Head Compliance Resume Sample

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Maryam Schamberger
7804 Gislason Burg,  Boston, MA
+1 (555) 697 7620

Work Experience


Head of Compliance
09/2017 - PRESENT
Dallas, TX
  • Results of risk assessment
  • Issues identified from Assurance programme
  • Impact of regulatory change, readiness for implementation of required changes and awareness of new requirements
  • Knowledge and understanding of industry related issues and themes (at a local, regional and global level)
  • Knowledge and understanding of regulatory issues and themes (both local and extraterritorial)
  • Lessons learned from internal issues including investigations, litigation, incidents and audit issues
  • Appreciation of business strategy of the relevant business function; and
  • Robustness of business governance and systems and controls
  • Developing and managing a Compliance framework in line with Group Compliance policies and local regulations
Head of Compliance Ireland
03/2012 - 05/2017
Detroit, MI
  • Acting as MLRO for the bank
  • Managing the relationship with regulators and external audit
  • Ensuring a strong Compliance culture is embedded throughout the business
  • The Vendor Onboarding Standard and Supplier Code of Ethics
  • Procedure for Conducting ethics and Compliance Due Diligence on Job Applicants and related provisions in Employee Contracts
  • Financial accounting processes and standards
  • The Security Management System
  • Local legal controls, overseen by country legal directors
Head of Central Compliance
11/2009 - 11/2011
Chicago, IL
  • Monitoring and Auditing
  • Addressing Questions and Concerns
  • To be responsible for providing both strategic and operational compliance and regulatory affairs in support of the Company’s operations. To facilitate the Company’s business strategy, help mitigate business threats and keep the Company’s operations in compliance with relevant regulatory requirements
  • To draft and execute the XLICSE Annual Compliance Plan
  • To actively manage the local Compliance team to deliver the Compliance Plan
  • All AML/CTF compliance and regulatory matters related to the European Union region of Western Union Payment Services Ireland
  • Implementing risk-based compliance initiatives to develop and enhance the compliance and regulatory programs in the European Union
  • Integrating compliance functions, systems, policies, and procedures across the region and within the broader Western Union compliance function. This includes, but is not limited to, Global Operations with respect to government sanctions, government reporting/record keeping, licensing in multiple regions/countries, and compliance systems, processes, and procedures
  • Development and implementation of compliance initiatives is a priority and requires both attention to detail as well as an ability to synthesize and implement global compliance requirements and initiatives

Education


Trinity University
2003 - 2008
Bachelor's Degree in Economics

Professional Skills


  • Good organisational skills, including an ability to prioritise effectively
  • Experience of leading people with skills in mentoring, coaching and developing talent
  • Excellent analytical/reasoning, problem solving, organizational and multi-tasking skills
  • Strong quantitative, critical thinking, problem-solving and analytical skills
  • Strong conceptual and analytical skills. Proactive in identifying and addressing issues and escalate them for resolution, if required
  • Proven problem solving and analytical skills.A
  • Strong verbal and written business communication and listening skills in English

How to write Head Compliance Resume

Head Compliance role is responsible for compliance, leadership, analytical, interpersonal, accounting, securities, trading, refining, compensation, security.
To write great resume for head compliance job, your resume must include:

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

Contact Information For Head Compliance Resume

The section contact information is important in your head 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 Head Compliance Resume

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

  • Support the local business-owned implementation of Global Compliance Policies and Guidelines, and provide guidance on local SOPs and processes development, as applicable
  • Experience leading teams of technologists and proven ability to attract and develop key talent
  • Ideally to have prior experience with a governmental regulator (MAS, JSDA, FSA, ASIC)
  • Language skills a distinct advantage
  • Strong knowledge in prevailing regulatory requirements, including CBRC, PBOC and SAFE laws and regulations
  • Experience in banking compliance role, preferably with exposure on corporate banking business

Education on a Head Compliance Resume

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

When listing skills on your head 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 head compliance skills:

  • High sense of responsibility, integrity and quality, logical thinking, strong analysis and judgment capability, and excellent communication skill
  • Strong policy, process and project management skills
  • Excellent interpersonal and communication skills to thrive within a diverse and highly matrixed organisation
  • Outstanding organizational, analytical and leadership skills
  • Min of 10 years relevant working experience in compliance and preferably also relevant working experience in the corporate services industry
  • Solid experience in Compliance within the banking industry, preferably within an international environment

