Finance Compliance Resume Sample

16 votes
Resume Create

The Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Elwyn Kuvalis
9433 Summer Squares,  Boston, MA
+1 (555) 525 7072

Work Experience

Finance Compliance Manager
03/2016 - PRESENT
San Francisco, CA
  • Supporting the KEF Compliance team with Key’s Enterprise Risk Management program and/or KEF Regulatory Compliance.  Performing in-depth testing of critical regulatory processes, seeking to improve the testing program, and execute reporting results to management
  • Document new and/or update KEF risk and compliance procedures
  • Analyzing KEF customers and other parties that are screened against regulatory watch lists using and gaining exposure to one of Key’s compliance screening tools
  • Organize & perform periodic balance sheet reviews of operations across region and ensure remediation plans are completed on a timely basis
  • Liaison with internal and external auditors for SOX purposes, internal and external audits, statutory and US GAAP audit engagement and limited reviews
  • Ensure all ADTi locations meet the SOX requirements where applicable
  • Assist all Finance Managers with ADTi in ensuring effective financial and operational internal controls are in place and operating as designed
Finance & Compliance Analyst
07/2010 - 01/2016
San Francisco, CA
  • Partner across the organization to drive the implementation of new process/strategic opportunities in accordance with state and federal laws and regulations and Bank lending/deposits policies and procedures
  • Assist the relationship with regulatory agencies, examiners, internal auditors and other company team members and assists with action plans created as a result of examinations, audits or internal testing
  • Embrace the values of the EnPro/STEMCO safety pledge in each of the below responsibilities. Participate in the organization’s safety culture and aim to continuously improve safety within all aspects of your work
  • Promote Chemonics and demonstrate leadership by attending external events, networking with clients and counterparts, articulating a solid understanding of Chemonics’ past and present portfolio, and effectively representing the company’s history, values, and standards
  • Develop risk-based approach to proactively mitigate and remediate potential financial compliance risks before they occur
  • For internal applicants, Associate B’s and Managers are eligible to apply
  • Control and review day-to-day operations of Finance/Accounting Department, Operations and Sales
Key Equipment Finance Compliance Internship
10/2007 - 04/2010
Phoenix, AZ
  • Support local management with the documentation of key controls for all process matrices
  • Support local management in the evaluation of the effectiveness of internal controls and support them in developing sustainable action plans to cover such identified gaps in a timely manner
  • Ensure local entities are providing data in compliance with US GAAP and Johnson Controls policies and procedures
  • Coordinate on behalf of Senior Management the preparation and timely submission of the quarterly Management Representation Letters
  • Support Senior Management in developing procedures to strengthen the control and financial reporting environment
  • Advise senior brand and acquisitions leadership in connection with campaign development
  • Review and make recommendations regarding compliance with consumer financial protection laws during all phases of marketing and communications development across channels, including, but not limited to, direct mail, display, videos, email, podcast, sponsored content, paid search, aggregators and social media
  • Partner with technology teams to develop infrastructure for approval and archival of marketing communications
  • Refine, update and maintain procedures for development, approval and archival of content


Doane University - Crete Campus
2002 - 2006
Bachelor's Degree in Accounting

Professional Skills

  • Demonstrated problem solving skills including the ability to identify strategic approaches to ensure proactive solutions
  • Excellent computer skills as they relate to financial management
  • Proven ability and experience in performing financial and IT control/security assessments and audits
  • Proven leadership experience in a management role
  • Proficient analytical skills in order to explain complex concepts briefly and understandably
  • Desktop Analytics (Excel skills are a necessity)
  • Skilled in managing and compiling financial data for reporting and ensuring compliance with all donor requirements

How to write Finance Compliance Resume

Finance Compliance role is responsible for mainframe, retail, finance, credit, training, integration, database, auditing, trading, payroll.
To write great resume for finance compliance job, your resume must include:

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

Contact Information For Finance Compliance Resume

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

Work Experience in Your Finance Compliance Resume

The section work experience is an essential part of your finance 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 finance 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 finance compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Finance Compliance resume experience can include:

