Mgr-compliance Resume Sample

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Tyree Halvorson
9399 Joanny Haven,  Chicago, IL
+1 (555) 688 8291

Work Experience

Senior Mgr, Reg Compliance
06/2017 - PRESENT
Philadelphia, PA
  • Experience in collaborating with all levels of an organization’s management team. Exceptional interpersonal and presentation abilities. Fully developed written and verbal communication skills are required
  • Provide subject matter expertise on the conditions and terms of WellCare’s federal and state contracts, to the market
  • Facilitates WellCare’s Internal Audit on Market-based assessments, and partnering with Regional Director, Market Compliance
  • Serve as primary Market Local Record Coordinator for the Records Information Management department. Perform training and oversight as needed
  • Serve as the local compliance and oversight contact for Compliance applications (LIONS, C360)
  • Monitor contract uploads in Corporate Compliance system to ensure all requirements documented including amendments, handbooks, policy transmittals and statutes
  • Collaborate with Market Regulatory Affairs, Delegated Oversight and Legal departments to monitor vendor compliance. Review delegation oversight tools, subcontracts and provider agreements to ensure they meet regulatory requirements, partnering with Regional Director, Market Compliance as needed.
Compliance Cap Mkts Mgr
05/2012 - 04/2017
Phoenix, AZ
  • Provide oversight for monitoring and tracking of Market Compliance Program metrics, structure, process and oversight, partnering with Director, Market Compliance Officer, as needed
  • Develop and assist Corporate supply chain leadership with the implementation of proactive food safety monitoring programs for distribution operations with a focus on the Food Safety Modernization Act (FSMA) and Sanitary Food Transportation Act (SFTA)
  • Conduct annual distribution center FSMA/SFTA assessments
  • Develop and maintain internal compliance scorecard for senior leadership communication
  • Design and support food safety policy implementation in collaboration with the Corporate FSQA team to include employee training programs, standard operating procedures and policy deployment to ensure regulatory and company requirement compliance
  • Coordinate communication to FDA, USDA, Dept of Ag, Public Health and associated federal, state and local regulatory compliance for post-inspection responses
  • Audit, compliance, or quality control experience working in a banking compliance or audit-related capacity OR
Mgr Tax Payments & Compliance
05/2009 - 11/2011
Chicago, IL
  • Review and cross-check completed audit kits for completeness and accuracy of audit content. Review audit kits and audit letters for overall quality assurance and approve the final audit letters to OSJ or equivalent Branch Managers
  • Train new examiners on all aspects of branch exams and contribute to maintaining training curriculum and materials
  • Act as internal business partner to other business units, including relationship managers, recruiting and designated principals to address issues and provide feedback
  • Forward thinking contributions during group and/or committee meetings for special projects to enhance the audit processes and broader firm initiatives
  • Single point of contact for office complexes when heightened issues arise. Act as facilitator with escalations to resolve issue(s) and deliver excellent customer experience
  • Remain current with FINRA and state regulatory issues as well as the company’s own written compliance policies and procedures
  • Facilitate employee goal development and tracking for success throughout the year and record during the applicable periodic Employee Evaluation periods
  • Compliance staff’s personnel development, salary planning, and other administrative responsibilities


Keiser University - West Palm Beach Campus
2005 - 2009
Bachelor's Degree in Criminal Justice

Professional Skills

  • Strong organizational skills and analytical skills are required
  • Technical/Professional Knowledge & Skills – Competent technically and possesses good analytical skills
  • Strong leadership and interpersonal skills, specifically as relating to influential communications
  • Management experience and skills required with emphasis managing by influence
  • Demonstrated experience working with and/or supporting financial advisors (IARs)
  • Practical experience in anti-kickback and anti-corruption and transparency/reporting (e.g., Open Payments) with hands on experience is required
  • Work well between functions and across all levels of the business and effective negotiating skills are required

How to write Mgr-compliance Resume

Mgr-compliance role is responsible for analytic, organization, purchasing, finance, securities, training, mac, procurement, recruiting, auditing.
To write great resume for mgr-compliance job, your resume must include:

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

Contact Information For Mgr-compliance Resume

The section contact information is important in your mgr-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 Mgr-compliance Resume

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

Representative Mgr-compliance resume experience can include:

  • Designing a risk-based information wall and trade surveillance program to provide effective oversight of capital markets activities
  • Designing a risk-based trade surveillance program to provide effective oversight of capital markets activities
  • Effective working independently as well as in a team (including cross-functional teams and in a changing environment)
  • Experience using SAP procurement systems, related reporting applications, and SC tools (Exostar, SAMS, Supplier Insight, etc
  • Experience interacting with executive level personnel, frequently coordinating across organizational lines
  • Experience in federal income taxes including familiarity with tax compliance obligations in a multinational manufacturing environment

