Consultant, Compliance Resume Sample
Alysa Hackett
843 Nader Junction,
Boston,
MA
+1 (555) 158 1372
Work Experience
Senior Consultant, Compliance
09/2015
-
PRESENT
Los Angeles, CA
- Provide support to leadership within Scottrade’s Broker Dealer and Investment Advisory lines of business to ensure issues with team members are addressed promptly, consistently and resolved quickly
- Analyse and interpret the relevant regulations (UK and EU) in conjunction with corporate policy ensuring procedures, processes and controls reflect Northern Trust’s regulatory obligations
- Manage the following AFC/AML related processes/tasks\
- Monitoring and assessing the adequacy and effectiveness of the measures, controls and procedures put in place by assigned businesses units to address NT’s compliance with its regulatory obligations
- Developing an understanding of the client’s business activities, controls, processes, and associated risks
- Lead the tracking of service providers’ compliance policies and procedures and summarize for Boards
- Support annual and ongoing review of the funds’ and advisor’s compliance programs
- Obtains input from management as appropriate before making internal/external statements or providing information that could impact the corporation
- Identify and log separate account compliance exceptions through ongoing testing of procedures in coordination with business process owners
Consultant, Compliance
04/2010
-
03/2015
Philadelphia, PA
- Assist with the creation of policies and procedures related to compliance topics that impact the company’s operations
- Be the team’s SME on the EU and UK financial regulatory landscape and key regulatory initiatives including MiFID (I and II), Market Abuse Regulation (MAD I and II), EMIR, AIFMD, UCITS, PSD (I and II), as well as UK laws and regulations including the FCA and PRA handbooks, with the ability to interpret legal entity, business and operational impact of regulatory changes
- Perform complex compliance reviews of regulations relating to consumer lending and credit cards. Determine the potential impacts of the regulations
- Provides strategic direction in creating new documents/ updating existing documents to comply with regulatory requirements
- Develop and implement training/education programs
- For assigned business units, provide compliance challenge, advice and support on key developments during the year including regulatory engagement, business developments and emerging issues
- Oversee the review, interpretation and dissemination of current and proposed laws and regulations for assigned Subject Matter Expert compliance areas
Junior Consultant Compliance Simplification
12/2003
-
03/2010
San Francisco, CA
- Conduct ongoing testing of various separate account transactions to detect any compliance violations
- Monitor reported compliance exceptions to help assess risk and to ensure any corrective action is taken
- Assist business areas in assessing how to prevent further violations or exceptions to compliance program
- Monitor regulatory changes related to assigned products and compliance topics
- Serve as subject matter expert with respect to assigned compliance topics and projects
- Assist impacted business areas undertaking program changes based on new or changing regulations
- Support regulatory market conduct examinations by gathering information, reports, and data requested by regulators in a timely and accurate manner
- Leverage internal and external technology and resources to create more effective and efficient processes
- Develop and draft written policies and procedures as needed
Education
University of Phoenix - Memphis Campus
1997 - 2002
Bachelor's Degree in Business
Professional Skills
- Strong organisational skills, a collaborative approach to work, with strong interpersonal skills
- Demonstrated strong relationship management skills with internal clients (e.g. management, peers and colleagues); proven ability to develop
- Strong communications skills; including presentation – excellent in drafting a compelling storyline in PowerPoint
- Strong organizational, planning and influencing skills
- Superior oral communication skills to deal effectively with a variety of situations including upset callers
- Excellent written communication skills to educate the audience and clarify decisions to people with varying levels of knowledge
- Strong decision making skills to reach a fair and equitable resolution
How to write Consultant, Compliance Resume
Consultant, Compliance role is responsible for compliance, training, credit, reporting, design, education, research, insurance, events, government.
