Leader Compliance Resume Sample

18 votes
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Fabian Runolfsson
9148 Maye Club,  Houston, TX
+1 (555) 973 7978

Work Experience

Compliance Team Leader
09/2015 - PRESENT
Dallas, TX
  • Implementing improvements and change to compliance plans, reporting and communication
  • Driving and encouraging an effective Compliance culture
  • Compliance, quality assurance or legal experience within financial services
  • Ideally indepth understanding of retail banking
  • Knowledge of Australian financial services regulations including NCCP and Responsible Lending would be preferable but not essential
  • High level of cultural sensitivity, flexibility and emotional intelligence in order to work effectively within GE Digital’s multicultural environment
  • Maintain good working relationships with internal parties to ensure open lines of communications and timely responses to compliance questions
  • Management of subcontracts and Tradex procurement portal for Highways
IFS Compliance Team Leader
12/2008 - 07/2015
Los Angeles, CA
  • Training of new starters and supporting business commercial training
  • Implement training plans and objectives (support with reviews)
  • Coordinate highways insurance renewal
  • Management of non-compliance of commercial processes across the highways business
  • Management and reporting of subcontractor performance scoring
  • Support with ad-hoc corporate and Group requests
  • Checking documentation which is submitted and liaising with both the contracts and subcontractors / suppliers
  • Build a close relationship with the FSSC (financial shared service centre) Masterdata team
  • Produce regular reports for Highways supply chain manager and Utilities Commercial Directors
Compliance Permanent Control Local Team Leader
08/2005 - 08/2008
New York, NY
  • Liaise directly with vendors completing the PQQ to provide support where necessary and deal with any issues as they arise
  • Monitor the mailbox associated with the Highways Procurement portal
  • Deal with initial subcontract queries
  • Storage and administration of the subcontracts and keeping tracking sheets updated regularly
  • Manage non-compliance and escalate where required
  • Regular reporting broken down by contract
  • Support with dashboards to communicate non-compliance to the General Managers & Commercial Director
  • Ensure the contract adherence to KGCs via internal commercial auditing
  • Support with commercial training across contracts including training rolled out for new processes


Fairleigh Dickinson University - Metropolitan Campus
2000 - 2005
Master's Degree in Chemistry

Professional Skills

  • Good people management skills and the ability to work in a global team
  • Experience in Manufacturing/Development Engineering Organization, preferably in an electronics manufacturing organization. See statement below
  • Relevant experience in international environment (preferably in banking)
  • Experience in Accounting and / or Finance with a focus on revenue recognition, Proficient in US GAAP revenue recognition standards
  • Previous experience on a Team Leader's position
  • Good knowledge of FDA regulations, cGMP, GAMP5 and validation
  • Possess team management/ leadership experience, ability to lead and motivate people

How to write Leader Compliance Resume

Leader Compliance role is responsible for compliance, travel, insurance, manufacturing, reporting, auditing, procurement, training, finance, retail.
To write great resume for leader compliance job, your resume must include:

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

Contact Information For Leader Compliance Resume

The section contact information is important in your leader 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 Leader Compliance Resume

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

Representative Leader Compliance resume experience can include:

  • Suitable operational and compliance management experience
  • Oversee a number of new graduates supporting in the implementation of training plans and objective setting
  • Management of Highways insurances and supporting with the renewal process each year
  • Ensure CIS tax is correctly managed by regular auditing
  • Oversee the management of Training at the site
  • Flexible working time, ability to work in a fast paced environment

Education on a Leader Compliance Resume

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

When listing skills on your leader 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 leader compliance skills:

  • Designing and implementing client risk ranking methodology and applying such methodology to all existing and new clients
  • Acting for Quality Manager as assigned by delegation of authority
  • Creating company-wide and targeted AML training
  • Providing expert advisory services to lines of business and executives
  • Providing strategic direction and recommendations for AML Compliance program
  • Proficient working knowledge of Microsoft Windows, Outlook, Excel and Word Applications

List of Typical Skills For a Leader Compliance Resume


Skills For Compliance Team Leader Resume

  • Drafting and updating policies and procedures
  • The ongoing management of the OFAC program including developing appropriate tools and systems to ensure ongoing compliance with OFAC regulations
  • CPA required (inactive status accepted)
  • Management and continuous improvement of Quality System. Responsible for the ensuring a robust, sustainable and effective QMS (Quality Management System) through monitoring and reviewing the compliant status within the site
  • Implementation of Global Directives, Operational Quality Standards and Guidance and corporate procedures

Skills For IFS Compliance Team Leader Resume

  • Oversee the management of Quality Documentation at the site
  • Management of Audits and Inspection. Perform surveillance audits on site to ensure site inspection readiness and able to present Site Quality Management processes and procedures to regulatory and customers’ inspectors and auditors, and manage follow up in the event of audit and inspection findings
  • Ensure Quality Risk Management is in place at site with established reviewing and escalation process. Responsible for risk assessment for significant investigation issue
  • Provide guidance on validation to site such that facilities and buildings, equipment, methods and processes are validated according to international and local regulatory requirements and Sanofi global quality documents
  • Ensure site change control system robustness in assessment procedure to remain compliance with Regulatory and maintain site GMP status. Establish and maintain monthly reporting of KPI with trends and identify improvement opportunities
  • Provide quality oversight to contracted facilities, Business Partners and Suppliers in areas of; Supplier and contractor qualification and audit,
  • GMP compliance, deviation and change control management, review and approve Quality/Technical Agreement with supplier, contractor and customer

Skills For Medicare Part D Compliance Oversight & Audit Leader Resume

  • Supplier Management: responsible for supplier audits, approval and disqualification of suppliers, management of supplier complaints
  • Interface with production, supply chain and external customer to ensure efficient operational processes and timely CAPA closure
  • Manage customer‘s complaint and ensure investigation and corrective/preventive action to be performed in promptly manner. Establish and monitor monthly KPI for monitoring and reporting
  • Manage product release for API when required
  • Deliver timely communication of critical information to site leadership team 15. Responsible for coordinating the timely completion of Annual Product Review. 16. Implement a sustainable compliant culture on site and support deploying Sanofi Manufacturing System in the department. Responsible for compliant action plans that support site KPI

Skills For Leader, AML & Ofac Compliance Resume

  • Ensure all team members have a clear Individual Development Plan and implement development actions. Appraise and evaluate team performance and responsibilities. Hold discussions regularly to develop remedial actions for improvement
  • Experience in people management
  • Financial Services management experience
  • Other responsibilities that are not included in the above but are related to quality assurance and in accordance to internal guidelines and SOP
  • Able to work independently and write technical reports

Skills For Compliance Permanent Control Local Team Leader Resume

  • Designing and implementing a program to perform ongoing client due diligence and enhanced due diligence, when needed, as well as refreshing client due diligence on a risk-based schedule
  • Designing and implementing a financial analytics and intelligence program to monitor transactions and take appropriate steps to detect and deter money laundering and terrorist financing
  • Manage small team, possibly in different locations
  • Some travel and extended business hours are required
  • Be agile, flexible and able to mobilize a diverse and dynamic workforce

Skills For Compliance Screening Team Leader Resume

  • Be customer oriented and have consultative approach
  • Knowledge of SAP, BW, SharePoint would be considered an advantage
  • Fluency in English (additional European languages desirable but not essential)
  • Monitoring and controlling the obligations and limitations resulting from US and EU Antitrust authorities’ orders and from the Customer Assurances Agreements
  • Computer literate with competent ability and knowledge of Microsoft Office

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