Specialist, Compliance Resume Sample
Asia Fahey
144 Stroman Views,
Detroit,
MI
+1 (555) 521 6870
Work Experience
Specialist, Compliance
05/2017
-
PRESENT
Philadelphia, PA
- Monitoring of legal and regulatory changes
- Maintenance of the internal policy portfolio
- Planning and performance of desk reviews
- Internal and external compliance reporting: Board of directors. Group reporting, Annual Compliance Report to the Regulator (CSSF)
- Professional experience in Compliance regarding investment fund supervision law is considered an asset
- Fluent German and English, French is considered an asset
- Develop and implement compliance communication and to reinforce a positive compliance culture within the company
Specialist Compliance
07/2011
-
11/2016
Houston, TX
- Manage compliance related communications and responses to external stakeholders, including from sustainability ratings agencies, auditors, enforcement authorities and key investors
- Implement a global compliance training curriculum for all employees that incorporates classroom, workshop and online trainings
- Establish methods for measuring the effectiveness of the training program and drive above target completions globally
- Further develop and implement the GfK compliance incident response process, including by managing a system for triaging, documenting, and processing allegations and concerns
- Partner with Regional Compliance Managers to integrate compliance policies into business practices, and implement appropriate mechanisms to respond to employees seeking guidance
- Manage global up-to-date records of compliance KPIs to be able to assure the Management and Supervisory Boards as to the effective operation of the GfK Compliance Management System
- Interact with the German and European works councils on compliance policies, standards, and other topics and ensure company compliance with workplace laws and company agreements
- Postgraduate business or compliance management qualifications would be viewed advantageously
Senior Specialist, Compliance & Risk Mgmt
12/2008
-
02/2011
Philadelphia, PA
- Initial relevant work experience, including legal, compliance or finance experience with demonstrable achievements in a regional or global environment
- Fluent in English, additional language skills including German would be advantageous
- Undertake complex tasks, requiring specific compliance knowledge and a commercial mindset
- Drive the internal acceptance of changes in existing practices and adoption of new standards and concepts
- Identify and assess IT related risks and control weaknesses and coordinate with the BU teams to define appropriate remedies and ensure timely delivery of solutions
- Stay abreast of compliance and assessment trends within the Company, Legislators, Suppliers and regulatory bodies
- Understand and analyze controls, policies, and how these controls and policies are implemented across Disney’s various segments and entities
- Document and demonstrate coverage deficiency’s, gaps/weakness, and efficiencies against defined policies and standards
- Several years of experience in Compliance, Audit, or Control functions
Education
Strayer University - Chesterfield Campus
2002 - 2007
Bachelor's Degree in Business
Professional Skills
- Desired personal attributes include strong leadership skills, negotiating, influencing, communication and problem solving skills
- Superior collaboration skills and communications skills
- Significant experience in leading cross-functional project teams with limited direct line responsibility and exceptional project management skills
- Excellent analytical, communication, planning, and organizational skills
- Strong project management skills including six-sigma and/or PMP
- Good analytical skills, good ability to prioritize
- Have excellent computer skills and knowledge of MS Office applications
How to write Specialist, Compliance Resume
Specialist, Compliance role is responsible for software, finance, securities, training, security, reporting, design, research, digital, insurance.
