Senior / Compliance Officer Resume Sample

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Lavina Zemlak
9966 Aditya Drive,  New York,  NY
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Work Experience

Senior Compliance Officer, Global Markets
07/2017 - PRESENT
Houston, TX
  • Developing and enhancing metrics to measure the Campaign’s success
  • Support the Senior Manager in executing effective, customized, and scalable compliance oversight programs in the Canadian Business Banking business consistent with TDBG Compliance Standards, to detect and mitigate significant regulatory violations and breaches of internal policies and procedures relating to regulatory requirements, using a risk based approach
  • Support regulatory Compliance Department testing and oversight programs
  • Assess requests relating to outside directorships or business activities by Canadian employees of Scotiabank’s institutional division and coordinate approvals with the Director Control Room or Senior Management, as needed
  • Update the issuer database with disclosures required to be added to research prior to publication related to investment banking activities and service for fee, the Bank’s ownership of securities and other potential conflicts of interest
  • Participate in developing, maintaining and implementing improvements to the firm’s compliance policies and procedures
  • Assist in ongoing risk assessments to ensure compliance policies and risk controls are operating appropriately
AVP Senior Compliance Officer
02/2012 - 01/2017
Houston, TX
  • Attain proficiency of the Bank’s Compliance Reporting Tool (Accelus) in order to establish Working Papers for 2nd Line Compliance group outcome testing
  • Input, tracking and resolution of Compliance Issues (i.e. track emerging risk)
  • Elevate high profile or high risk cases to the National Director, Compliance and AML/BUCO and LOB management to ensure visibility and prompt resolution
  • Support with review of key performance indicators to ensure requirements of LOB policies and programs are maintained at a level commensurate with regulatory expectations
  • BPICI National Office Team
  • Regional Directors, BPICI
  • Regional Compliance Managers
CIB Senior Compliance Officer
11/2005 - 11/2011
Detroit, MI
  • Corporate Audit, Legal, Risk
  • WM Compliance (2nd Line Compliance)
  • Investment Funds Group
  • Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls
  • Elevate high profile or high risk cases to the Chief Compliance Officer, PB/RSTC, and LOB management to ensure visibility and prompt resolution
  • Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Compile and analyze compliance data from a variety of sources and identify observations of trends and recommendations to optimize data
  • Execute appropriate testing and analyze key performance indicators to ensure requirements of the PB/RSTC policies and programs are maintained at a level commensurate with regulatory expectations


Kaplan University - Council Bluffs Campus
2000 - 2004
Bachelor's Degree in Business

Professional Skills

  • Strong critical thinking, organizational and problem solving skills
  • Strong interpersonal and business communication skills with an ability to translate rule requirements into practical working solutions
  • Excellent oral and written communication abilities that include well developed listening and negotiation skills
  • Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness
  • Excellent oral and written communication skills in German and English; any additional language would be an advantage
  • Highly developed writing, drafting and reporting skills
  • Superior leadership and consulting skills

How to write Senior / Compliance Officer Resume

Senior / Compliance Officer role is responsible for reporting, research, trading, finance, credit, securities, training, litigation, accounting, equities.
To write great resume for senior / compliance officer job, your resume must include:

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

Contact Information For Senior / Compliance Officer Resume

The section contact information is important in your senior / compliance officer 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 Officer Resume

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

Representative Senior / Compliance Officer resume experience can include:

  • Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to the Chief Compliance Officer, PB/RSTC, and provide timely follow-up on outstanding issues
  • Validate that issues identified through compliance monitoring and review processes are promptly addressed. Provide guidance to less experienced Compliance team members in developing and implementing solutions
  • Enhanced project management skills and experience leading a large, complex, global project
  • Collaborate and liaise effectively with key business stakeholders, including Legal, Corporate AML, Privacy, Operations and Technology, and Compliance peers
  • Experience in financial services with a good understanding of AML relevant business domains
  • Proven leadership ability and track record for developing and executing strategy and project plans

Education on a Senior / Compliance Officer Resume

Make sure to make education a priority on your senior / compliance officer 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 officer 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 Officer Resume

When listing skills on your senior / compliance officer 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 officer skills:

  • An understanding of the Scotiabank organizational structure, risk management structure, operational procedures and the business activities, products and services offered by the business units
  • Proactive and motivated, with demonstrated consensus building skills
  • Deliver on priorities under tight deadlines
  • Preparing and submitting insider trade reports for reporting insiders of the Bank on the System for Electronic Disclosure by Insiders, and
  • Monitoring employee personal trading,
  • Reviewing and recommending approval of employee outside business activities and outside directorships to management, as appropriate,

