Compliance Quality Assurance Resume Sample
Solon Dickinson
781 Jast Motorway,
Philadelphia,
PA
+1 (555) 613 9785
Work Experience
Compliance Quality Assurance Manager
10/2015
-
PRESENT
San Francisco, CA
- Monitor progress of the Quality KPI’s in achieving the QAP long range strategic plans and communicate to senior management
- Oversees installation, maintenance and continuing development of section’s information processing systems and ensures compatibility with USC financial services systems
- Validate resolution plans to ensure they adequately address the root cause of identified issues found in the business lines and evaluate whether corrective actions are sustainable
- Conduct a detailed review of evidence to support the closure and remediation of issues
- Analyze testing results to verify the adequacy of business line remediation
- Conduct credible challenge and provide business line risk management with value added feedback to verify issues have been appropriately resolved
- Work closely with business line risk management, subject matter experts, and CQA management to address matters of concern and ensure issues are properly remediated
- Identify trends, including repeat issues and inadequate corrective actions taken by business line and CQA testing
Compliance Quality Assurance
01/2012
-
06/2015
Los Angeles, CA
- Good understanding of the Bank’s consumer credit and deposit products and services, and applicable federal laws and regulations
- Good understanding of the Bank’s processes and controls pertaining to the consumer business lines
- Some management experience.
- Drive change and motivate teams to focus on continuous improvements
- Keen instinct for compliance and risk management
- Thorough understanding of compliance risks and the Bank’s associated products, processes, and controls
- Maintain awareness of Bank, regulatory, and industry changes and trends
- Provide coaching and training to CQA testers in order to develop a team of well-rounded risk managers
International Compliance Quality Assurance AML Consultant
08/2006
-
08/2011
San Francisco, CA
- Hold team accountable for tasks and deadlines
- Active involvement with business line partners and CQA testers throughout the design and execution of a test
- Ensure the test scope and methodology are effective to achieve the test’s objective and are inclusive of all products, processes, and business units applicable to the rule or policy being tested
- Review of test work papers to ensure adherence to CQA standards; to verify testing was completed thoroughly and accurately; and to ensure all findings and conclusions are well supported and properly documented
- Determines adherence with compliance information by monitoring inbound and outbound calls
- Compiles and tracks compliance at team and individual levels
- Identifies trends/themes and provides recommendations on training needs to meet compliance standards
- Provides actionable data to various internal support groups, team leaders, and managers as needed
- Provides written and verbal feedback to Admissions management when appropriate
Education
Friends University
2001 - 2005
Bachelor's Degree in Finance
Professional Skills
- Database management and querying skills a huge preference!
- Apply technical knowledge to provide QA oversight for manufacturing quality systems and validation
- Understanding of and ability to identify AML/OFAC typologies
- Exhibit sound judgment by evaluating problems thoroughly, soliciting input and ideas, and using a systematic decision making approach
- Devises sampling procedures and directions for recording and reporting compliance data
- Oversee and approve writing of SOPs relating to Compliance
- Establish/ensure compliance with continual good manufacturing practice (cGMP)
How to write Compliance Quality Assurance Resume
Compliance Quality Assurance role is responsible for database, design, reporting, training, credit, finance, education, accounting, planning, compliance.