To write great resume for specialist, compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Specialist, Compliance Resume
The section contact information is important in your specialist, 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 Specialist, Compliance Resume
The section work experience is an essential part of your specialist, 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 specialist, 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 specialist, compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Specialist, Compliance resume experience can include:
- Review large volumes of information thoroughly and efficiently with attention to detail, while also able to provide a high level overview of key points suitable for communication to senior management
- Experience in performing IT Risk Identification, Assessments, Treatment, Prioritisation and advisory
- Experience on similar tasks in an international company. Solid knowledge on
- Prioritize and focus on IT risks that affect the highest priority risks in the division
- 1 years’ experience as an Engineer with aircraft systems/components or related experience
- Providing risk-based input for effective decision making on resource & investment allocations
Education on a Specialist, Compliance Resume
Make sure to make education a priority on your specialist, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your specialist, 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 Specialist, Compliance Resume
When listing skills on your specialist, 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 specialist, compliance skills:
- Excellent written and verbal communication skills in English including the ability to communicate complex issues and proposed solutions in an effective manner
- Demonstrated skills working with various IT technologies and services
- Solid working knowledge of Risk Management and Cybersecurity tools & processes. Strong background working in a regulatory/compliance environment
- Communicates clearly and effectively with staff on compliance reporting requirements, ad hoc requests, and other communiqués
- Deep understanding of multi-cultures in the region and able to effectively work with various stakeholders
- Exceptional and proactive organizational, project management and critical thinking skills
List of Typical Experience For a Specialist, Compliance Resume
1
Experience For Specialist Compliance Resume
- Support the implementation of the compliance program, processes and systems in the region EMEA. Serving as a compliance business partner for Alexion’s EMEA providing business, ethics and compliance advice and training to enhance business operations
- Assist in the ongoing development, implementation, and administration of Lincoln’s annuity suitability program. Identify, research and resolve exceptions with business partners and service providers
- Consistently demonstrate high standards of integrity by supporting the College’s mission, vision and values and adhering to institutional policies
- Attend/provide necessary training’s and other meetings to support effectiveness within the position as required
- Partner with global IT Risk Management and Security functions to perform IT security risk identification, prioritization and mitigation
- Driving adherence to Software Development Life Cycle (SDLC)
2
Experience For Data Specialist Compliance Data-evanston Resume
- Performing analysis to determine gaps in the security controls
- Working with the division to ensure laws, regulations, policies and key controls are satisfied
- Ensuring the division creates Business Continuity Plans for the most critical systems
- Internal Audit (including SOX 404 Testing) Monitoring and Response Guidance
- Support the team: Assist with information gathering to conduct and complete audits; assist in planning activities to promote organizational integrity
- Work with internal Information Technology to maintain processes for data extractions and POS screening needed for compliance testing
- Track new laws and regulations and changes to existing laws and regulations and communicate impact to internal business clients
3
Experience For Senior Specialist, Compliance & Risk Mgmt Resume
- Enable sound decision-making: Collect data and ensure accuracy; develop reports and follow up with stakeholders
- Conduct research of federal securities laws and state insurance laws. Prepare 50 state law surveys as needed
- Review customer correspondence for compliance with applicable rules and regulations
- Support regulatory and/or internal compliance examinations and inquiries
- Provide compliance support for new business, sales delivery and annuity product development
- Collaborate with students, staff and faculty to provide cross-functional support in the Registrar’s Office
4
Experience For Specialist, Compliance, Records & Technology Resume
- Strengthen relationships: Establish and maintain communication with stakeholders and team members; understand needs, resolve issues, and meet expectations
- Serves as an expert on IT Security and Compliance policies. Maintains current state awareness and understanding of internal and industry practices relative to IT security & compliance. Knowledgeable of evolving trends, industry citations, etc
- Support and improve the MSD security posture in the region including emerging and high-growth market such as China, Korea, and Japan by managing the risks to an acceptable level
- Hands-on experience with computer networking, databases, or software development
- Demonstrated ability to work independently and as part of virtual teams in a fast paced environment
- Familiarity with advanced/emerging technology trends
5
Experience For Specialist, Compliance & Ethics Resume
- Drive Cybersecurity Awareness program and adoption
- Partner with Divisional IT Leadership Teams
- Collaborate with Digital Shop Floor and Enterprise Lab Platform leaders to mature the Cyber Security posture for both platforms and introduce security by design thinking into the Platform roadmaps
- Guide Divisional IT Teams in the compliance of company policies, procedures and external regulations
- Follow-up of divisional audits in coordination with the division
- Manages and drives projects independently
- Develops project plans, organizes and conducts project meetings
6
Experience For Specialist Compliance, Broker Dealer Resume
- Tracks and reports project progress against agreed milestones
- Takes corrective actions if needed
- Prepares presentations for Compliance Leadership and Executive Team Member
- Work with external investigation and data review vendors (e.g. LexisNexis and Navigant) to maintain processes for transmission of data