List of Typical Experience For a Senior / Compliance Officer Resume


Experience For Senior Compliance Officer, Global Markets Resume

  • Development of written and oral communication skills
  • Experience working with a variety of control functions and businesses across the firm
  • Ensuring the Company’s compliance framework is appropriate by focusing on aligning practices with regulatory and internal standards
  • Ensuring adherence to licensing, registration and other notification requirements
  • Assisting RC RBWM leadership with resources, people, process and change management to support a customer focus business operations
  • Interacts with regulators in a positive and professional manner resulting in a cooperative working relationship
  • Helps ensures appropriate resources are in place to support the compliance needs of assigned areas. Escalates staffing concerns to Senior Management

Experience For AVP Senior Compliance Officer Resume

  • Ensures that all deliverables for reviews, analyses and regular reporting are consistently met in a quality manner
  • Ensures high quality completion of assigned projects and initiatives according to agreed timelines
  • New and existing regulations under the Bank Act
  • Assist in the development, review, and administration of Compliance training
  • Review new high-risk account relationships, including foreign accounts, for all of the firm’s five business lines
  • Board of Directors of each Wealth Management legal entity subsidiary
  • Senior management of Compliance in U.S. and Canada
  • Maintains thorough and current knowledge of regulations and business practices associated with the role (measured by direct manager’s assessment)
  • Provides effective advice, counsel and support to business and Compliance management team on matters related to identification, reporting, and monitoring of compliance and regulatory risk (measured by findings by the three lines of defense)

Experience For FIU Senior Compliance Officer Investigation Resume

  • Helps to manage an effective compliance program for areas supported, ensuring the proper escalation of matters of concern in a timely manner (measured by feedback from direct manager and senior management assessment in area(s) supported)
  • Completes assigned compliance projects in a timely and effective manner for assigned area of responsibility
  • Ensures working relationships with internal and external stakeholders are positive and professional (measured by stakeholder feedback)
  • Influences the compliance culture in a positive fashion (measured by business partner and direct manager assessment)
  • Leads by example, and fosters a positive work environment that attracts and retains qualified personnel
  • Recommends improvements to compliance policies, procedures and controls, as appropriate
  • Helps to ensure proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries in a timely manner
  • Liaise with relevant regional stakeholders within United States RBWM Business, other Global Business and Functional teams to provide RBWM expertise on all RC matters
  • Interact with regulators and industry bodies on RBWM Regulatory Compliance related matters

Experience For CIB Senior Compliance Officer Resume

  • Ensure the appropriate timely and relevant risk information is provided to Regional Head of RBWM RC and RBWM management, Risk Management Committee and RBWM Risk Committee
  • Conduct local Compliance risk assessments, testing and monitoring programmes, review new business initiatives impacting the location
  • Work with Surveillance team on the conduct of trade surveillance (in Commodities FX LM & G10), and electronic communications surveillance on Commodities, FXLM and the other above businesses
  • Advise Permanent Control team on how to go about conducting compliance reviews and controls testing of business
  • Manage ongoing adherence to regulatory obligations (e.g. Fitness & Probity requirements)
  • Support compliance reporting locally and into wider group
  • Prepare advice and provide guidance on regulatory and firm policy issues to the business and other control functions

Experience For Global Sanctions Compliance Master List-senior Compliance Officer Resume

  • Review regulations, including newly introduced laws and rules, conduct gap analyses, develop policies and procedures and provide training to ensure strong awareness and timely adherence to new regulations
  • Support management of offshored/outsourced services in line with local regulation
  • Engage with JPMorgan's clients at senior level when required
  • Work in partnership with other members of the regional/global Compliance team supporting other locations, and participate in regional/global Compliance projects
  • Exposure to and experience in a dynamic and evolving area of regulatory compliance
  • Responsible to proactively monitor the regulatory environment and obtain information regarding

