Senior Compliance Resume Sample

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Jaida Gibson
3223 Zelma Throughway,  Chicago, IL
+1 (555) 670 1191

Work Experience

Senior Compliance Portfolio Manager
06/2017 - PRESENT
Chicago, IL
  • Report creation and analysis of prohibited software detected in our environment
  • Processing nonstandard software requests
  • Notification and follow up of non-compliant stakeholders
  • Manage compliance operation tasks in Shenzhen Site, to provide the stable and qualified service to the business compliance functions in China and Japan market places as the defined tasks, continually improving the accuracy and cutting the response time
  • Manage and develop the compliance operation team of Shenzhen site, to set up a sustainable growth organization with qualified people
  • Develop the fundamental operation platform to support the sustainable growth of the business, with best service and effective cost, including SOP, Data, tools, and so on
  • Cooperate with business and compliance team to find the opportunities to continuously simplify the operation task and prevent risk proactively
  • Coordinate with global compliance team and compliance operation team of other nodes, to implement global projects; to share the best practice with each other
  • Contributes to building scalable automation that can deliver productivity benefits with joint ownership between tech and program teams for the function
Senior Compliance & Privacy Analyst
02/2012 - 01/2017
New York, NY
  • Manage and control the operational cost to ensure the cost effectiveness, continually reducing the cost through productivity and headcount utilization improvement
  • Aligns business priorities to the site’s IT portfolio investments in order to contribute optimal value to the organization’s strategic objectives and Key Results
  • Participates and contributes in portfolio projects according to roles and responsibilities orientation of the project
  • Take the lead within your expert subject matter area on advising the business areas how to
  • Compiles quarterly compliance reports detailing all compliance activities – investigations, inquiries, training, etc.
  • Monitor and assess on a day to day basis the adequacy and effectiveness of the measures, controls and procedures put in place by the business to address the company’s compliance with its regulatory obligations
  • Maintain current knowledge of industry practices and developments
Senior Compliance
09/2007 - 10/2011
Boston, MA
  • Leadership of a dedicated team of Compliance professionals
  • Background in law or similar relevant qualifications
  • To support change control activities, deviations and SOP’s within equipment and facilities,
  • Assist in design, monitoring, assessment/testing of company’s internal controls and communicate results to relevant individuals
  • Improve the company’s controls environment by assisting in the remediation of control deficiencies by proactively identifying root causes, identifying mitigating controls and making recommendations to process owners
  • Supports CIAPM in coordinating the implementation of and the ongoing monitoring and maintenance of Optum360’s responsibilities under the client’s Corporate Integrity Agreement (CIA)
  • Assists in developing, maintaining, and updating compliance and privacy policies and procedures to support Optum360’s Corporate Compliance Program and culture of integrity and ethics
  • Performs internal monitoring and auditing to ensure compliance with laws, rules, and policies governing Optum360’s operations
  • Models and supports Optum360’s core values, mission, and vision as well as C - i - Care strategy when interacting with others


Southern Virginia University
2001 - 2006
Bachelor's Degree in Computer Science

Professional Skills

  • Excellent written and verbal communication skills -- French, English
  • Above working experience, 5 years’ experience in technical support/operations
  • Hands-on experience with IT security audit and compliance experience
  • Client focus and customer service skills with the ability to build positive relationships between client/company, and represent Manulife’s best interests
  • Prior policy development and enforcement experience in a regulated environment
  • Technical skills in related Information Technology discipline
  • Strong understanding of IT regulatory control frameworks (ITIL, COBIT, etc.)

How to write Senior Compliance Resume

Senior Compliance role is responsible for reporting, microsoft, powerpoint, advanced, training, finance, securities, integration, auditing, security.
To write great resume for senior compliance job, your resume must include:

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

Contact Information For Senior Compliance Resume

The section contact information is important in your senior 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 Senior Compliance Resume

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

  • Excellent written, analytical, and verbal communication skills in English
  • Experience in Sanctions and/or Anti-Money Laundering (AML)
  • Solid knowledge of Latin America (political developments, law enforcement issues, corruption-related matters, etc.)
  • Technical product experience: network hardware and application security
  • Working knowledge of information security standards and frameworks (NIST, ISO)
  • Interpreting unclear expectations from clients with confidence and patience

Education on a Senior Compliance Resume

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

When listing skills on your senior 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 senior compliance skills:

  • Effective and efficient multitasking and project management skills
  • Prior experience with business continuity planning and testing, auditing and risk management, as well as contract and vendor negotiations
  • Experience implementing corrective action plans
  • Experience filing compliance reports with regulatory organizations
  • Experience in Economic Sanctions or Anti-Money Laundering (AML)
  • Self-starter with ability to prioritize a myriad of competing matters