List of Typical Experience For a Head Compliance Resume

1

Experience For Head of Compliance Resume

  • Possess strong expert working proficiency in China rules and regulation, e.g. Chinese Banking Resolutions
  • Extensive experience working in a global environment and demonstrating cultural awareness and sensitivity
  • Engage local leaders to continually monitor the effectiveness of Compliance pro-gram including cultural drivers of integrity for continuous improvement
  • Relevant experience in payments or financial services, working with China/Global AML laws, and related laws/regulations, especially as they apply to e-commerce
  • Significant broker dealer compliance experience at a top financial services institution
  • In depth knowledge and experience of the financial markets, financial institutes and financial instruments
  • Compliance and Regulatory knowledge and experience is essential
  • Good knowledge of financial products (e.g. FX, Money Market, Securities, etc.)
  • Managerial experience in AML/KYC Compliance in financial services industry
2

Experience For Head of Compliance Ireland Resume

  • Effective leader and team player, self-starter
  • Effective communicator, Fluent in English and Native Mandarin
  • Understanding of AML and Compliance regulations within the payments/banking/financial services industry
  • Handling correspondences with the regulators, like SEBI, stock exchanges and RBI
  • Conduct local communication, training, and monitoring activities to support awareness, detection and prevention goals
  • High level of professionalism and outstanding judgment
  • Review audit findings, evaluate the business’s corrective action plans to deal with those issues and monitor progress made in dealing with the issues
3

Experience For Regional Head Compliance Resume

  • Co-ordinating with the Compliance Review auditors and SEBI Auditors
  • Deep understanding of retail/commercial financial products/services, payments industry, etc
  • Establish successful partnerships with Compliance colleagues in other EMEA locations, including those in BlackRock’s centralized AML, Core and Monitoring teams
  • Contribute to the continued enhancement of BlackRock’s Compliance culture
  • Review manuals of all the other departments and keep all the manuals in accordance with the company's compliance requirements
  • Work closely with the internal and external auditors on regulatory and compliance affairs
4

Experience For Head of Central Compliance Resume

  • Relevant certificates or qualifications in compliance or law
  • Advantageous to have previous dealt with the DFSA in the DIFC
  • Provide professional direction of Compliance function, supervision of the Compliance Officers’ performance, providing them with assistance and advice as and when necessary
  • Ensuring local compliance policies are maintained and updated as appropriate and the Firm’s Compliance Framework (which includes, policies, training, surveillance, monitoring, testing and risk assessments) meets the requirements of applicable regulators and reflects local conduct rules and regulations
  • Reporting on Compliance risks, activities, significant non-compliance issues and regulatory interactions as appropriate to Firm Management and Morgan Stanley Compliance Management
  • Coordinating with SEBI and Stock exchanges
  • Advise and support the India business in overseeing day-to-day activities ensuring compliance with internal and external regulatory requirements at all times
  • Advise the impact of the regulatory changes or development, develop a solid compliance process and work with other offices regionally/globally on compliance issues
  • Monitoring SEBI and exchange requirements and measuring impact of the new rule to the stakeholders
5

Experience For Head of Compliance for Asia Resume

  • Formulising and monitoring internal guidelines
  • Regulatory reporting to SEBI
  • Co-ordination with the Internal Auditors and dealing with the relevant regulators in India as well as responding and coordinating all regulatory enquiries, questions and inspections
  • Managing relevant Operational Risks & Audits
  • Provides training to staff on compliance awareness
  • Conduct regular compliance reviews to ensure compliance with regulatory requirements and internal compliance standards
  • Review and update policies and procedures in line with internal and external regulatory bodies on a regular basis
  • Establish and maintain and review security requirements of tools, methods and artifacts used in the security delivery process
  • Ensure that global security directives and guidelines are implemented and complemented by local security instructions if needed
6

Experience For Head of Cpb Investments Compliance Resume

  • Be responsible for implementation of legal, statutory, regulatory and contractual requirements on compliance
  • Coordinate security activities for all sites related to the company
  • Facilitate risk assessments based on business requirements, agreements and activities
  • Drive security awareness activities amongst ALL personnel
  • Support and participate in audits and investigations, on a quarterly, annual or adhoc basis
  • Act as a Responsible Manager on behalf of the business
  • Review financial advice documentation, processes and procedures and provide feedback
7