Experience For Cib-senior Compliance Officer Resume

  • Partner with affiliate payment service provider’s compliance department when required
  • Exposure to senior management in Compliance and other functions, as well as senior firm leadership
  • Obligations under voluntary codes of conduct, public commitments and the Personal Iinformation Protections and Electronic Documents Act (PIPEDA)
  • Seeks clarification and interpretation where required
  • Communicates regulatory changes with the Canadian Banking business; shares accountability with the business to ensure all required business processes and controls are in place by the “coming into force” date of regulatory requirements
  • Provides oversight and advice to the relevant Canadian Banking business on the best approach to address a regulatory change as it relates to existing and new products and services, business processes, compliance programs and processes and delivery channels
  • Works with the relevant Canadian Banking business to ensure regulatory and policy matters are well understood and actively managed by assisting through answering questions, researching issues and providing recommendations, identifying and escalating execution gaps and operationalizing compliance policy requirements in a complete and timely manner
  • Perform ongoing and targeted risk-based monitoring of relevant business activities and operations

Experience For Senior Compliance Officer, Investments Resume

  • Responsible to pro-actively stay engaged with the relevant Canadian Banking business on their strategic initiatives
  • Proactively identify compliance risks and help drive the mitigation and remediation of compliance issues
  • Continue to define and document UBS’ compliance with rules, procedures and controls, liaising where necessary with business area management and other functions
  • Provide guidance and oversight to ensure the Bank’s AML Monitoring Standards and principles
  • Provide AML Monitoring subject matter expertise on non-AML driven projects and ad-hoc initiatives

Experience For Senior Compliance Officer Conduct & Culture Officer ICG Resume

  • Develop relationships with peers in other organizations in order to develop market awareness and build network of compliance professionals
  • Provide tactical support for critical new issues, as they arise
  • Reviews and analyzes new laws, regulations, guidance, and case law (collectively referred to as ‘legislation’) to identify those that might impact the business
  • Works directly with legal and compliance, and in some cases business partners, to assess applicability and impact of new or proposed legislation
  • Prepares written summaries and/or detailed requirements of legislative changes which are communicated to the businesses and used to facilitate implementation
  • Updates compliance risk system of record (Sharepoint/Orion) with new regulatory obligations to facilitate the compliance risk assessment and controls process
  • Provides input or creates reports which enable the stakeholders (e.g. senior Compliance management, LCOs, and business partners) to remain apprised of new and proposed legislation
  • Support adhoc Corporate compliance initiatives
  • Facilitates the movement of multiple strategic projects of work and manage their alignment to the unit’s goals

Experience For Senior Compliance Officer Conduct & Culture Officer Resume

  • Works with Unit’s communication team to elicit and partner with content providers to scope, plan and document customer requirements for SharePoint solutions to communicate effectively to both internal and external audiences
  • Coordinate the firm’s response to AML-related regulatory requests, examinations, and audits
  • Oversee the implementation of the firm’s Customer Identification Program (“CIP”)
  • Work with China MLRO on sanctions/CFT related initiatives and projects as necessary
  • Acting as an adviser in compliance matters to the business and support the Board of Directors and the Senior Management to enable them to control their activities and risks thereto and thus protect the company’s reputation

Experience For Senior Compliance Officer Operations & Technology Resume

  • Work closely with Regional and Country Compliance Officers to implement the Conduct Risk Program in each applicable county in APAC, ensuring that “diagnostic” discussions are held with in-country businesses and functions before the start of the Annual Risk Assessment (ARA) process as part of the Manager’s Control Assessment (MCA)
  • Help to identify methods and approaches that can be employed or adopted to enhance the firm’s culture of compliance through an ongoing analysis of any identified risks, behaviors and outcomes
  • Assists in the development of compliance testing methodologies and reporting formats
  • Close collaboration with the specialist units responsible for line or product management
  • Provides day to day interaction and support to Management
  • Focuses on short to mid term issues (e.g. monthly-quarterly)

List of Typical Skills For a Senior / Compliance Officer Resume


Skills For Senior Compliance Officer, Global Markets Resume

  • Strong team player, gravitas and strong interpersonal skills
  • Solid communications skills, a structured approach and high energy
  • Good social and interpersonal skills; and
  • Strong compliance experience in a financial institution with broad knowledge of financial regulations
  • Experience in U.S. consumer lending regulatory compliance
  • Experience in the area of Compliance Private Banking
  • Significant Compliance experience ideally from a leading asset manager / hedge fund / investment bank
  • Proven knowledge of FCA, SEC and CFTC regulations including but not limited to MiFID, proposed MiFID II, Investment Advisers Act and the Investment Company Act

Skills For AVP Senior Compliance Officer Resume

  • Professional qualifications or equivalent experience beneficial
  • Five or more years directly relevant investment industry experience, preferably with an IIROC or MFDA member firm, in a compliance role
  • Assist in the maintenance of strong regulatory relationships and communications
  • Understanding of transactional and reference data used in the AML Monitoring process
  • Advising the business on compliance and regulatory issues. For example
  • Providing compliance comments for new activities (termed NACs/TACs)