List of Typical Experience For a Senior Compliance Resume


Experience For Senior Compliance Portfolio Manager Resume

  • Develops, plans and presents written, graphic and verbal program awareness education and training
  • Partners with HR and other stakeholders on the administration of Sabre’s Code of Business Ethics training, leads efforts with the Compliance team on other training modules and topics of interest and works with Corporate Communications on messaging around all training and Compliance initiatives
  • Assumes additional responsibilities, including involvement on committees and special projects as needed or directed
  • Performs support of production applications by responding to service desk calls, tracking problems/issues, and following up with customers. Investigates business and/or applications problems. Determines root cause(s), develops and evaluates alternative solutions, and coordinates selection and implementation of solution
  • Assists in projects related to Computer Systems Validation. Authoring, reviewing and consulting on validation documentation including but not limited to Validation Plan, Installation Qualification, Performance Qualifications and Validation Reports
  • Extensive experience leveraging proprietary databases (e.g., Lexis-Nexis, Pacer, Factiva, etc.) for research purposes

Experience For Senior Compliance & Privacy Analyst Resume

  • Your responsibility is to help with control deficiencies and tracking remediation projects to completion
  • Deep interest in and affinity for tracking local, national and international media
  • Ensures compliance with corporate and global Roche and Diagnostics standards (e.g. Roche and Diagnostics Core, IT Project Methodology, CSV rules & guidelines)
  • Work with various groups to present findings and recommend remediation ideas
  • Draft Security Policies for the various compliance requirements and back up Lead Audit Analyst for Change Control
  • Advise and work with groups impacted by process & policy to resolve appropriate policy for future projects / new systems
  • Project management knowledge

Experience For Senior / Compliance Audit Manager Resume

  • Participate in the broader Information Security governance process with Nuance Corporate and Divisional Security leaders, including risk management & mitigation, corporate compliance and policy management & compliance
  • Lead internal and external audits, facilitate customer-driven and 3rdparty security audits/assessments
  • Ensure client and vendor contractual compliance is maintained
  • Provide pre-sales support for Enterprise products/services
  • Identify New Technologies / Automation Methods for Compliance Performance & Management
  • Conduct Ad-Hoc Process / Efficiency Reviews as needed
  • Support M&A and ITGC integration activities as needed

Experience For Senior Compliance / Audit Spec Resume

  • Proactively assess the availability, integrity, confidentiality, and privacy of all customer and business data
  • Review risks, threats, vulnerabilities and the development of remediation plans in partnership with Legal, IT, Operations and other relevant groups
  • Lead compliance processes and reviews
  • Understand policies and procedures that drive the Sanctions programs
  • Schedule and run meetings with stakeholders to address issues/CAPs
  • Assist in the development of Credit Suisse’s AML “risk appetite” strategy to ensure that the firm is adhering to a consistent approach with respect to the treatment of existing and prospective high-risk clients (including Politically Exposed Persons)

Experience For Senior Compliance Partner Resume

  • Assist in maintaining the firm’s Undesirable Client Program to track individuals and/or entities with which the firm chooses not do business
  • BA or above in a related field (e.g., International Relations; Political Science; Journalism; Law; History; etc.)
  • GRC software administration
  • Prepares activity reports
  • 50 % of time
  • 40 % of time
  • 10 % of time
  • Lead compliance efforts in industry standards and regulatory compliance with ISO 27001/27002, Cloud Security Alliance, GLBA, SOX, PCI DSS, NIST, SOC, HIPAA, HITRUST, Medicare Part D, FISMA, FedRAMP, etc

List of Typical Skills For a Senior Compliance Resume


Skills For Senior Compliance Portfolio Manager Resume

  • Experience using vulnerability scanning and application security solutions in an enterprise environment (e.g., Qualys, Nessus, OpenVas)
  • 3 – 5 years of experience running SOX, PCI, GDPR or equivalence audits
  • Experience in healthcare data analyst position
  • Five+ years of professional legal/compliance experience in a law firm or in-house
  • ; Information Systems audit or related Information Security experience
  • Experience in a variety of common platforms, such as, SAP, HCM, Windows, Active Directory, UNIX, Linux, Network, Databases
  • Complete the various quarterly and annual audits and security validations

Skills For Senior Compliance & Privacy Analyst Resume

  • Document audit results and retain audit evidence in an organized easy to understand manner
  • Strong knowledge of Change control policies & procedures and their potential ramifications
  • Comfortable working in a fast-paced environment, independently, as well as collaboratively, and operating under tight deadlines
  • Conducts employee and customer facing conference calls, leads on and offsite visits, and responds to security questionnaires
  • Presents and discusses Rackspace security controls, security products, and professional services portfolio with existing or potential customers
  • Network security & related applications, tools, logging and solutions
  • Possession of the following certifications highly desirable: CCEP, CCEP-I
  • Knowledge of Consumer banking business

Skills For Senior / Compliance Audit Manager Resume

  • Proactively participates in developing cross-functional knowledge of business operations
  • Deep understanding of IT principles and knowledge of all quarterly audit requirements and domain experts
  • Work closely with customers and vendors to ensure operational and reporting needs are met
  • Escalate potential sanctions-related compliance gaps, issues or emerging risks to independent control functions and implement mitigation process as necessary
  • In depth knowledge of MS Excel’s more advanced functions
  • This role has a regulatory responsibility for supervision of Advisors and Branch Managers, many of whom view themselves as independent
  • Maintaining processing expertise, broad knowledge of both MFDA and IIROC rules and keeping current with our systems and products in our rapidly changing environment
  • Knowledge of data sources, HR, AD and Asset Management
  • Facilitates customer audits without guidance or supervision