Education on a Mgr-compliance Resume

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

When listing skills on your mgr-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 mgr-compliance skills:

  • Experience including, but not limited to contracts and/or subcontract management and overall business experience
  • Adaptability – Can effectively cope with change; can decide and act when uncertainty exists
  • Industry experience, auditing and/or compliance experience
  • Exceptional quantitative, analytic and organization skills
  • Exceptional analytic and organization skills
  • Exceptional analytic skills and attention to detail

List of Typical Experience For a Mgr-compliance Resume


Experience For Compliance Cap Mkts Mgr Resume

  • Direct experience and in depth knowledge of automation platform desirable
  • Collaborate with testing teams on the review of testing and incorporation of testing results into overall risk reporting
  • Work independently as well as in a team (including cross-functional teams and in a changing environment)
  • Create, maintain, and enhance firm policies & procedures; including Investment Advisory compliance manual and desktop procedures
  • Coordinate with master trust agreement working groups to document and establish risk-based first and second line accountability for trust agreement compliance

Experience For Senior Mgr, Reg Compliance Resume

  • Collaborate with surveillance, trading and supervision managers to establish and monitor appropriate risk indicators and surveillance programs
  • Design and execute training programs for capital markets personnel across the enterprise
  • Provide advice to trading personnel related to compliance risk management
  • Collaborate with risk and control leads across the enterprise to integrate compliance risk management principles into ongoing management of risk
  • Responsible for end-to-end compliance oversight of the Third-Party Asset Management Program (TAMP)
  • Manage day to day processing of key regulatory compliance functions for oversight of the Investment Advisers Act ’40 Code Of Ethics, Pay to Play, and ADV 2B policies and procedures
  • Lead special projects and initiatives based on department priorities
  • Builds long-term relationships with senior management team in Noida and U.S. to better understand the Company’s culture and management directives and demonstrates a commitment to continually improve the perception of the Internal Audit function throughout the company
  • Builds relationships and maintains clear channels of communication with stakeholders at all levels of the organization

Experience For Mgr, Market Compliance Resume

  • Leads involvement and participation across the organization in program delivery; facilitates the engagement of Partner Resources in design, development, and delivery of programs
  • Work closely with business stakeholders to groom the backlog of work on a regular cadence
  • Articulate the EO Initiatives vision and act as the program evangelist to build awareness within the organization
  • Maximizes the individual and aggregate value of features delivered through participation of stakeholders; manages scope, quality, and timing expectations with stakeholders of multiple complex projects
  • Coordinate with the Legal Division and risk management groups to maintain a comprehensive view of securitization arrangements governed by master trust agreements or similar arrangements across Freddie Mac and to document and periodically assess and monitor compliance risk
  • Support evaluation of securitization agreements’ compliance risk and complexity and making recommendations for enhancements or providing risk assessments of proposed changes to the agreements
  • Establishing and operating the core function of investor protection as required by Freddie Mac in the role of trustee under the agreements
  • Oversight of Trust Cash Administration Team’s administration of trust accounts
  • Subject matter expertise related to trust compliance to support compliance testing or oversight of first line testing of controls to comply with securitization agreements

Experience For Mgr Tax Payments & Compliance Resume

  • Build strong relationships with PSEG internal stakeholders
  • Serve as a consultant to the first line of defense on appropriate information sharing under Freddie Mac’s information wall policy through the use of technology
  • Schedules reviews, assembles teams, and comprehensively audits each facility within the assigned group at least annually with follow-up audits as required
  • Works with Compliance Administrators and Coordinators to develop facility Quality Control Programs
  • Works with colleagues in the regional operations office to communicate compliance issues and operational concerns
  • Collaborate with and support regional leadership (e.g., Legal, Sales, Marketing, Service Operations and Human Resources) on compliance matters to ensure compliance with laws, regulations, standards, guidelines, best practices, and our internal Code of Conduct

Experience For Senior mgr Compliance & Analytics Resume

  • Manage direct reports and work with business partners to enhance business processes based on policies and procedures, training, testing and monitoring, risk assessment, and other results
  • Assist with the preparations for transparency reporting (e.g., Open Payments), Testing and Monitoring, and Corporate Internal Audits
  • Manage and provide the first line of communication to the business for reviewing local requests and documentation as assigned
  • Interface with Legal regarding Compliance requirements and interpretation when appropriate
  • Integrate compliance into day to day business activities and enable increased business ownership of activities with compliance risk
  • Advise internal stakeholders of potential compliance risk areas
  • Manage and provide day-to-day tasks such as data collection, analysis and reporting, assisting in the support tasks of training, testing and monitoring as assigned