Experience For Head, Compliance Program Office Resume

  • Work closely with advisors, planners and stakeholders to achieve desired business outcomes
  • Provide overall Compliance support and manage the small team as required
  • Implement further elements & requirements to business as needed
  • Regulatory change analysis, guidance and support
  • IT Literate - knowledge of Microsoft packages, use of e-global
  • In depth knowledge of relevant frameworks, such as MiFID and its national implementation acts
  • To apply appropriate influence in the regulated capacity of CF 10 and to assume day to day responsibility for the company's compliance with relevant rules and regulations, including FCA
8

Experience For Head of Retail Lending Compliance & Operational Risk Resume

  • Higher education background with finance or legal major
  • Adapt progressively, with enthusiasm and intellectual curiosity
  • Proficiency in office IT software, especially in Microsoft Office applications
  • Develop and maintain knowledge and understanding of Kite’s technology, policies, and industries regulations (e.g. Federal Anti-Kickback Statute, HIPAA, False Claims Act, and Sunshine Act)
  • Liaising with Corporate Audit and News Corporation’s compliance team
  • Directly and substantially assist in promoting a corporate culture that makes compliance a top priority by working with senior management to establish a tone form the top that reflects Shire’s commitment to ethical business conduct and compliance with the letter and spirit of the law
  • Responsible for communicating the various aspects of Shire’s Code of Conduct and supporting the implementation and execution of the compliance program by establishing, among other things, job specific training for senior leadership and developing a training strategy for the region based on risks
  • Participate in International Regional Compliance Officer meetings and provide recommendations related to improvement of Shire’s compliance program and updates on regional risks. Share best practices and lessons learned
  • Advocacy/Advisory of all regulatory compliance issues in relation to Deutsche Bank’s activities, via internal compliance policies; procedures, communications, monitoring and training programmes
9

Experience For Head Compliance Resume

  • Keeping abreast of industry developments and emerging trends, the introduction of new products/services, as well as their implications from a regulatory / reputational perspectives (in coordination with Business Line Compliance)
  • Good awareness of regulatory and reputational risk and concerns
  • Framework for tracking of all major / significant regulatory communication
  • Framework for tracking of all major / significant regulations/laws – in coordination with Country Management; and
  • Coordinate initiatives with the U.S. based compliance group to minimize redundancy and conflicting regulatory positions between regimes
  • Promotion of risk Culture within the Bank
  • Lead or participate in ad hoc Compliance projects, investigations, disciplinary actions or as assigned from time to time
  • University graduate with 8 years or more Global Markets & Investment Banking Compliance advisory experience with top tier international banks or financial institutions
10

Experience For Head of Compliance Resume

  • In-depth knowledge of regulatory and compliance requirements on equities and investment banking activities, particularly the Hong Kong SFC rules and regulations
  • Knowledge of regulatory requirements in APAC regions is an advantage
  • In-depth knowledge on Global Markets products
  • Analyze and identify important issues and provide clear opinion and advice
  • Be a subject matter expert and resource to ensure that the Brookfield's asset management and financial services compliance regime is understood and implemented in the region; and
  • Ensuring that access to assets is permitted only in accordance with management’s general or specific authorization
  • Ensure compliance presence in management meetings to plays active role in the VGSP’s strategic and operational decisions
  • Implement group compliance communication plan at VGSP for employees’ awareness and guidance in collaboration with corporate communication team
  • Knowledge of rules and regulations applicable to MetLife’s Investment activities in Europe

List of Typical Skills For a Head Compliance Resume

1

Skills For Head of Compliance Resume

  • Excellent interpersonal and negotiation skills and ability to develop trusting relationships with stakeholders
  • Demonstrated strong track record of partnering with business management to provide guidance and implementation of effective compliance processes
  • Behavioural: Self-starter, good inter-personal skills
  • Monitoring and testing skills
  • Strong experience from working and living in the APAC region
  • Communicate clearly and effectively on local regulatory matters and outsourcing issues to key stakeholders at all levels
  • Proven acumen rolling out policies & procedures within countries; on-the-ground tactical experience beyond Headquarters implementation
  • Liaise effectively and build “trusted adviser” relationship with senior management
  • Use analytical skills to interpret and make accurate preditions from spread sheet data, whilst understandimg complex legal documentation
2