To write great resume for consultant, compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Consultant, Compliance Resume
The section contact information is important in your consultant, compliance 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 Consultant, Compliance Resume
The section work experience is an essential part of your consultant, compliance 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 consultant, compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular consultant, compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Consultant, Compliance resume experience can include:
- Strong interpersonal skills with the ability to establish credibility and foster excellent working relationships with internal and external senior stakeholders
- Proven & demonstrated background working in a Senior role within financial services with a broad understanding of regulatory compliance
- Compliance monitoring experience and/or experience of providing compliance advisory support to other business areas within a financial services environment
- Excellent communication (verbal and written, meeting participation and facilitation) and interpersonal skill
- Well-developed writing skills and the ability to clearly communicate to non-compliance and non-legal audiences
- Good compliance understanding with a strong affinity for business topics and computer science
Education on a Consultant, Compliance Resume
Make sure to make education a priority on your consultant, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your consultant, compliance 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 Consultant, Compliance Resume
When listing skills on your consultant, compliance 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 consultant, compliance skills:
- Strong project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure,
- Strong investigative, analytical and mathematical skills to recreate what took place
- Strong organizational skills and attention to detail with the ability to support multiple projects in a fast paced environment
- Demonstrated ability to work efficiently and effectively with legal and compliance team members and with business leaders at multiple levels of organization
- Strong organizational skills and ability to structure complex issues
- Excellent relationship and interpersonal skills and ability to influence and ability to manage conflicts
List of Typical Experience For a Consultant, Compliance Resume
1
Experience For Senior Consultant, Compliance Resume
- Like to work with people and fast learner of new skills
- Presentation skills and project-management methods
- Relevant presales or consulting experience, ideally acquired in a Consulting, Banking or Insurance environment
- Experience in project management or comfortable with using project management ideas
- Experience in the presentation of complex software solutions (solution selling)
2
Experience For Field Supervision Consultant, Compliance Resume
- Lead others with less experience or knowledge of specific compliance topics to drive and sustain a culture of compliance
- Experience in insurance, data privacy, legal, business or government regulations/compliance
- Work with limited direction, set priorities and manage deadlines
- Experience working for or directly with one or more regulatory agencies (e.g., Federal Reserve, FCA, PRA, CFPB, SEC, CFTC) is desirable
- Compliance/Risk Management/Regulatory experience
- Bright, detail orientated, reliable with good commercial sense
3
Experience For Market Based Consultant, Compliance Resume
- Analytical, and quantitative: feels comfortable with numbers, strong business acumen
- Comfortable with taking the initiative but capable of recognizing complex problems and feels comfortable bringing questions to management
- Assist the business with public welfare investments, completing the appropriate notice and filing requirements
- Support the creation and maintenance of Compliance Policies and Standards; and provide ad’ hoc training to the business where required
- Produce and provide input for regular or ad’ hoc reporting to the relevant governance bodies
- Manages and prepares more complex compliance reports and responses to regulatory inquiries, including but not limited to the annual NY regulation 210
4
Experience For Practice Leader Consultant Compliance Resume
- Performs complex research and analysis to ensure compliance with proposed, new and existing leave laws and provides legal advice and counsel
- Provides legal support across the multiple business areas serving leave products
- Manages relationships with business areas through ongoing communication and involvement with projects
- Provide guidance to business, risk, and legal partners across the enterprise on regulatory filing requirements
- Draft and file notices with various banking regulatory agencies
5
Experience For Junior Consultant Compliance Simplification Resume
- Assist with filing the legal entity identifiers for various legal entities across the globe
