metrics to assist the first and second lines of defense in observing/ensuring compliance with applicable laws and regulations
  • Perform user acceptance testing and post production testing on BWise implementations to ensure they meet business requirements
  • Maintain superior knowledge of lending compliance laws and regulations and proactively identify emerging compliance risks
  • Produce reconciliations of data between BWise and reporting from BWise

Responsibilities For Senior Compliance Monitoring Analyst Resume

  • Implement the compliance monitoring program
  • Support daily and monthly production processes for BWise and other assigned systems
  • Maintain integrity of informational processes, from documentation of procedures to organization of multiple informational sources
  • Advise Schroders businesses on regulatory requirements, best practice and the implementation thereof
  • Communicate regulatory changes and developments
  • Reporting on the status of and issues arising from the global compliance monitoring programmes to the Global Head of Compliance and, as appropriate, to the Group General Counsel
  • Preparing and delivering insightful quarterly reports to GRC and BARC on the global programme – status, key issues, themes/trends, proposed risk based adjustments

Responsibilities For Safety & Compliance Monitoring Auditor Resume

  • Develop, lead and where appropriate deliver relevant monitoring training globally – methodology (compliance, risk and audit), regulatory and risk thematic content, technology, techniques
  • Planning and execution of, adjust and report status, issues and findings of the annual programme
  • Coordinating with Group Risk and GIA
  • Managing and supervise one or more direct reports
  • Participating as and where appropriate in relevant compliance investigations, and new acquisition due diligence
  • Developing own expertise, knowledge, capability, network, with appropriate support

Related to Compliance Monitoring Resume Samples

Compliance Assistant Resume Sample

Work Experience

  •  Submits documents to international, federal, and state/local governments as required for product approval and registration   •  Performs monthly reporting and tracking to update department and cross functional departments   •  Maintains eligibility for brands/products to ensure spe...
Professional Skills

  •  Good communicator both verbally and in wri...
  •  Good inter-personal, collaborative skills,...
  •  Possessing excellent communication skills,...
12 votes

Compliance Lead Resume Sample

Work Experience

  •  Satisfaction of our client needs and effective of services; owning and resolving the majority of operational issues; reducing hand-offs and simplifying the client interface   •  Delivery of effective and efficient service through centralized and standardized management, coordination, communication, an...
Professional Skills

  •  Demonstrates strong problem solving, decis...
  •  Strong project management skills including...
  •  Adapt to a changing environment and strong...
14 votes

Compliance Monitoring Manager Resume Sample

Work Experience

  •  Ensuring that RBC’s CMP remains current in respect of the changing regulatory environment   •  Driving forward RBC’s monitoring capabilities, benchmarking with our peers, hosting and attending monitoring forums   •  Be passionate about testing and monitoring and driven by “doing th...
Professional Skills

  •  Strong positioning and closing skills
  •  Proven experience of operating in a Compli...
  •  Strong conflict management skills 
12 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...
17 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...
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 ...
21 votes