  • Highly self-motivated and directed, with the ability to effectively prioritize and execute tasks in a high-pressure environment
  • Previous accounting experience in A/P, A/R, and billing
  • Accounting experience
  • Demonstrated analytical and problem solving abilities with a keen attention to detail
  • Experience in the area of investment banking compliance
  • Strong understanding of consumer or retail focused businesses

Education on a Finance Compliance Resume

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

When listing skills on your finance 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 finance compliance skills:

  • Work effectively with people even under challenging circumstances,
  • Effectively partner with the business to identify risk at the entity and country level
  • Experience analyzing budget trends and monitoring funding levels across multiple accounts
  • Previous experience implementing and / or sustaining SOX at a publicly traded company
  • Good and firm understanding in the design, implementation and monitoring of internal controls, risk libraries and compliance process management
  • Evidence of project management and implementing new tools and driving innovation with separate the best from the rest!

List of Typical Experience For a Finance Compliance Resume


Experience For Finance Compliance Manager Resume

  • Excellent analytical, numerical and problem-solving skills
  • Strong interpersonal, writing and oral presentation skills in Arabic and English
  • Demonstrated ability to create and maintain effective working relations with university and other potential partners and grantees
  • Oversee management, testing and reporting of key Company Level (CLC) and Business Process (BPC) controls in accordance with SOX 404 requirements
  • Create consistent tracking system that ensures alignment with the accountability plan and board policies
  • Implement review according to the accountability plan frameworks for compliance, finance and operations
  • Assist with reviewing journal entries and account reconciliations prepared by other accountants
  • Liaise with joint venture accounting groups to assist with monthly financial close and standalone/ statutory audits

Experience For Finance & Compliance Manager Resume

  • Provide guidance and train plants’ folks in SOX baseline controls
  • Operate a rhythm of business for managing changes to the control environment; guide control owners in documenting their own control activities and confirming readiness for audit and/or certification
  • Other projects or assignments to support eCP Controller team as a whole as needed
  • Develop new audit programs to ensure adequate financial and operational controls
  • Perform audit fieldwork such as interviewing management and staff to understand key processes, preparing detailed flowcharts, documenting work performed, oversee financial and/or operational closure
  • Create reports and presentations to assist in communicating audit findings to internal management, including recommendations for improvement, sharing of best practices
  • Evaluate compliance and associated risk with all applicable directives and client agreements
  • One or two years of internal/external audit experience with working knowledge of internal audit methodologies with strong emphasis on financial and business risk and an aptitude for performing process analysis
  • Provide leadership to finance and operations aspects of the project, including general administrative processes, financial management, sub-award management, accounting and logistics

Experience For Finance & Compliance Analyst Resume

  • Establish and maintain sound and transparent accounting and fiscal control procedures for financial, sub-award and operations aspects of project
  • Ensure compliance of financial and operations systems with FHI 360 policies and procedures, USAID rules and regulation, award requirements, and Palestinian Authority laws
  • Maintain accurate financial pipeline reports and other monthly financial reports for internal analysis and tracking purposes to be reviewed with the COP and other relevant FHI 360 staff members
  • Liaise with the FHI 360 Office of Compliance and Internal Audit to improve necessary documentation and or answers to questions arising from internal and external reviews or audits
  • Ensure that all operational functions are effectively coordinated. Oversee human resources, finance and accounting, operations, contracts and grants and IT functions for the project
  • Support the Contracts Management Services department and Project Directors to ensure proper interpretation of the award instruments when entering into financial obligations or any other contracting actions

Experience For HIS Finance & Compliance Analyst Resume

  • Experience and good working knowledge of USAID and other US Government organizations’ rules and regulations is required
  • Experience building capacity in financial management of implementing partners
  • Demonstrated experience coordinating audit activities and managing reporting, budget development and analysis, accounts payable and receivable, general ledger, payroll and accounting for an international NGO
  • Knowledge of compliance and audits is also required
  • Proficiency in Microsoft Office applications such as MS Word and MS PowerPoint, with an expert knowledge of MS Excel
  • Work on problems of complex scope that require in depth evaluations of data and various factors