- Evaluation of competing publications and conduct of internet researches
- Coordination, deadline monitoring and quality control of tenders
- Eloquent and dynamic consulting personality with a positive charisma and the ability to inspire
- Interest in Pharmaceutical industry and consulting
- Draft and file requisite notices with staff at various state and federal banking agencies
- Represent Global Compliance Ireland at Client Due Diligence reviews, ad hoc programmes and other internal/external forums
- Identify situations to strengthen the management of regulatory risk, including those outside of their assigned SME areas, and recommend plans to address these to the Compliance Manager and Head of Compliance
6
Experience For Presales Consultant Compliance Solutions Resume
- Deliver “consultancy” style service to partners in the Luxembourg business on Depositary, Custody and Banking matters, providing advice and challenge to the business and escalation to the Chief Compliance Officer when deemed necessary
- Actively contribute to the relevant Business and Compliance meetings. The position works closely with Northern Trust partners within the respective Global Funds Business (part of Corporate & Institutional Services), Product, Legal, Audit and Corporate Risk
- Monitor and assess on a day to day basis the adequacy and effectiveness of the controls within the Business and follow-up on any identified Compliance issue until remediation, working in close cooperation with the Control teams
- Support the Business Unit in the Regulatory field through the identification of upcoming changes, subsequent performance of impacts’ assessments in close cooperation with relevant internal stakeholders, development of implementation plans and follow-up until closing
- Experience in Compliance related to Custody and/or Depositary within Luxembourg, preferably within a global financial institution
- Work in partnership with the wider Luxembourg and UK & Mainland EMEA Compliance team on the overall Compliance Framework
- Support the maintenance of the list of regulatory rules, guidance, controls and risk ratings that relate to the Luxembourg business
- Sound understanding of the Regulatory environment under which these services are provided. Including but not limited to the UCITS/AIFMD, MiFID, PSD, Professional secrecy and Governance framework requirements
7
Experience For Consultant Compliance Specialist Design Policy & Support Resume
- Computer literate in Microsoft Outlook, Word, Excel and Power Point
- Supporting JBWere to manage its events process, including recording, managing and reporting. In addition, providing guidance and support to the business on root causes and agreed remediation
- Support JBWere to define risk settings that are aligned to the risk appetite
- Support JBWere to proactively identify and manage the delivered risks associated with change
- Proactively identify, drive and support the continuous improvement of the JBWere control environment
8
Experience For Business Consultant Compliance Resume
- Work closely with colleagues in management assurance, compliance, and the broader JBWere business
- Read and interpret State and Federal laws/regulations and determine impact on Lincoln’s products and operational processes
- Provide guidance to operations and product business partners on regulatory requirements
- Communicate with impacted business areas on regulatory requirements
- Maintain written documentation of compliance activities
- Review business communications, contracts, and newsletters and advise on regulatory requirements
9
Experience For Senior Financial Institution Consultant Compliance & Internal Audit Resume
- Audit and review processes and procedures as needed
- Perform complex compliance reviews, enterprise assessments and policy/procedure reviews to ensure clarity, applicability and compliance with applicable laws
- Analyze and collect data, defend findings
- Develop, articulate and present ideas and opinions
- Manage and take accountability for sections of projects
- Develop relationships with clients and identify future opportunities
- Create project deliverables with some oversight by senior staff
- Take direction and feedback from project managers
10
Experience For Consultant, Compliance & Events Resume
- Create client ready presentations and materials with input from project leads
- Conduct detailed analysis and explain findings, with minimal guidance
- Stay up to date on the news related to the industry
- Offer appropriate input and support at client meetings
- Manage own deliverables and client deliverables as assigned by project manager
List of Typical Skills For a Consultant, Compliance Resume
1
Skills For Senior Consultant, Compliance Resume
- Effectively present information and respond to questions from diverse audiences including consultants, senior leadership and other stakeholders
- Highly motivated individual who wishes to develop their skills within a progressive compliance role
- Demonstrated experience performing boundary surveys, construction surveys,