Skills For FIU Senior Compliance Officer Investigation Resume

  • Providing compliance advice on all front office ad hoc and BAU business requests
  • Working with Ireland’s Head of Compliance, deputise as required
  • Working with the Regional Sanctions Officer, performing the necessary research and query to determine the sanctions requirements in China, Asia and US/ EMEA
  • Reporting accordingly to the Board of Directors and Senior Management, resp. functional line management
  • Coordinating with all three lines of defense and central Compliance functions of Credit Suisse to manage risks and provide high quality results

Skills For CIB Senior Compliance Officer Resume

  • Drive the planning of automated solutions (data queries) to support the CBWM Monitoring Program
  • Monitor and analyze regulatory initiatives affecting the business
  • Knowledge of derivatives rulemaking promulgated under Title VII of the Dodd-Frank Act
  • Thorough knowledge and understanding of the firm’s compliance and general policies and procedures, business practices
  • Assist in the on-going maintenance and communication of Compliance Programs’ policies & procedures
  • Trader’s Training Course
  • Support in projects and internal working groups
  • Exact, careful and solution oriented working style

Skills For Global Sanctions Compliance Master List-senior Compliance Officer Resume

  • Familiarity with electronic trading of Equities, Futures and FX
  • Able to work independently adopting a hands-on approach
  • Regulatory compliance, examination and audit findings
  • Assists in reviewing, as requested, vendor services prior to contractual engagement and during the course of the contractual arrangement, including any modification with regard to the services performed or a change in product
  • Assists as required in the coordination of outreach efforts relative to Compliance procedures, regulatory, and technical/procedural updates

Skills For Cib-senior Compliance Officer Resume

  • Provides as required business unit management with adequate reporting and MIS regarding Compliance related activities and initiatives relevant to the business and its operations,
  • On an annual basis, assists with the preparation of training required by the lines of business and by Compliance. Prepares summaries on compliance with the regulation for senior management, and/or Committees/Boards or Executives as required
  • Support with the preparation/amendment of SP, FFD, AIF and continuous disclosure regulatory documents, NI 81-106
  • Act as key liaison with business partners from a service provider perspective as it relates to valuations, sub-advisor oversight, etc
  • 40%: Support BPICI as it relates to PM and Advisor Registrant Obligations (OSC, SEC)

Skills For Senior Compliance Officer, Investments Resume

  • Maintain direct communication and an effective relationship with CFPB to address current issues and develop a good understanding of upcoming requirements and trends
  • Develop and maintain proactive and productive working relationships within a broad range of stakeholders including, the Bank’s Senior Leadership, 1st Line and 2nd Line compliance teams, Legal, ERO, Operational Risk, Audit and Risk Management
  • Influence decisions of senior leadership outside of direct reporting line to ensure timely resolution of significant consumer compliance issues
  • Assist in the development of a compliance program to conduct independent testing of the Bank's Title VII and Volcker Rule compliance programs in order to monitor the business’ ongoing compliance with these rules, identify non-compliance in a timely manner and oversee remediation activities
  • Assist in the continued development of a Title VII and Volcker Rule compliance program across Scotiabank, where necessary, and help ensure compliance with the Act’s requirements and associated policies and procedures
  • Assist in the review all examination reports along with internal audit reports to ensure that the business responds with appropriate action to address any recommendations and deficiencies cited in the examiners’ reports, monitoring progress to resolution
  • Evidence reviews/monitoring and maintain in accordance with regulations and the firm’s policies and procedures

Skills For Senior Compliance Officer Conduct & Culture Officer ICG Resume

  • Conduct specific purpose compliance reviews and investigations in order to identify potential gaps, whether on a pro-active basis or as prompted by events such as client complaints, regulatory investigation, etc
  • Assist in identifying gaps in the existing compliance program and participate in developing, maintaining and implementing changes to the firm’s compliance policies and procedures
  • For changes in local Regulations, advise SSI H.O. Compliance immediately upon becoming aware of them and co-ordinate any advices required on a provincial basis to branches
  • Act as a reference source regarding applicable regulations to SSI's operations in branches. Provide support to the Bank branches and Contact Centre staff by responding to regulatory questions and supporting service to SSI’s customers
  • Act as an educational resource on compliance matters and apprise DVPs, BCOs and local MFRs of their compliance responsibilities via presentations/skill building and day-to-day contact. This activity is also to be co-ordinated with the Bank’s Regional Offices/DVPs
  • Conduct compliance reviews in an effective manner, based on an assessment of risks and the associated costs
  • Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends and potential areas of concern