Skills For Head of Compliance Ireland Resume

  • Professional experience; 5+ years experience in healthcare compliance within a Pharmaceutical or Medical Device company
  • Proven ability to operate at strategic level
  • Experience in compliance monitoring/oversight, report writing and MI analytics
  • Experience preferably in Banking/Financial Service sector, Fintec including knowledge of key players in this area
  • Strong networking ability and understanding of the financial environment
  • Experience in public speaking and making clear and persuasive business
  • Experience managing and leading others, with the ability to engage, motivate and develop employees and retain talent
  • Capable of managing and prioritizing multiple tasks and objectives
3

Skills For Regional Head Compliance Resume

  • Experience of working at a senior level contributing to the development and delivery of organisational strategy
  • Demonstrated ability to influence banking strategies to ensure appropriate controls are ‘designed into’ products, processes and services
  • Experience of providing governance, controls and compliance advice for new product development
  • > 6 years experience in managing sensitive issues/ ethical dilemmas ideally gained within healthcare/ pharmaceutical environment
  • Experience of working within a matrix organization
  • Experience handling complicated and complex regulatory matters
  • Extensive international humanitarian experience managing large grant-funded projects
4

Skills For Head of Central Compliance Resume

  • Confident and effective in managing senior stakeholders
  • Consumer Marketing/Retail/Digital experience
  • Good understanding of Governance structures
  • Experience in aligning potential, present and future compliance risks related to the business
  • High performing and experienced leader who has delivered across organisational boundaries on an international scale
  • Demonstrable experience in leading change
5

Skills For Head of Compliance for Asia Resume

  • Relevant Compliance experience gained within a Financial Services / Payments environment
  • Experience of the regulatory requirements contained in the Payment Services Regulations, FCA/PRA Handbooks and other relevant regulatory institutions
  • A significant amount of experience in the editorial regulatory compliance field
  • The confidence to empower junior team members to make effective and consistent routine decisions
  • Experience in corporate compliance and management/leadership in a global environment or relevant government entity
6

Skills For Head of Cpb Investments Compliance Resume

  • Practical experience of working in a cross-regional context, ideally including exposure to retail funds (Ireland, UK, and Luxembourg),
  • Mature and humble individual with good judgment
  • Driven and a good team player
  • Prioritize and to work well under pressure
  • Proven ability to influence others at the highest level both inside and outside the organisation
  • Proven ability to ensure separation and co-ordination of compliance activities for SL Intl dac
  • A detailed appreciation of the regulatory framework in which SL Intl operates and the likely impact of key regulatory developments on compliance needs
  • >5years experience in Compliance/Legal/Audit or related function
  • Demonstrate that the services delivered comply with major industry standards and best practices in the areas of SOX, PCI and similar
7

Skills For Head, Compliance Program Office Resume

  • Monitoring and testing expertise
  • Leading and supporting cross-functional teams
  • Cultivating a culture of compliance and financial crime risk management throughout the Seychelles business
  • Approving CDD checks for new customers, reviewing existing files for accuracy and completeness
  • Reviewing / drafting FCA Approved Persons applications
8

Skills For Head of Retail Lending Compliance & Operational Risk Resume

  • Working with the finance function to prepare regulatory returns to the FCA and NFA, including the ICAAP
  • Administering compliance training to staff such as AML and anti-bribery / corruption
  • Knowledge of banking and payment clearing activities, including card schemes and processes
  • Promote a high performing compliance and financial crime function by identifying and implementing technology and best of breed
  • Handle any on going ad hoc projects and provide relevant training regarding regulations and policies/initiatives
  • Develop team and bring out best in team members
  • Be proactive in the provision of feedback and the delivery of ideas to develop and improve solutions relating to Travelex Compliance & Risk framework
  • Supports local management in emphasizing the importance of ethics and compliance
9

Skills For Head Compliance Resume

  • Formulate local compliance and financial crime planning in conjunction with the BA Head of Compliance
  • Sound understanding of the markets and cultures for region
  • Knowledge of and familiarity with international assistance program requirements, preferably OFDA and/or other funding agencies; their policies and regulations
  • General product and investment banking knowledge
  • General understanding of the FCA Handbook (in particular COBS)
  • Handles licensing matters and client complaints
  • Manage security incidents and investigations in accordance with the Security Incident Handling Process and Investigation Framework
10