- Work independently and partner effectively in a team environment
- Superior oral and written communication and collaboration skills
2
Skills For Field Supervision Consultant, Compliance Resume
- Understanding of leave concepts, knowledge of key industry trends and excellent business acumen
- Passion for excellence, change, effectiveness and finding joy in building something new
- Experience using the following software: Articulate, Storyline, Adobe Creative Suite, goAnimate
- Possess knowledge of and experience using a learning management system
- Good knowledge and understanding of the local regulations and industry best practices
- Complaint handling experience
- Partners with subject matter experts to identify performance needs and build effective training solutions
- Experience in interfacing and communication with all level of staff
- Experience of providing compliance advisory and operational support
3
Skills For Market Based Consultant, Compliance Resume
- Pf experience counseling on Absence and Statutory products
- Perform annual compliance risk assessment process including control validation activities
- Excellent communication in English and in French (written, verbal, meeting participation and facilitation)
- Proven ability to convey complex concepts in a clear and concise manner to diverse and senior audiences
- Knowledge/Experience of Fund Administration or Depositary would be an advantage
4
Skills For Practice Leader Consultant Compliance Resume
- Demonstrated ability to work and communicate with clients and customers to
- Demonstrated knowledge of the department’s survey policies and procedures as
- Customer orientated attitude and ability to prioritize and manage multiple time-sensitive projects with a sense of urgency
- Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)
- Experience in regulatory exams and audit management would be beneficial
- Acting as a “Trusted Adviser”, embedding compliance into day-to-day activities and keeping compliance foremost in everything that we do
- Driving and supporting JBWere to successfully implement and embed risk management frameworks, policies and processes
- Working knowledge of CSW, Ingenium, MLIF, Salesforce, Univeris, ECISS
5
Skills For Junior Consultant Compliance Simplification Resume
- Understanding of SFC regulations and relevant Hong Kong law
- Understanding of MAS regulations and relevant Singapore law
- Supporting senior business leaders to embed a mature risk culture within JBWere
- Undertake compliance monitoring and testing, advising management of potential compliance problems and recommending procedural changes
- Implements and embeds the global and regional Compliance Program, including monitoring, testing, and assurance frameworks and executing against action plans
- Manage Issue Response program including leading Issue Response Team
- Assist and advise impacted business areas undertaking program changes based on new or changing regulations
- Lead clients in brainstorming and requirements gathering interviews
- Educated to graduate (or equivalent) level - accounting or compliance qualification is desirable
6
Skills For Presales Consultant Compliance Solutions Resume
- In-depth knowledge of mutual fund and segregated fund products, administration and marketing
- Drafts policies and procedures for Hong Kong business, including for internal Compliance use
- Drafts policies and procedures for Australian business, including for internal Compliance use
- Knowledge of asset servicing, custody, and / or brokerage businesses, preferably within a global financial institution
- Provides input and advice to business and management partners regarding regulatory requirements and market best practice
7
Skills For Consultant Compliance Specialist Design Policy & Support Resume
- Drafts policies and procedures for Singapore business, including for internal Compliance use
- Develops and conducts training as required
- Works on projects and increases understanding of project management
- Provide consultation and guidance to business on new/amended compliance requirements stemming from regulatory or business policy
- High flexibility to adjust to changing environments
- Develop understanding of operational structure and processes in order to support business partners
- Perform technical research and analysis of laws and regulations and apply them to company operations, products and marketing
- Support and eventually lead consulting projects
- Support in growing the organization
8
Skills For Business Consultant Compliance Resume
- Complete assignments accurately and on time, according to project plans
- Look for and suggest training/development opportunities for self
- Develop People and Capability
- Good knowledge and understanding of the regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
- Good knowledge of risk assessment and compliance testing methodologies and approaches
- Ensure that complaint handling practices are aligned with regulatory rules, policies, guidelines and expectations including the fair treatment of clients