Experience For Senior Mgr Validation & Process Compliance Resume

  • Provide and coordinate appropriate guidance, education, training, and regular communications to direct reports and Varian employees
  • Participate in Compliance Committees as necessary
  • Implement and follow up on Management Action Plans, and guide the business partners to close gaps and implement corrective actions in conjunction with Regional Compliance Leads
  • Develop strong relationships throughout area of responsibility to foster an advisory or collaborative approach to proactive compliance
  • Participate in the annual compliance risk and self assessments and develop a regional work plan
  • Implement continuous improvement for the Ethical Compliance internal operations
  • Interface with Regional Compliance Leads to share approaches and best practices
  • Working knowledge of various laws, regulations, and industry guidance that affect Endo’s compliance program and CIA, such as the Anti-kickback statute, PDMA, OIG industry guidance, and PhRMA code
  • Provide advice to business lines on information sharing under Freddie Mac’s information wall policy designed to prevent the inappropriate flow of material non-public information to personnel in sensitive positions

Experience For Compliance Aggregate Spend Mgr Resume

  • Experience in IT risk, information security, data governance, compliance, IT consulting or other relevant areas
  • Assessing current investment, trading, risk management strategies and liquidity management activities for compliance risk, including change management for internal and external changes
  • G10 Level) of Supply Chain, Government contracts, or legal experience, or a combination thereof
  • G11 Level) of Supply Chain, Government contracts, or legal experience, or a combination thereof
  • Support trading risk assessments
  • Coordinate information wall risk assessments of technology resources
  • Contribute to design and development of a risk-based trade surveillance program
  • Support compliance risk assessment process
  • Conduct market surveillance in support of the trade surveillance and assessment program and the information wall program

Experience For Corp Compliance Program Mgr Resume

  • Manages subordinate management and/or experienced specialist employees who exercise significant latitude and independence, or acts as a recognized expert, consultant and advisor for division, group and corporate management and customer personnel
  • Often acts independently to uncover and resolve issues associated with the development and implementation of operational programs. Assignments are objective oriented. Work is reviewed in terms of meeting the organization's objectives and timelines
  • Interacts frequently with internal and external management and senior-level customer representatives concerning projects, operational decisions, scheduling requirements and/or contractual clarifications. Leads briefings and meetings for internal and external representatives
  • Lead a compliance team, Review and approve each analyst’s reports
  • Develop work plan for each analyst or outsourced provider team
  • Develop & coordinate monthly analyses for each analyst to perform; review and consolidate results of analyses; perform additional analyses; develop themes and identify root causes of non-compliance
  • Coordinate scope of work to avoid duplication and leverage knowledge with the other functions such as trade marketing team, Key Account team, Accounting, Internal Audit, Legal, Corporate Security, and other company compliance teams
  • Maintain professional certification(s), participate in continuing professional education, and stay abreast of best practices in audit techniques and process controls
  • Participate in other company initiatives/projects including due diligence, compliance plans, and special projects or investigations (if needed)

Experience For Senior Mgr SC Compliance Resume

  • Manage use of external consultants to supplement staff or project work
  • Estimated travel rate 25%
  • Process Management of all facets of the programs from concept through design to release and into execution/landing. Be the deep subject matter expert on our controls and compliance capabilities and understand how it is impacted and impacts other capabilities within our OneCompliance framework
  • Capture, document and manage work back schedules for process improvements, driving change control, managing issues and escalation, triage, cross group coordination and milestone management
  • Build, develop and maintain highly collaborative and effective working relationships with the internal business, legal, finance and engineering groups, as well as other operational partners to facilitate proactive planning, smooth communication and issue resolution
  • Drive time keeping program compliance, effectiveness and awareness in appropriate Areas and Domains

Experience For Mgr Nerc Compliance & Advocacy Resume

  • Demonstrated ability to motivate self and others, as well as mentor and coach others
  • Document current state processes and work with transformation teams as we migrate our legacy platforms to our new modern platform
  • Conflict/Negotiation management; ability to impact and influence at an executive level
  • Identify and assess compliance risk associated with baseline and new or changed business processes and new or changed laws and regulations
  • Regularly lead audit preparation, support and responses, both for internal assessments and Government inspections; develop and maintain effective internal controls and guidance to position Raytheon for success in these audits