Skills For Senior Compliance Officer Conduct & Culture Officer Resume

  • Assisting with the development and delivery of employee training
  • Co-ordinate and complete the branch reviews in accordance with required time-frames and schedules. Including the timely issuance of reports to branches
  • Engage in planning process for branch review program
  • Provide support to the Team Lead on an ad-hoc basis
  • Assist in the development and implementation of the branch review program
  • Develop and maintain subject matter expertise on key CBWM systems and data
  • Actively participate in business efforts/projects with regulatory impacts, and integrate regulatory compliance requirements into line of business policies, procedures, controls and training
  • As part of the monitoring process, identify compliance risk and control gaps and communicate findings to management. Propose updates to guidelines and procedures as necessary
  • Attend meetings with line of business management and representatives, as appropriate; and,

Skills For Senior Compliance Officer Operations & Technology Resume

  • From time to time engage in projects as required (e.g., ad-hoc and complex data analysis queries)
  • Identify problems and seek solutions
  • Communicate clearly and concisely on regulatory compliance issues, to external and internal contacts at all levels (utilizing most appropriate method ie, face to face, text, voicemail etc)
  • Identify and provide remediation plans for both real and potential risks on an ongoing basis associated with the Firm’s Information Barrier policies and procedures
  • Advise team members and internal clients on materiality of transactions and/or information
  • APAC FXLM and Asset & Liability Management Treasury
  • SEA Prime Services & futures business (with FXLM and rates nexus)
  • Advanced knowledge/grasp of the Irish regulatory environment

List of Typical Responsibilities For a Senior / Compliance Officer Resume


Responsibilities For Senior Compliance Officer, Global Markets Resume

  • Identifies issues, through evaluation of policies, practices, and industry guidance in order to develop and evaluate proposed resolutions and their impact on business processes and resources
  • Strong interpersonal skills, with the ability to communicate and consult clearly at all levels - business, management and other support functions
  • Strong knowledge of regulatory and compliance requirements
  • Dealing with ad hoc compliance issues and providing support to both front office and back office staff
  • Handling regulatory inquiries, examinations and audits
  • Working closely with disclosure of interest and trade surveillance teams to review and conduct investigations when necessary
  • Conducing compliance reviews; and

Responsibilities For AVP Senior Compliance Officer Resume

  • Participating in related industry practice groups
  • Drafts comment letters regarding regulatory changes and reviews letters with compliance management before distribution to affected areas of the Company
  • Experience in compliance at an SEC registered investment adviser with a strong understanding of the US securities laws, including the Investment Advisers Act of 1940
  • Assist with the drafting, periodic review and updates of Operations and Technology Compliance policies and procedures
  • Assist management with the development and delivery of compliance training
  • Independently identify, review, and clearly communicate potential issues and impact and propose solutions to various stakeholders across the Firm
  • Strategic thinker with an ability to execute
  • Knowledge of regulatory requirements in Asia Pacific region is an advantage

Responsibilities For FIU Senior Compliance Officer Investigation Resume

  • Oversee and investigate customer behaviors and/or transactions that jeopardize not only the financial reputation, but also the Institution’s prestige in the financial market
  • Provide a comprehensive understanding of the outlined requirements within the financial and Citi’s global regulations related to monitoring, detection and reporting of suspicious activities
  • Deliver assigned elements of JP Morgan’s compliance practices in particular with regards to Policies, Training and Awareness, Regulatory Management, Governance and Oversight, Monitoring and Testing and Issue Management to implement our global and regional programme locally including procedural elements
  • Working to ensure Ireland’s compliance programme is aligned to global agenda and corporate objectives and policies while addressing local needs
  • Providing day-to-day compliance advisory services to the Hong Kong / APAC Equities business regarding the Firm’s policy, relevant regulatory requirements, and industry best practice. Role focuses on Prime Services platform, which includes Delta1, execution, funding, SBL, F&O and clearing