To write great resume for compliance quality assurance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Quality Assurance Resume
The section contact information is important in your compliance quality assurance 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
- Telephone number
Work Experience in Your Compliance Quality Assurance Resume
The section work experience is an essential part of your compliance quality assurance 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 quality assurance 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 quality assurance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Quality Assurance resume experience can include:
- Appropriately challenge the status quo and use knowledge and experience to continuously improve work processes
- Maintains a current working knowledge of relevant laws, regulations, and trends in the higher education industry
- Make risk-based determination through QA (quality analysis) whether alerts were properly cleared by Compliance Client List Screening Analysts
- Bring out other’s potential/talents
- Creates and maintains standardized QA work flows and procedures
- Prepares and analyzes internal and external compliance reports for management staff review
Education on a Compliance Quality Assurance Resume
Make sure to make education a priority on your compliance quality assurance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance quality assurance 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 Quality Assurance Resume
When listing skills on your compliance quality assurance 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 quality assurance skills:
- Three or more years of experience in regulatory compliance activities such as risk management, audit or similar control-related experience
- Five to seven years of experience in regulatory compliance activities such as risk management, audit or similar control-related experience
- Research regulatory questions and seek concurrence of team lead and/or manager prior to communication with business line/entity
- Experience in an applicable risk management environment
- Assists in scheduling QAR engagements and identifying necessary resources, time, and budget needed to complete the Annual QAR Test Plan
- Conduct peer review and approval of documentation produced by co-workers and provide feedback or coaching on how to improve
List of Typical Skills For a Compliance Quality Assurance Resume
1
Skills For Compliance Quality Assurance Manager Resume
- Lead projects to improve site compliance posture
- Technical – Direct compliance activities that ensure quality and safety standards are met for our products
- Develop/improve QA programs, policies, processes, procedures, and controls to ensure that product performance and quality conform to established standards and agency guidelines
- Provide expertise and guidance to interpret government regulations, agency guidelines and internal policies to assure compliance to current requirements and expectations
- Serve as liaison between the company and the governmental agencies and notified body
- Oversee compliance activities of complex nature as per schedule and standards/SOPs, and provide guidance, knowledge and expertise to compliance team
2
Skills For Compliance Quality Assurance Specialist Resume
- Support compliance team as SME on topics such as: cGMPs, Risk Management, Change Control (PPC, ECN), Annual Product Review (APR), Audit, Gap Assessment, external standards and the Novartis Quality Manual
- Direct and oversee compliance initiatives/projects or programs
- Ensure coordination and/or support is provided for external audits inspections
- Performs activities integral to the development of the Annual Global Compliance QAR Test Plan including gathering of key trends and information to confirm planned risks/areas of QAR focus
- Execute a risk-based monitoring program for the area(s) assigned to ensure compliance with related federal and state financial services regulations. Complete programs within budgeted hours with an explanation for any variances
3
Skills For Senior Manager, Compliance Quality Assurance Resume
- Document work and ensure all issues are fully supported
- Continue to enhance knowledge of regulatory requirements in assigned areas and keep abreast of all regulatory changes and/or new laws and regulations
- Consult with management on development or revision of policies and procedures to ensure compliance with regulatory requirements
- Conduct research and root cause analysis of exceptions and seek concurrence of team lead and/or manager in the course of developing issues requiring action by business line management
- Work collaboratively, prioritize effectively and meet deadlines
- Strong organizational skills and the ability to coordinate activity and information across a wide range of individuals and groups within the DB organization
- Strong PC skills (Microsoft Office Suite – Word, Excel and PowerPoint)
4
Skills For Head of Compliance, Quality Assurance Resume
- Experienced risk manager with strong leadership abilities
- At least ten years of audit, mortgage compliance, or regulatory experience
- Strong knowledge of U.S. Bank Home Mortgage and the laws/regulations applicable to the Bank’s mortgage products and operations
- Clear understanding of the domestic e-commerce landscape
- Support the development and delivery of a global Target Operating Model’s across the Divisions
- Clearly articulate compliance requirements to a non-compliance audience
- Interest and aptitude to understand processes, platforms and products in the e-commerce market
5
Skills For Compliance & Quality Assurance Sales Representative Resume
- LLB/Juris Doctorate (an asset)
- Knowledge of and experience with AML regulations and requirements in foreign jurisdictions, including but not limited to Europe, Mexico, Brazil, Cayman Islands, and Canada
- Sound professional judgment, dependability, tact, discretion, integrity, resourcefulness, accuracy and initiative
- Assists with the daily operations of the compliance department and completes special projects as assigned
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