Experience For Finance Compliance Manager Reconciliations Resume

  • Manage monthly financial close process for the department
  • Prepare journal entries and account reconciliations for high risk/ complex accounts
  • Liaise with Risk Management to properly account for open insurance claims
  • Provide guidance and liaise with External Auditors and Internal Audit, as well as appropriate consultant project resources to ensure all key SOX related risks are being adequately addressed across the company
  • Support and educate employees on company-wide internal control compliance, including assisting senior management and project teams with clarification of requirements and implementing controls and policies to mitigate risk
  • Work with other finance and operational personnel on integration of newly acquired operations into SPE operations and organization with a focus on risk and governance issues
  • Accounting work experience in an accounting firm or related industry

Experience For Regional Finance Compliance Manager Resume

  • Experience in SOX internal controls and detailed business process expertise required
  • Participate in special projects and company-wide initiatives to ensure potential control and process gaps are being addressed
  • Lead the issuance process for all Corporate and SEEPAC political contribution checks
  • Prepare public, political activity disclosure reports and file with the appropriate governing body (i.e. Federal Election Commission, CA Fair Political Practices Commission, City of San Diego, etc.)
  • Assist in the preparation of the annual financial plans for the External Affairs departments; prepare quarterly variance analyses of financial and operational data to assist External Affairs departments in meeting/exceeding established performance targets/metrics
  • Proactively research political regulations and create/maintain database of regulations. Assist in maintaining and improving central repository (Lobbying Activity Tracking System) for political reporting
  • Process oriented/ analytical

Experience For Senior Finance & Compliance Analyst Resume

  • Prepare final bills
  • Series 24 license
  • Provide guidance to all Sempra business units concerning lobbying, political contributions, gifts and political fundraising activities at the local, state and federal level. Assist in development, implementation and enhancement of political compliance program. Participate in training webinars, in-person training, outreach and other communication efforts

List of Typical Skills For a Finance Compliance Resume


Skills For Finance Compliance Manager Resume

  • Experience in financial management and compliance of development activities with increasing levels of responsibility
  • Experience administering grants under contract
  • Experience working in Zambia required
  • Knowledge and experience working with cloud security, compliance and privacy practice laws
  • Strong understanding of financial business processes (INV, OTC, PTP, RTR)
  • Experience within a global manufacturing plant environment an advantage
  • Relevant experience in Audit, Security, Compliance Consulting or Risk/Control Advisory work in support of a technical environment
  • Previous Pharma experience is required

Skills For Finance & Compliance Manager Resume

  • Random audit of control evidence to ensure plant's compliance of controls
  • Challenging and motivating role within a market leading international agricultural company
  • Expertise with procedures required for adequate planning, monitoring, and realigning of complex budgets
  • Direct SOX testing and required process improvements resulting from SOX audits
  • Prepare final billing according to client and internal procedures
  • Complete and research credit card reconciliation according to standard operating procedures and within respective deadline (if applicable)
  • Act as commission liaison -- including tracking and collections
  • Best-in-class control/compliance environment, including Sarbanes-Oxley
  • Lead and develop regular Risk Management & Compliance review/ report/ meeting

Skills For Finance & Compliance Analyst Resume

  • Lead transfer pricing and material standard’s process for HIS plants
  • Adhere to all standard operating procedures
  • Prepare monthly invoice according to client contract in a timely manner
  • Perform audit and file close out procedures on every meeting
  • Serve as the centralized resource/single point of contact for ensuring compliance functions are adhered to within the provided timelines
  • Ensure all HCP compliance support documents are current and are updates in accordance with the changing environment
  • Create and maintain reconciliation process ensuring consistency and adherence
  • Adhere to all standard operating procedures as appropriate on payment guidelines and SOPs

Skills For HIS Finance & Compliance Analyst Resume

  • Work with team on HCP Spend collection and reporting capabilities
  • Serve as the centralized resource for ensuring audit compliance functions are adhered to within the provided timelines
  • Work with Plant Controller and Finance team to eliminate manual reporting
  • Drive for continuous improvement in finance process and minimise manual reporting
  • Continuously review and identify new risks and work with Director to design relevant controls to mitigate those risks in the changing business environment
  • Implement best-in-class financial processes and controls across Videojet’s global operations
  • Design and implement the annual plan for all internal and external audits, and balance sheet reviews, coordinating global activities with the support of other Regional Audit Managers and Country Controllers
  • Experience with Compliance Science, SMARSH and/or Microsoft Project
  • Experience with both assurance and advisory projects