List of Typical Skills For a Mgr-compliance Resume


Skills For Compliance Cap Mkts Mgr Resume

  • Building Strategic Working Relationships – Builds strong relationships across various company functions
  • Proven track record in delivering results, self-starter and ability to manage complexity are required
  • A combination of 10 years of related experience in supply chain purchasing, operations, and / or compliance
  • Experience leading a geographically dispersed team
  • Experience in develoment and reporting of KRIs and OSMs
  • Skilled in Microsoft Office products, including Excel and PowerPoint
  • Experience with people management and project management is required

Skills For Senior Mgr, Reg Compliance Resume

  • Advanced knowledge and hands-on experience with Excel, Word, and PowerPoint
  • Experience with government audits and the audit process, especially in the supply chain discipline
  • Continuously seek opportunities for process improvement and proactively ensure the effective and timely performance of controls
  • Risk management, compliance or paralegal experience
  • Experience in the financial services industry, ideally focused on Investment Advisory

Skills For Mgr, Market Compliance Resume

  • Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint, and VISIO
  • Experience in group leadership / management positions
  • Working knowledge of the Investment Advisers Act of 1940 and applicable regulations
  • Developing quantitative framework for evaluating compliance trading risk to support a risk-based surveillance program
  • Assessing current investment and trading activities for compliance risk, including change management for internal and external changes

Skills For Mgr Tax Payments & Compliance Resume

  • Advising on rules and regulations governing derivatives and implementing related policies and standards across the enterprise
  • Supporting the business lines building and maintaining appropriate controls over securities laws compliance
  • Developing trading risk scenarios to support risk assessments and design of trade surveillance
  • Monitoring market factors impacting trade and portfolio risk management strategies to maintain oversight program relevance
  • Developing trading risk scenarios and a computational framework to support risk assessments and design of trade surveillance
  • Advising on implementation of the information wall policy and related standards across the enterprise
  • Assisting Information Wall compliance team with the implementation of the information wall policy and related standards across the enterprise
  • Assist in designing, planning, implementing and executing a comprehensive Ethical Compliance global strategy and plan
  • Knowledge of current standards and guidance concerning corporate compliance and ethics programs is required

Skills For Senior mgr Compliance & Analytics Resume

  • Preparation of R&D Credit, including documentation and interface with Company’s R&D community
  • Decision Making – Motivates and encourages others; escalates issues only when necessary
  • Constantly accessible to resolve ambiguity and participating proactively
  • Assists with preparing responses to client oversight issues and correspondence
  • Works with client monitoring and contract oversight staff as issues arise
  • Provides training to and is a resource for facility Compliance Administrators and Coordinators on compliance issues
  • Take complex business situations and develop solutions that ensure compliance is required

Skills For Senior Mgr Validation & Process Compliance Resume

  • Knowledge of SC processes and related systems such as proposal support, subcontract management/procurement, material program management, etc
  • Familiarity with the Contractor Procurement System Readiness (CPSR) audit process
  • Stress Tolerance – Stays focused despite stress; manages pressure well
  • Communication – Shares information and ideas with the department; communicates well in both written and oral formats
  • Knowledge of federal and state laws and regulations
  • Possesses exceptional business acumen in HR and enterprise leadership; understands enterprise business problems
  • Provides insights, supported by data analytics to educate leaders on gaps and needs
  • Identifies the right business needs to address that have the most value to the company, and applies compliance and analytics knowledge and experience to create the best insights and direction for leaders
  • Ensure the BSG practices are aligned with the Bank’s Compliance program

Skills For Compliance Aggregate Spend Mgr Resume

  • Corrective and Preventative Action (CAPA) ownership for Reagent Manufacturing; other CAPA roles such as but not limited to lead CAPA investigator for Reagents Manufacturing, as required, to ensure CAPA’s are completed on time, are effective
  • Key Performance Indicators (KPIs): on time validations and Corrective and Preventative Action (CAPA)’s, CAPA effectiveness rate, number of customer complaints, number of audit observations; conformity with quality standards and procedures
  • Assists with implementation and day-to-day operations of the Compliance Program, Compliance Plan, Code of Conduct, and Fraud, Waste and Abuse Plan across the enterprise while ensuring compliance with governmental requirements
  • Spearheads development and implementation of compliance policies and procedures and training programs for the Molina enterprise
  • Oversees and provides direction of site visits for regulatory audits and coordinates corrective action plan, as needed
  • Work under the supervision and guidance of Director, IT Project Management and Compliance to plan and scope compliance IT work streams, and other operational/security projects
  • Act as CIRCOR’s IT controls knowledge expert and point person by working and coordinating with management, internal audit and external audit during the annual SOX compliance assessment
  • Resources develop a detailed understanding of core business and processes

