Policy Compliance Resume Sample
Winifred Auer
7115 Morgan Pass,
Detroit,
MI
+1 (555) 665 2141
Work Experience
Head of Compliance Policy & Operations
01/2018
-
PRESENT
Detroit, MI
- Assist in the updating and maintaining of policies and the firm’s written supervisory procedures
- Serve as an effective member of the VBS P & P and Standards Committee
- One Security certification is required (GSEC, GISF, GPEN, GWAPT, GCIH, GCIA or GCUX or equivalent)
- Technical Knowledge/Skills in the following areas
- Excellent computer skills including: Excel, Word, and PowerPoint
- Experience in the sports or entertainment industry
- Self-motivated and the able to perform with minimal supervision
Policy Compliance
03/2015
-
12/2017
Boston, MA
- Prepare product filing of policy, certificate, amendments and related forms
- Draft Responses to state regulator’s comments to secure filing approval as necessary
- Develop business rules for the Information Technology team; provide system specifications applicable to new and revised forms and support implementation
- Identify, track and report to the leadership team compliance issues that require follow up investigation
- Assist with the company’s responses and documentation requests to any regulatory inquiries and third party examiners
- Relevant work experience in hospital, healthcare, or business operations compliance with knowledge of the healthcare industry, regulatory requirements, and experience in writing policies and procedures
- Experience in researching, interpreting and applying complex state and federal rules, regulations, policies and procedures
HR Policy & Compliance Administrative Assistant
08/2012
-
10/2014
Houston, TX
- Organizational skills, detail-oriented
- Translate a high-level direction into practical projects and drive their completion with minimal supervision
- Coordinate the firm’s required annual associate training program including the course needs analysis and the firm element program document
- Maintain the firm’s library of compliance and supervisory manuals; including tracking and publishing updates
- Document outcomes and conduct follow-up from the department’s review of new or amended securities industry regulations
- Draft policy language for new and existing products - ongoing evolution of our existing forms and policy language
- Research competitor product offerings for potential inclusion AXA’s product suite
- Evaluate existing policy language; develop and implement enhancements
Education
Oklahoma State University - Tulsa
2007 - 2011
Bachelor's Degree in Computer Science
Professional Skills
- Experience working as an Administrative Assistant or Coordinator position in a Human Resources, Compliance and/or Legal department
- Executing compliance and policy requirements; 25% Project Management of policy initiatives; 20% Planning; and 20% lead/direct/guide policy architects to meet strategic targets
- Experience with Microsoft Visio or other applicable flowcharting software
- A demonstrable ‘can-do’ attitude with the ability to pro-actively manage workload and prioritise tasks to ensure deadlines are met
- Experience in a compliance function of a Wealth Management and Employee Benefit business
- Direct the Company’s technical accounting function as it relates to new accounting guidance, new/unique business transactions and recurring highly technical accounting processes
- Preparation of technical accounting memos to support the Company’s application of accounting principles to specific and non-recurring transactions and also advise on the operational implications to key stakeholders
How to write Policy Compliance Resume
Policy Compliance role is responsible for government, software, securities, training, research, travel, security, powerpoint, compliance, benefits.
To write great resume for policy compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Policy Compliance Resume
The section contact information is important in your policy 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
- Telephone number
Work Experience in Your Policy Compliance Resume
The section work experience is an essential part of your policy 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 policy 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 policy compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Education on a Policy Compliance Resume
Make sure to make education a priority on your policy compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your policy 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 Policy Compliance Resume
When listing skills on your policy 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 policy compliance skills:
- Understand the general computing control structure of the Company (systems and architecture) and be able to apply that knowledge to how it supports the processes and procedures from both a SOX perspective as well and a risk management perspective
- Strong analytical skills and ability to analyze risk trends, identifying signs of changing risk levels
- Certifications: CISA / CISM / CRISC / CISSP / CPA
- In IT management or operations, technology or operational risk management, technology audit or related role, including experience testing and assessing controls
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