Skills For Finance Compliance Manager Reconciliations Resume

  • Experience in a consumer financial services environment
  • Experience in Compliance function
  • English language is essential, other European languages are a very strong preference
  • Dealing with industry regulators with respect to examinations and routine inquiries and achieving successful outcomes
  • Provide support and follow-up on the closure of audit issues; including monthly updates with Regional Finance Directors and Country General Managers
  • Drive other compliance activities including anti-corruption self-assessment and actively work with Videojet’s Legal Department to develop anti-corruption policies and programs

Skills For Regional Finance Compliance Manager Resume

  • Graduate student in Business or Law
  • Understand the importance and sensitivity of regulatory matters
  • Eager to learn and contribute to the compliance program
  • ASA, CPA and/or CFA
  • CPA / CFA education background
  • SOX 404, US-GAAP & IFRS
  • ACL Knowledge, Hyperion or HFM, MS-Office

Skills For Senior Finance & Compliance Analyst Resume

  • Committed to WV’s vision, mission and core values
  • Compile and prepare financial and budget data in line with USG rules and regulations
  • Familiarity with enterprise productivity tools, such as JIRA and Confluence
  • Ramallah, West Bank, Palestine
  • CPA, ACA or location equivalent required

Skills For Eame Finance Compliance Manager Resume

  • A driven, collaborative and highly influential person with a desire to develop their career into a larger Finance role over the next 2-5 years
  • Capacity to summarize complex information into concise oral and written communications
  • Accept responsibility and work independently
  • Development opportunities within the organization
  • Broad career opportunities (national and international)
  • Shape the future organization together
  • Oversee, manage and coordinate with Audit and Assurance (A&A), Independent Business Monitoring(IBM) team and other internal auditor’s requirements and management of CAPAs on findings
  • Document all information on final bills for data consolidation
  • Reconcile and verify vendor bills for accuracy

Skills For Finance & Compliance Special Projects Manager Resume

  • Resolve discrepancies with vendors and clients
  • Copy and provide client with all necessary backup and documentation
  • Adhere to all client deadlines each and every month
  • Ensure consistency and quality control
  • Provide client with all necessary backup and documentation in a timely manner

Skills For IT / Finance Compliance Specialist Resume

  • Ensure compliance with all SOP's and internal policies, procedures and corporate guidance
  • As required, complete change notification to purchase orders
  • Responsible for organization and maintenance of files on shared drive
  • Work with Plant Controller and Finance team to identify process improvement and execution of the identified process
  • Help to identify any process / policy matters with the Plant Controller / Finance team and review with the Compliance team for changes and standardisation

Related to Finance Compliance Resume Samples

Business Compliance Resume Sample

Work Experience

  •  Providing advice and training to Product Safety & Regulatory staff on the policies and procedures required to implement business compliance with Syngenta and legal requirements   •  Providing a high quality, consistent and credible service that meets business deadlines   •  Des...
Professional Skills

  •  Demonstrates high level administration skills
  •  Essential Facilitation & Training Skills
  •  Exceptional interpersonal skills with abil...
10 votes

Compliance Accounting Resume Sample

Work Experience

  •  Liaise with Financial Investigations team in Compliance related to Independent Agent program and active IA’s clients and source of payments   •  Perform evaluation of the design and effectiveness of internal controls to ensure the Company’s compliance with the requirements of the Sarbanes-Oxley Act of...
Professional Skills

  •  Demonstrates good influencing skills and b...
  •  Strong computer skills utilising Microsoft...
  •  Operates effectively in a multi-national c...
9 votes

Compliance Intern Resume Sample

Work Experience

  •  Interest in Cloud Computing and Software as a Service   •  Interest in developing knowledge regarding product development, cloud technologies, and industry standards / regulations   •  Respond to inquiries initiated through the State’s Attorneys General or regulatory agencies; e.g....
Professional Skills

  •  Interpersonal, communication and grammar s...
  •  Computer skills: Strong MS Office skills (...
  •  Language skills: Excellent English written...
10 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...
18 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
Resume Builder

Create a Resume in Minutes with Professional Resume Templates