Skills For Senior Compliance / Audit Spec Resume

  • Can create professional collateral for presentations and briefings
  • Collaborates with internal partners to investigate customer complaints, issues and requests
  • Develops and maintains positive relationships with Rackers, customers, and partners through open, timely, transparent, and continuous communications
  • Provides technical security recommendations to customers based on their security and business needs
  • Manages enterprise controls in a global multi-data center environment
  • Maintain security compliance in a healthcare organization (PCI, HIPAA, and SOX)

Skills For Senior Compliance Partner Resume

  • Compliance to regulation and standards
  • Familiarity with Sanctions policy
  • Highly detail-oriented, resourceful and flexible
  • Familiarity with relevant frameworks and methodologies related to SOC reporting (SSAE-18, CSAE 3416, ISAE3402, SOC 1, SOC 2, and SOC 3), ICFR, SOX 404, COBIT, COSO, HIPAA, Hi-Trust, ISO 27001, NIST, IT general controls, application controls, and transaction processing
  • Facilitates teamwork by contributing to team efforts, sharing responsibility for team results, and exhibiting a positive attitude

Skills For Senior Compliance Business Project Manager Resume

  • Advanced ability in analyzing risk and designing efficient control to minimize risk
  • Review marketing materials and other external-facing communications for potential compliance issues (as applicable)
  • Exposure to quality and manufacturing environment
  • Set strategic direction for compliance initiatives and approach and engage with executive leadership in establishing implementation and operational plans
  • Train and educate users across all levels of the organization regarding their compliance and regulatory obligations
  • Develop communications cadence and key reporting metrics for business leaders
  • Monitor for emerging risks and industry fines/penalties; conduct “Could this happen at Flagstar?” analyses

Skills For Senior Compliance & Controls Analyst Resume

  • Communication of the company’s security stance, including compliance issues, risks, and incidents to upper management and customers
  • Coordinates Management Review and Quality Review sessions in accordance with internal procedures. Issues meeting minutes and follows-up on status of activities
  • Familiarity with privacy laws, GDPR data protection/security regulations, and frameworks
  • Demonstrated English language proficiency in both written and oral form required, as are excellent communication skills. Multi-lingual skills and proficiencies are highly desirable
  • Establish, maintain, and lead the compliance function across all business units, countries, and functions

Skills For Senior Compliance Policy Data Analyst Resume

  • Manage audit execution and coordination across multiple products and services
  • Own and manage the GRC toolset and implementation
  • Stay abreast of BU processes and applicable consumer compliance laws and regulations
  • Review new products/services for potential compliance concerns; prepare risk assessments
  • Be accountable for behaviors as described in Roche’s Core Competencies
  • Manages the facility internal audits program. Coordinates Divisional, Corporate, FDA, ISO, and compliance audits
  • Reviews complaint and failure investigations of our products for adequacy, completeness and compliance to regulations and internal procedures

Skills For Senior Compliance Audit Analyst Resume

  • Manages CAPA System activities to assure adherence to internal procedures and regulatory requirements
  • Analyzes Quality System data sources to identify adverse trends and critical issues. Elevates appropriately to Management for action
  • Participates in the development and preparation of project plans for quality system activities
  • Ensures compliance with company regulatory compliance programs/procedures
  • Maintains up to date information of new laws and regulations and keep management informed on any changes and their effect in operations. This includes the review of reports received from external sources such as: G.M.P. letter, FDA reports to implement corrective actions
  • Reports any observed or informed process and/or product non-conformities to the Supervisor for action and resolution
  • Complies with all the requirements in the operational procedures at the area of responsibility in order to meet the requirements of all applicable Quality System Regulations (e.g.: FDA Part 820 Quality System Regulation, ISO 13485 Quality Standard, R-PAL (Japanese QSR’s)

Skills For Senior Compliance Project Lead Sanctions Resume

  • Acknowledge and maintain commitment with the EHS Policy
  • Participate in the development of EHS improvement projects
  • Participate actively in the EHS programs to achieve the objectives and targets defined for the area
  • Analyzes current business practices, policies and procedures to ensure compliance with appropriate laws, regulations, and corporate policies. Offers recommendations for improvement as regulations change
  • Effectively drafts, deploys and communicates compliance policies and practices to internal business teams
  • Collaborates and fosters relationships with internal business associates and becomes a value-added partner
  • Maintains incident log of all compliance reports, inquiries and disclosures
  • Partners in the development, deployment and maintenance of compliance programs including, Anti-Bribery and Corruption, Antitrust, Export Control, OFAC and Third-Party Due Diligence
  • Manages the company hotline complaints by preparing responses to reporters and assigning cases to internal investigator(s), if warranted

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