- Proficiency in PC software essential (MS Word, MS Excel)
9
Skills For Senior Financial Institution Consultant Compliance & Internal Audit Resume
- Displays a high level of initiative and high standards of ethical conduct
- High level of resourcefulness to efficiently obtain the information required to resolve a complaint
- Evaluates regulatory changes and assists with implementation where required
- Provision of a “consultancy” type compliance service, offering pro-active advice, interpretation and clarification on regulatory issues and formal training to all levels of Northern Trust staff
- Some working knowledge of the Protection of Investor regulations in respect of ‘fit and proper’ due diligence would be an advantage
- BS in Adult Education, Organizational Development, Business Management
- Serves as a subject matter expert or other resource within a group for regulatory Compliance matters
- Knowledge of ASIC regulations and relevant Australian law
10
Skills For Consultant, Compliance & Events Resume
- Works in partnership with the wider Compliance, Risk and Controls teams
- Produce and analyze Compliance reports and data for internal committees and boards
- Identifies, documents and escalates potential regulatory risks
- Knowledge of the leave services and regulatory framework
- Efficiently read and interpret legal documents such as policies & contracts
- Efficiently read and interpret statutes, regulations and other legal authorities
- Apply applicable law to and draw appropriate conclusions from established facts
- Gauge the level of detail appropriate for different audiences
List of Typical Responsibilities For a Consultant, Compliance Resume
1
Responsibilities For Senior Consultant, Compliance Resume
- Experience working for or directly with one or more regulatory agencies (e.g., Federal Reserve, FCA, PRA, CFPB, SEC, CFTC) is highly desirable
- Background working in financial services with a broad understanding of regulatory compliance
- And meeting deadlines
- Actively look for ways to improve service offerings and develop new offerings
- Seasoned multi-disciplinary professional with technical and / or business knowledge and functional expertise in risk avoidance and compliance
- Focus on strategic and tactical execution of activities in related area(s)
- Serve as primary envoy for respective area(s) of coverage across Business Units, legal entities and jurisdictions
2
Responsibilities For Field Supervision Consultant, Compliance Resume
- Become familiar with regulatory requirements for respective area(s) of coverage. Participate in industry groups, conference calls, etc. to ensure topic knowledge
- Demonstrate understanding of how the requirements for respective area(s) of coverage impact Northern Trust , the products and services provided to clients, and Northern Trust reporting requirements
- Distribute information on new rules, proposals, industry letters/comments, etc. to the appropriate areas of Northern, in accordance with the Global Compliance Regulatory Development’s process
- As new rules/requirements are issued for respective area(s) of coverage, confirm that a regulatory change work stream or Northern Trust Business Unit has a project or plan for compliance
- Confirm that requirements for respective area(s) of coverage are incorporated in risk assessments (as applicable). Work with regulated entity compliance officers and Business Unit managers to confirm that controls and monitoring techniques are in place for compliance with requirements for respective area(s) of coverage
3
Responsibilities For Market Based Consultant, Compliance Resume
- Compliance/Risk Management/Regulatory experience
- Serve as a general contact for all regulatory related questions for respective area(s) of coverage
- Proactively assess and monitor programs, processes and initiatives as they relate to ethics/compliance; Actively identify risks to the business, products, work and associates
- Multi-disciplinary professional with technical and / or business knowledge and functional expertise in risk avoidance and compliance
- Focus on tactical execution of activities in related area(s)
4
Responsibilities For Practice Leader Consultant Compliance Resume
- Act as the point person on Rule Maps and Compliance Risk Assessment (CRA) for UK and Mainland EMEA Compliance and contribute to the development of Global Programmes
- Manage a timely delivery of Rule Maps and Compliance Risk Assessments that meet the expectations and requirements of the Global Programme managers
- Working with Compliance SMEs, develop and maintain the team’s Compliance Rule Maps that relate to all UK and Mainland EMEA legal entities, branches, businesses and products
- Work with the Regulatory Developments SMEs in Compliance to identify regulatory changes that impact the existing Rule Maps; and regularly update existing Rule Maps to keep these in line with the latest regulatory developments