Skills For Corp Compliance Program Mgr Resume

  • Engage and manage audit resources to perform required audits competently and with minimal supervision; identify internal control issues/exceptions and ensure they are well-defined, root causes analyzed and discussed and agreed with management
  • Ensure overall quality and consistency of audit work, and adherence to department and a professional standards for audits; document risk assessments, work papers, and audit findings in accordance with work paper documentation standards; and demonstrate proficient use of department/company tools
  • Strong working knowledge of regulatory rules
  • Knowledge of the capital markets, trading instruments (including mortgage-backed securities, fixed income and derivatives) and mortgage finance
  • BS in Chemistry, Biology, Biochemistry or Chemical Engineering
  • Develop and implement security standards, processes and procedures, and guidelines for the enterprise
  • Knowledge of securities laws
  • Proficient in Microsoft Word, Excel, PowerPoint, Outlook. SharePoint and Access (highly desirable)

Skills For Senior Mgr SC Compliance Resume

  • Attention to detail with the pursuit of perfection
  • Knowledge of the capital markets, the principles of an information wall program, trading instruments (including mortgage-backed securities, fixed income and derivatives)
  • Experience at a securities or futures regulator
  • Knowledge of securities or futures laws
  • Able to establish project timelines in a complex environment
  • Strong working knowledge of all applicable statutes and regulations including FDA, USDA, Dept of Agriculture, Public Health and associated local, state and federal regulatory agencies
  • Knowledge of hazardous materials handling and related compliance regulations and safety requirements
  • Working knowledge of laws and regulations governing global trade, such as the Foreign Corrupt Practices Act (FCPA), the International Traffic in Arms Regulations (ITAR), and applicable export/import laws and regulations
  • Solid understanding of how people and organizations go through the change process, and experience and knowledge of change management principles, methodologies and tools

Skills For Mgr Nerc Compliance & Advocacy Resume

  • Experience with U.S. Government contract-related audits and inspections, including Contractor Purchasing System Reviews and DCAA audits
  • Negotiation or dispute resolution experience
  • Lead/attend conference calls and other meetings related to new/proposed changes. Prepares documentation for the regular meetings and compliance committees. Lead activities related to creation of internal policies and procedures and other necessary documentation of activities
  • Responsible for tracking and researching issues and/or program gaps and related mitigation plans and resolution. Creates working papers and maintains auditable repository
  • Assessing business requests for information sharing under Freddie Mac’s information wall program, including analysis of request for business purpose, evaluation of data element types for appropriateness, assessment of short- and long-term information wall risk, and recommendations for related monitoring and training

List of Typical Responsibilities For a Mgr-compliance Resume


Responsibilities For Compliance Cap Mkts Mgr Resume

  • Responsible for divisions that review and analyze Supply Chain purchase orders and subcontracts, assess Raytheon’s control of contract-related property, oversee subcontract closeouts, and assist with crucial subcontract negotiations
  • Experience mentoring and training individuals in Government contracting and related topics
  • In-depth understanding of existing legal and regulatory requirements along with a wide-ranging awareness of new developments in compliance and readiness
  • Collaborate with other compliance managers throughout Raytheon, as well as with leaders in almost all other functions at RMS, including Contracts, Programs and Product lines, Finance, Estimating, and Engineering
  • Progressive overall business and / or legal experience, including at least three years’ experience in Government procurement, either on the sell or buy side is required
  • Experience leading a team of diverse professionals, setting goals and driving associated actions to achieve the goals

Responsibilities For Senior Mgr, Reg Compliance Resume

  • Experience in a compliance-related position, such as auditing, internal assessments, inspections (e.g., U.S. Government inspector general teams), or investigations
  • Knowledge of and experience in the areas of the FAR, DFARS, and related laws and regulations affecting government contracting, such as CAS, TINA, and the need for cost / pricing data; commerciality determinations; competitions; and other relevant areas
  • Obtain a DoD Secret clearance if required
  • Proficiency with Adobe Acrobat and Microsoft Word, PowerPoint and SharePoint tools
  • Flexibility to travel to Raytheon sites when required
  • > 50% travel
  • JD or LLM
  • Research, analyze, interpret, evaluate and monitor the operational impact of regulatory requirements; proactively lead initiatives to implement oversight and monitoring activities; assist with re-engineering of workflows and process improvements that support HPHC. S/he plays a leading role in supporting and assessing the effectiveness of oversight and monitoring

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