Manager, Compliance Reporting Resume Sample

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Gretchen Boehm
258 Morar Underpass,  Detroit, MI
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Work Experience


Tax Compliance & Reporting Manager
07/2017 - PRESENT
Boston, MA
  • Superior knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the Bank’s applications as tools for conducting investigations
  • Understand the strategic aims of BAT’s business and an appreciation of the broad commercial issues facing the Group; an understanding of Group’s organisational structure and corporate governance framework and its Standards of Business Conduct
  • Monitor and evaluate compliance with the Standards of Business Conduct (SOBC) by employees worldwide and report on such compliance to the Audit Committee of the Main Board and other governance committees
  • Develop compliance monitoring methodology including testing approach and procedures, in conjunction with other assurance activities conducted, by either Internal Audit or other second line of defence functions e.g. Controls Team
  • Implement a periodic risk-based compliance reporting process to provide oversight, on the state of compliance to the Group’s Standards of Business Conduct (SOBC), to various governance forums such as Business Conduct Panel and appropriate local, regional and Corporate Audit Committees
  • Support in writing sections of the Annual Report and Accounts, principally the Company Corporate Governance and Risk sections and review other sections to ensure a consistent approach throughout and engage with the Group’s external auditors to support their assessment
  • Prepare the Group’s submissions on compliance matters to appropriate external accreditations such as ISO, the Dow Jones Sustainability Index and Global Reporting Initiative, and engage with the Group’s external assurance partners in relation to their assessment
  • Develop good working relationships with functional, regional and end markets and ability to identify and influence key stakeholders
  • Review quarterly, annual corporate tax A/C analysis for income taxes, property taxes, franchise taxes and annual report fee accounts
PLC Compliance & Reporting Tax Manager
04/2014 - 04/2017
Phoenix, AZ
  • Review quarterly estimate and extension corporate income tax payments and filing forms
  • Review and compare quarterly and annual tax provision workpapers for reflection in the filed documents, such as the 10Q and 10K, as well as other financial statement presentations
  • Insure accuracy and completeness of tax returns being prepared, through maintenance of controls and review processes
  • Overall preparation of quarterly and annual tax provision workpapers for presentation of income tax expense, income tax liability, FIN 48 reserves and deferred taxes and review of tax accountants’ detail work relating to such provision efforts
  • Review the preparation of footnotes regarding income taxes for 10Q and 10K disclosures
  • Oversee such discussions with internal and external auditors, including audits being conducted by various government taxing authorities
  • Assist and advise on the training of tax accountants and tax accounting clerks as needed
  • Works in a standard office environment involving computer usage
Senior Compliance Reporting Manager
06/2007 - 02/2014
San Francisco, CA
  • Frequent off-site meetings and working sessions is required
  • Frequent need to give close attention to documents and frequent use of video display terminal
  • Pressure to meet deadlines imposed by other areas beyond the incumbent’s control
  • Maintaining a working knowledge of tax laws of foreign jurisdictions in which Scotiabank operates. Monitoring impact of major legislative changes in foreign jurisdictions to ensure changes affecting the Bank’s financial statements are accurately reflected
  • Defines, executes and manages all of Arity’s policies, procedures and operations as it relates to complying with applicable CRA obligations under the FCRA
  • Develops and maintains a working knowledge of Arity’s business model(s), product(s) and their application(s), especially as it pertains to applicable CRA obligations under the FCRA
  • Articulates the policies and procedures to Arity leadership, Arity affilates and users of Arity’s consumer report(s) in order to ensure compliance with FCRA requirements

Education


York University
2002 - 2007
Bachelor's Degree in Accounting

Professional Skills


  • Strong communication, project management and collaboration skills
  • Strong Excel skills and deep expertise with at least one major tax compliance software product
  • Independently prioritize and work on multiple high priority projects and assignments simultaneously
  • Client Service/Client Management skills, for large and complex Pension Plans and/or
  • Managing one’s own time and priorities to ensure the meeting of deadlines
  • ASC740 accounting for income taxes knowledge and experience
  • CPA, MBA or Masters in Tax with accounting experience (or equivalent)

How to write Manager, Compliance Reporting Resume

Manager, Compliance Reporting role is responsible for software, compliance, reporting, finance, securities, training, compensation, design, research, insurance.
To write great resume for manager, compliance reporting job, your resume must include:

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

Contact Information For Manager, Compliance Reporting Resume

The section contact information is important in your manager, compliance reporting 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 Manager, Compliance Reporting Resume

The section work experience is an essential part of your manager, compliance reporting 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 manager, compliance reporting responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular manager, compliance reporting position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Manager, Compliance Reporting resume experience can include:

  • Partners with key Arity resources to create and maintain a relationship with users of Arity’s consumer report(s) so that these users can remain informed of policies and procedures to comply with FCRA requirements
  • Proven track record in improving efficiency and effectiveness in processes and tasks
  • Effectively work independently as well as in a team-oriented environment
  • Experience tax accounting, compliance and reporting
  • Provide all data/reporting for the validation and backtesting requested from Compensation Risk
  • Knowledge and experience conducting tax research databases, such as RIA

Education on a Manager, Compliance Reporting Resume

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

When listing skills on your manager, compliance reporting 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 manager, compliance reporting skills:

  • Solid understanding of Fixed Income and Equity markets
  • Hard-working, quick learner with a positive “can do” attitude and solid professionalism
  • Solid understanding of US taxation of investments
  • Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of
  • Experience in the financial services industry, preferably in a Compliance or Risk management role
  • Strong customer focus orientation to support both internal and external customers

List of Typical Experience For a Manager, Compliance Reporting Resume

1

Experience For Tax Compliance & Reporting Manager Resume

  • Develop consolidated incentive reporting for the company – multiple reports are required
  • Develop more enhanced reporting for the IPMs/IPAs to aid in their jobs and reporting to their respective business lines
  • Develop training session on the reporting tool for internal customers
  • Work with the Corporate Design and Finance to develop incentive reporting required or requested from the ICM system
  • Provide all end of the year reporting to Corporate Compensation
  • Provide any data/reporting requested from Corporate Audit Services

List of Typical Skills For a Manager, Compliance Reporting Resume

1

Skills For Tax Compliance & Reporting Manager Resume

  • Experience in public accounting and/or multi-national corporation
  • Knowledge of federal income taxation and some experience with state and local and US outbound tax issues
  • Strong controllership orientation with relentlessly high standards
  • Experience in US taxation of investments in a large corporate function
  • Tax experience with a US insurer
  • Experience with ePAM or similar investment software
  • Experience with process improvement, change management and optimization of various tax processes
  • Experience with ONESOURCE Tax Provision (OTP) and ONESOURCE Income Tax Software
2

Skills For PLC Compliance & Reporting Tax Manager Resume

  • Working with the Group Tax Operations team, to be responsible for review and management of the UK tax compliance process
  • Broad knowledge of individual US life, health insurance and mortgage insurance products, including accounting for income taxes under SSAP 101
  • Efficient and flexible as the compliance and regulatory environment is constantly changing
  • Manage relationships with key stakeholders and finance colleagues, including HMRC and other tax authorities on tax compliance matters
  • Exposure to complex legal entity tax sharing agreements
  • Exhibit flexibility, creativity and initiative in providing solutions
  • Current or previous management of staff, at various levels
  • Knowledge of HSBC’s operational, back office and head office areas would be an asset
3

Skills For Senior Manager Financial Crime Compliance Executive Reporting Resume

  • Five years business experience, including at least three years of experience in the institutional securities industry (preferably within the functional areas compliance, or compliance audit in a major insurance or banking institution or regulatory agency.)
  • Highly developed analytical, problem recognition and resolution, data mining, organizational, and communication skills with strong attention to detail and accuracy
  • Demonstrated ability to interpret investment management guidelines and assist business unit in establishing processes to comply
  • Compliance testing experience with the Investment Company Act of
  • Strong financial instrument knowledge, including Derivatives
  • Understanding of regulatory environments including the insurance and investment industry, rating agencies, and the SEC
  • Communicate effectively both orally and in writing with a variety of audiences including investment professionals, potential third-party clients and senior management
4

Skills For Senior Compliance Reporting Manager Resume

  • A working knowledge of PAM, Business Objects, and Aladdin
  • Lifelong learner and curious about new possibilities
  • Intermediate knowledge of MS Word, PowerPoint, Outlook, and Excel required
  • Monitor activities of FCC Operations staff to ensure compliance with applicable internal policies and procedures and external regulations
  • Serve as liaison (as needed) to foster good working relationships with business units, Local Compliance Officers, internal/external audit and regulatory agencies on an enterprise-wide basis with regards to Correspondent Banking
  • Contribute to the Compliance Risk Assessment process
  • Manage cases referred by regulators such as the Financial Consumer Agency of Canada (FCAC), Autorité des Marches Financiers (AMF) and Office of the Privacy Commissioner to safeguard the Bank’s interests in an effective and professional manner
5