Skills For Head of Compliance Resume

  • Monitor and follow up security installations/solutions in building projects and report deviations
  • Support Ericsson’s personnel, contractors and visitors in minimizing risks
  • Liaise with Advisers, Planners and Paraplanners, develop and implement training programs and scripts in line with relevant obligations and processes
  • Persistence in dealing with issues
  • Build alliances, bridging
  • Practical understanding of criminal, civil and industrial law and associated legal proceedings
  • A high level appreciation of business partnering and a solution oriented mind-set

List of Typical Responsibilities For a Head Compliance Resume

1

Responsibilities For Head of Compliance Resume

  • Strong Compliance focus, excellent service delivery attitude
  • Assist Corporate leaders in setting and driving the appropriate ‘’tone from the top’’ and applying E&C in the day to day business
  • The ongoing maintenance, implementation and refinement of the regulatory and compliance program, include revising compliance policies and procedures, draft/oversee the firm’s reporting obligations (e.g. Form ADV, Form PF, Form CPO-PQR, Form Ds, BEA Filings.), etc.
  • Monitoring asset management activity that could present regulatory risks, including, but not limited to, securities law issues, Advisers Act issues, KYC, FCPA, AML, etc.
  • Influence business heads to ensure that adequate Compliance, Conduct and Financial Crime controls are ‘designed into’ products, processes and services e2e
  • Ensure that Brookfield is aware of local regulations (and forthcoming regulations) as they affect the investment management and distribution activities in the country/region
2

Responsibilities For Head of Compliance Ireland Resume

  • Ensure that local regulations are adhered to either by establishing protocols within the country/region or by incorporating country/regional requirements in existing protocols
  • Conduct and document regular testing and monitoring of controls and procedures
  • Knowledge of trading systems in particular the technical aspects of Exchanges, Trading platforms, order management or execution management systems
  • Knowledge of anti-money laundering/ financial crime regulations and customer on-boarding
  • Act as the primary point of contact providing timely and specialist advice on compliance, AML and ETS and policy or framework matters arising from the country
  • Assist the senior management within the business in preparing the business strategy in a compliant manner
  • Support the F&R MLRO with the firm’s anti-money laundering program in the region
  • Oversee the planning and preparation of exams and audits (both internal and external)
  • Develop, implement and conduct relevant compliance training programs
3

Responsibilities For Regional Head Compliance Resume

  • Assist with jurisdictional approval process and ongoing compliance
  • Assist global F&R Team with policies, procedures, training, and processes
  • Provide governance oversight of compliance risk ensuring it is within expressed risk tolerances aligned to strategic, business and financial objectives
  • Act as the point of contact (together with country CEO), maintaining communication between the bank and local regulators
  • Dedicated, self-motivated with an ability to work independently and in a team environment
  • Provide regulatory support and guidance to all the regulated businesses in APAC
  • Develop, maintain, and enforce regulatory policies, processes and procedures
  • Actively monitor/identify regulatory developments and trends for the regulated businesses in APAC, and take appropriate action to assist the business in complying with new, upstream or amended regulations
4

Responsibilities For Head of Central Compliance Resume

  • Manage the relationship with all primary and secondary regulators in the region. This includes proactive as well a responsive, ad hoc or stipulated frequency based interaction
  • Ensure with the product leads that regulatory filings and reports are made in a correct and timely fashion
  • Proactively identity issues affecting Thomson Reuters through attendance at business, F&R events (such as the F&R Asean Summit, and other industry and regulatory events
  • Develop, maintain and strengthen the relationship between compliance and the business by providing timely and effective advice and strengthening the communication channels to ensure a two way flow of information
  • Leverage and partner with other Thomson Reuters teams including colleagues in government affairs, F&R Legal, and the enterprise and global F&R Compliance team
5

Responsibilities For Head of Compliance for Asia Resume

  • Interact with technology support to ensure trading systems and information security and data privacy practices remain compliant with firm policies and industry regulation
  • Ensure effective management of relationships with relevant APAC (and other relevant global) regulators
  • Regulatory experience within an Exchange, trading venue, investment bank or a regulated financial institution or experience gained at either the MAS/HKMA/HKSFC/ASIC or one of our primary regulators
  • Proven strong working knowledge of applicable APAC regulatory rules (particularly MAS, HKMA, HKSFC, ASIC, JFSA) but also other regulatory bodies’ obligations and requirements
  • Firsthand understanding of MAS and other APAC compliance frameworks and programs
  • Knowledge of FX, Equities, Fixed Income and Derivatives markets and/or drive to expand product knowledge
  • Partner with business stakeholders to understand needs, objectives and formalize a long term strategy. Act as the key liaison between the business and the technology group
  • Barrick’s Code of Business Conduct and Ethics
6