- Performs checks to more complex compliance documents as needed, including but not limited to bate stamps, quality audits, and redacting
5
Responsibilities For Junior Consultant Compliance Simplification Resume
- Support Rule Map owners outside Compliance in the delivery of their Rule Maps; and help liaise with the Global Programme manager, as appropriate
- Oversee execution of the CRA Action Plans that are owned by UK and Mainland EMEA Compliance
- Produce and provide Compliance reporting on Rule Maps and Compliance Risk Assessments to Senior Management, Boards, Committees and Compliance Management for consideration
- Knowledge of FCA and PRA handbooks and relevant (EU/UK) laws, in particular MiFID II, EU Market Abuse Regulation, EMIR, AIFMD, UCITS and PSD (I and II)
- Computer literate in Microsoft Outlook, Word, Excel and Power Point, and other relevant applications such as SharePoint
- Knowledge of U.S. regulatory matters and global/regional implementation would be advantageous
- Collaborates with appropriate internal stakeholders to confirm date of compliance document transmission to regulators
6
Responsibilities For Presales Consultant Compliance Solutions Resume
- Analyzes more complex reports to ensure compliance with market conduct exam results
- Provides compliance related reports for various initiatives and reviews as needed with internal/external stakeholders
- Manages user access to various compliance systems
- Prepares, updates, and/or files more complex applicable compliance reports, forms, and/or contracts for his/her assigned area(s) of responsibility
- Maintains knowledge on current and emerging developments/trends for leave laws, assesses the impact, and collaborates with team and business to identify opportunities for innovation and support product development initiatives
- Collaborates and establishes relationships with internal and external partners to ensure products remain compliant with federal and state laws
- Provides legal review and counsel on complex leave-related queries, leave agreements and complex claims referrals
- Contributes to the development of strategy related to leave law issues for LFG and its business units
- Interacts with regulators and industry groups on leave law topics
7
Responsibilities For Consultant Compliance Specialist Design Policy & Support Resume
- Identifies complex risks and recommends remediation plans to management
- Serves as a department subject matter expert for leave related products and laws
- Proficient in English and Cantonese
- PC knowledge such as MS Excel and MS Access
- Maintain inventory of various licenses in conjunction with the legal function
- Learn new subject areas quickly and competently
- Sound knowledge of IT system landscapes and architectures
- Your work approach is clearly structured and characterized by personal initiative and responsibility
8
Responsibilities For Business Consultant Compliance Resume
- Participation in the design of new topics / solutions
- Sales-oriented preparation of professional and technical topics
- Create presentations and conduct live demonstrations at our customers' premises
- Speaker at international conferences and events (travel activity approx. 10% -20%)
- Support for international sales activities and support for the global partner network
- Business or technical studies, alternatively bank education
9
Responsibilities For Senior Financial Institution Consultant Compliance & Internal Audit Resume
- Self-confidence with a high sense of responsibility and an analytical mindset
- Intercultural competence with a global travel readiness of up to 50%
- Entrepreneurial, well organized, self-motivated, team player
- Willingness to have a different opinion, ability to articulate thoughts and concepts well
- Identify simplification and change need with high value added to the bank’s and CCRO strategy
- Consulting and/or project management experience with a leading consulting firm within financial services or an international Financial Services Organization with similar engagements
- Experience in Operational Excellence, Transformation and related topic
10
Responsibilities For Consultant, Compliance & Events Resume
- Experience in Legal and Compliance related topics within Compliance or Front Divisions
- Evaluates regulatory requirements and expectations against existing processes and control to identify potential gaps, recommending procedural changes if necessary
- Advise corporate and business functions on regulatory filing requirements in connection with domestic and foreign investments and domestic branch management
- Provide guidance on general Federal Reserve membership requirements including Bank Holding Company (Regulations H and Y) and international banking operations (Regulation K)
- Possesses and demonstrates qualities such as integrity, professionalism, leadership, judgment, initiative, follow-through, strong work ethic, reliability, strategic thinking, ability to execute and work independently, relationship skills, team player and respectful of others
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