Skills For Gaap Compliance / Reporting Manager Resume

  • Ensure that investigations are completed appropriately and working with applicable Scotiabank Group officers to ensure that all relevant information and documents are available/provided. This usually includes negotiations with Branches/CCC, Compliance and General Counsel
  • Ensure all relevant feedback and information/documentation are analysed and a professional response is provided to the applicable regulator
  • Manage the response process and negotiate the Bank’s final response with the Director and Group Compliance as necessary prior to providing the final response to the regulator
  • Contribute to the accuracy of reporting of complaints to regulators to assist in safeguarding the Bank’s interests from a regulatory perspective and adherence to internal policies and procedures by
  • Manage headcount and client allocations to ensure a fair balance of tasks within the team without negatively impacting on the client experience
  • Updating the log or checklist of cases to support accurate periodic reporting
  • Providing periodic training on regulatory requirements to OPCC employees
  • Act as the regional representative to global product meetings helping to develop the strategic roadmap for compliance reporting services
6

Skills For Bank ICM Reporting & Compliance Manager Resume

  • Weekly review of closed case summaries to identify self-reportable cases and accurate coding
  • Take ownership of projects and regulatory requirements for the team including audit, business readiness and client change requests
  • Manage stakeholders including senior operations leads, project managers and client service
  • Review and follow up to ensure all relevant information and documents for reported cases are available and on file
  • Monitor and work directly with OPCC employees on specific cases to assist them in coding and maintaining documentation in accordance with regulatory and internal policy and procedural requirements
  • Ensure the completeness, accuracy and timely completion of management, regulatory and other adhoc reports as required from time to time by internal partners and regulators
7

Skills For Arity Consumer Reporting Process & Compliance Manager Resume

  • Manage the performance of a team of compliance analysts responding to queries from all Australia and New Zealand clients
  • Indirectly manage offshore compliance teams who perform the verification and implementation of coded compliance rules
  • Chair team meetings and develop the strategy for the local Australia team
  • Experience in a financial institution, University or large not-for-profit institution setting, serving in an analytical role responsible for financial processes and data
  • Partners with key Arity resources to remain informed of uses (current or planned) of Arity’s consumer report(s)
  • Handles operational inquires on Arity’s consumer report(s) from varying audiences, document requests, complete and/or oversee corrections to applicable data, and resolve concerns
8

Skills For Manager Compliance Reporting & Quality Assurance Resume

  • Manager aspects of various regulatory requirements as requested by OSFI/CBA/Internal Partners (GRM/Risk/IBS) and provide operational support to the department and other Bank units/delivery channels/centralized units by
  • Working knowledge of federal and multi-state tax compliance process
  • Basic understanding of generally accepted accounting principles (GAAP) and ASC 740
  • Research and document tax positions and accounting issues
  • Understand and work with complex financial transactions and report the impacts of such transactions for GAAP, Statutory and Tax accounting purposes
9

Skills For Tax Manager, Federal Reporting & Compliance Resume

  • Assist in the gathering and preparation of documentation related to the company's income tax provision
  • Analyze and reconcile federal and state tax accounts and prepare internal reporting of tax accounts
  • Manage our investment system (ePAM) for tax
  • Assist with the preparation of the federal, international, and state income tax returns for members of the consolidated group, as well as separate company filings
  • Proven ability to communicate across all levels within the organization (both verbal and written)
  • Multi-task, prioritize and complete projects in a timely manner
  • Prepare and review quarterly and annual GAAP and STAT tax provisions for certain legal entities
10

Skills For Manager, Tax Compliance & Reporting Resume

  • Serve as lead process owner for certain technical areas included in the company’s provision and compliance processes
  • Assist with the preparation of federal and state income tax estimated tax payments and extensions, as necessary
  • Reconcile data between systems to ensure integrity and accuracy
  • Adapt to changes in business needs and respond quickly
  • Be responsible for management of quarterly US GAAP and statutory, tax reporting, including active preparation and necessary. Be responsible for review of annual local GAAP tax reporting and accounts disclosures. Active oversight of the work of other team members and output from Group Tax Operations. Countries responsible for include especially UK, Luxembourg and South Africa

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