Responsibilities For CIB Senior Compliance Officer Resume

  • Advising business personnel on latest regulatory development, new rules and regulations which affect their business. Where necessary, establishing and updating existing compliance policies and procedures
  • Identifying any compliance risks and investigating actual or potential breach of relevant rules and regulations relating to Equities business
  • Working with the global / regional Equities compliance teams to enhance standards of conducts and sharing updates on regulatory changes
  • Review new business/project initiatives
  • Perform required compliance functions in coordination with and under the direction of the Global Head of Operations and Technology Compliance

Responsibilities For Global Sanctions Compliance Master List-senior Compliance Officer Resume

  • Identify, analyse, implement and monitor regulatory initiatives relevant to Man's Operations and Technology functions
  • Provide ongoing advice to Operations and Technology Staff and other Man personnel as appropriate on regulatory requirements and Man's compliance policies and procedures
  • Assist with development and execution of the Compliance Monitoring Programme for Operations and Technology (including forensic testing, monitoring and the annual compliance review and report)
  • Background: Investment Management / Investment Banking / Big 4
  • Assistance with due diligence review of service providers, policies and procedures, resolution of compliance related matters
  • Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise
  • Deputy for the Head of Operations and Technology Compliance at relevant governance, systems and controls forums
  • Regulatory knowledge: Good understanding of financial products and global regulation relating to financial services, specifically those regulations impacting Operations and Technology divisions including but not limited to the FCA SYSC; COBs; MAR and SUP handbooks
  • Soft skills: Ability to operate at all levels within the Firm and wider industry groups

Responsibilities For Cib-senior Compliance Officer Resume

  • IT skills: Knowledge and familiarity with outlook, word, excel and in-house systems
  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)and ensure that any subordinates and line managers in area of responsibility are adequately informed
  • Ensure that changes necessitated by new or revised laws and regulations impacting the area of responsibility including changes in policy and procedural manuals are made in a timely manner Ensure that compliance issues raised by new products or operating system changes are adequately evaluated and addressed prior to implementation
  • A good understanding, knowledge and interest in securities and the financial markets, especially within the investor protection or market abuse areas
  • Helps to ensure delivery of effective compliance support on new and revised business strategies, initiatives, and projects for assigned area
  • Customer experience orientation
  • Using the Team’s specialist knowledge, to act as key advisers and collaborative partners

Responsibilities For Senior Compliance Officer, Investments Resume

  • Cultural sensitivity and ability to thrive in a fast-changing environment while demonstrating optimism and agility in the face of challenge and change
  • A varied role in the Compliance Reviews team, which is responsible for conducting compliance reviews for Luxembourg including its branches/locations in Europe
  • Provide technical assistance training information and analysis to subordinates and line compliance personnel
  • Propose corrective action plans keep Group/Division executive informed and involved
  • Travel to other locations if and when required
  • Successful completion of relevant Canadian Securities Institute (CSI) securities industry courses
  • Superior knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research

Responsibilities For Senior Compliance Officer Conduct & Culture Officer ICG Resume

  • Self-starter and proactive problem solver, with ability to make judgments, determine next steps, and own simultaneous execution of multiple work streams and projects from inception to completion
  • Over 8 years direct experience in regulatory or Equities/PB compliance with broad knowledge of listed and OTC equities products, including cash equities, equity derivatives (plain vanilla and exotic), futures and options, etc
  • Able to act decisively and independently in situations requiring quick analysis ​​
  • Extensive knowledge of CRA and lending laws and regulations
  • Knowledge on the disclosure of interests (DOI) requirements in Hong Kong and preferably in other APAC countries
  • Strong ability to analyze, communicate, and make recommendations effectively regarding CRA performance and complex laws and regulations to line personnel and senior management

Responsibilities For Senior Compliance Officer Conduct & Culture Officer Resume

  • A BA or BS is required and professional CRMC certification is highly desirable
  • Conduct internal compliance trainings
  • Support in development and review of policies
  • High sense of responsibility and able to work independently
  • An ability to train staff at all levels on the technical compliance requirements
  • As appropriate to the role, ensures alignment with regulatory requirements, the Compliance FIM, HNAH’s Enterprise Compliance Policy and Program, the CRMP Manual, HNAH’s BSA/AML Policy, other Group policies and all related policies and procedures

Responsibilities For Senior Compliance Officer Operations & Technology Resume

  • Communicates control weaknesses to other group leaders and business management in accordance with issue escalation procedures
  • Derivatives Fundamental Course
  • MBA/Juris Doctorate desired
  • Travels to Europe (10-25%)
  • The ability to perform in a complex environment with many stakeholders
  • APAC Commodities Business
  • Branch Managers Course

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