Responsibilities For Head of Cpb Investments Compliance Resume

  • Barrick’s Anti-Bribery and Anti-Corruption Policy
  • Act as the AML Responsible Person for TMFS
  • Receive all internal suspicious activity reports and liaise with the MROS
  • Control and inform TMFS on Sanctions and Embargos list and FAT-F non-cooperative countries
  • Fluent in English and French. Any other language would be a high advantage
  • Ensure the ANZ Group Compliance framework and policies and local regulatory obligations applicable to ANZ Royal are implemented in country, providing guidance and oversight over the BU’s implementation of the framework requirements and regulatory obligations
  • Compliance SME, participating in key industry groups and internal working forums (example: Projects). Build strong professional relationships with senior business and risk stakeholders across the Country, Division and Group Compliance
  • Drive a culture of compliance in the business
7

Responsibilities For Head, Compliance Program Office Resume

  • Provide review and oversight over the business’s adhering to their respective internal and external compliance obligations and that processes are in place to flag actual or potential breaches
  • Act as the compliance SME by assessing the effectiveness of the compliance testing program and probe as required to ensure these are meeting ANZ’s compliance testing requirements
  • Coordinate responses to compliance issues raised by internal or external governance stakeholders (including Audit and regulators) to ensure that appropriate actions are identified, ownership assigned and monitored for completion
  • Barrick’s Code of Business Conduct and Ethics, Anti-Bribery and Anti-Corruption Policy, Barrick’s Human Rights Policy, and the Declaration of Fundamental Principles and Rights at Work
  • Assess Compliance risks, coverage, skills and resources at regional & local level and develop plans to upgrade these
8

Responsibilities For Head of Retail Lending Compliance & Operational Risk Resume

  • Support Divisional Integrity & Compliance in addressing strategic priorities at a local level
  • Ensuring that Novartis compliance standards based on internal policies are properly implemented by the countries
  • Providing function coordination and oversight for Compliance activities within the region
  • Acting as main interface between Divisional Integrity & Compliance and Compliance at local level
  • The Security Management System and the Voluntary Principles on Security and Human Rights
  • Participates in the development of an organizational risk management
  • Actively involve region leadership to leverage integrity messages and maintain high level of awareness of all Novartis and Sandoz policies, including BPO process
  • Ensure appropriate and effective compliance risk assessments are conducted by the countries
9

Responsibilities For Head Compliance Resume

  • Cooperate with local compliance officers, and support them in all compliance aspects
  • Regularly monitor the completion of (e)-training courses. Ensure system for documenting and evidencing training completion is followed
  • Support country management in defining and implementing appropriate sanctions relating to BPO cases and ensure consistency in region
  • Conduct compliance risk assessments and review/proof test country risk assessment, including the review and proof-test SP3 matrix
  • Regularly update region leadership and global compliance on the status of the compliance program, including BPO awareness
  • Drive a speak -up culture at all levels in region
  • Chair and facilitate the Regional Compliance Committee to ensure that country compliance issues are escalated timely and propose solution, align with regional functions on regional initiatives, provide reg-ular update on country compliance visits and BPO trends
  • Collaborate with Corporate Compliance colleagues to help deliver effective compliance training and communication to all employees in the region
10

Responsibilities For Head of Compliance Resume

  • Providing technical guidance on existing and new regulation (MIFID, UCITS, EMIR, MAR, AIFMD, etc.)
  • Establishing and maintaining constructive relationships with regulatory body, auditors and relevant institutions
  • Participate in key committees and standing meetings including regular meetings with senior management
  • Dual hatting for the Management company (MSIM Fund Management (Ireland) Limited) and the MiFID entity (MSIM Ireland Limited)
  • Relationship management with investment teams, trading desks, product distribution and infrastructure functions
  • Monitor and assess compliance and individuals acting on its behalf, with securities legislation and internal requirements

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