- Monitor the results of those data submissions to determine if and when to consult with the Compliance Officer about concerns, in regards to a new or existing vendor or customer relationship
- Act as administrator for the technology solutions, including managing user accounts and monitoring activity
- Perform IT risk advisory and assessments for divisional stakeholders, their vendors and other 3rd party collaborators. This includes working with the IT organization and peer risk organizations (e.g. Privacy, Physical Security and Human Resources) to identify MSD IT Risks globally and to provide consultative services to assess and prioritize those risks
List of Typical Skills For a Specialist, Compliance Resume
1
Skills For Specialist Compliance Resume
- Three to five years experience relating to regulatory requirements or similar experience
- Work effectively with others and all levels of management
- Experience implementing systems utilizing SDLC methodology in a regulated environment
- Experience in working in multiple disciplines within the IT organization including both infrastructure services and client account management and delivery
- Train sales team in understanding Accuity’s products, and delivering good product demonstrations
2
Skills For Data Specialist Compliance Data-evanston Resume
- Recommend and assist in the implementation of system and procedural changes that would enhance effectiveness and efficiency of the trade monitoring programme
- Solid understanding of Data management, governance and the protection of key business information assets
- Previous experience is a paralegal or legal intern capacity
- Hands-on experience with computer systems and security tools
- Demonstrated ability to work independently and as part of virtual teams in a fast-paced environment
- Knowledge and experience of government healthcare laws, regulations, and standards, particularly Medicare, Medicaid, and Privacy and Security regulations
3
Skills For Senior Specialist, Compliance & Risk Mgmt Resume
- Professional experience
- Monitoring Geoscience contractors to ensure they are complying with a safe system of work and following the principles of any current standards certifications
- Existing positive relationship with FAA
- Understanding of applicable laws and regulations
- Understanding on laws and regulations relevant to a global life sciences organization (21CFR11, HIPPA, Sarbanes, PCI-DSS, Safe Harbor)
4
Skills For Specialist, Compliance, Records & Technology Resume
- Provide operational support to site teams through coaching and mentoring
- Knowledge of CFRs, Airworthiness Directives (ADs), SMS and other applicable regulations pertaining to aircraft maintenance, repair and engineering
- Broad knowledge of computer networking, databases, directories, operating systems and application development practices
- Responsible for oversight, supervision and operation of electronic trade monitoring surveillance system for the broker-dealer
- Prepare clear and organised trade monitoring work papers to document and support work performed and conclusions reached
- Treasury Compliance and NTS LLP BU management and provide timely follow-up on outstanding issues
- Knowledge of wind industry and understanding on business operation
- Be customer-oriented in managing communications and issues
- An awareness and general understanding of government restrictions on certain transactions
5
Skills For Specialist, Compliance & Ethics Resume
- Thorough understanding of IT systems, SDLC principles, and quality practices
- Confident in working independently and in close collaboration with team members
- Implement various global initiatives of Mylan’s Office of Global Compliance program
- Provide compliance support and advice to all business operations across the globe in support of the daily activities of the Office of Global Compliance
- Assist with writing and support the development and communication of new Company policies and procedures, and assist with the enhancement of existing Company policies and procedures where appropriate
- Assist with identification of compliance training needs, support development of new and enhanced compliance training programs, and conduct training of Mylan personnel on a wide variety of compliance topics
- Create and continuously improve various compliance and business process maps that detail existing and revised processes to help ensure compliance with applicable laws and regulations
- Assist with investigation of compliance-related matters as appropriate, in close collaboration with Compliance leadership, and responsible business and function leaders (e.g. Legal, Human Relations, Quality Assurance) and other personnel
6
Skills For Specialist Compliance, Broker Dealer Resume
- Assist with project administration to document, track and execute various OGC projects and initiatives
- Stay apprised and communicate legal and regulatory changes and industry best practices regarding compliance and strive to implement continuous enhancements to the company’s compliance program accordingly
- Understanding of regulatory governing bodies such as PCI, SOX, Basel, OFSI, FRB, etc
- Advanced and thorough understanding of one or more technology platform in use at TD Bank
- Expert knowledge of Bank, technology and risk standards (e.g., infrastructure, architecture, processes, applications, Cobit, COSO, NIST)
- Unix/Linux; Windows; Distributed or Mainframe database technologies; Middleware technologies such as EBX, Websphere, MQ; Active Directory; Network Firewalls, Network Security , Cisco Management Systems; Monitoring Tools, Logging and Monitoring systems; Patch Management for both workplace and server systems
7
Skills For Assoc Specialist, Compliance Resume
- CISSP, CISA or CISM an asset
- Maintains audit databases and associated reports
- 29 hrs a week
- Conducts audits to assess departmental compliance with CMS requirements and accreditation standards
- Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls to the business
- Continually challenge NTS LLP BU partners through ongoing dialogue and discussion to identify opportunities to implement more effective compliance-related policies and procedures
- Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to EMEA Head of Capital Markets &
8
Skills For IT Specialist Compliance & Controls Resume
- Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to EMEA Head of Capital Markets & Treasury Compliance and NTS LLP BU management and provide timely follow-up on outstanding issues
- Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls to the business. Continually challenge Capital Matrkets BU partners through ongoing dialogue and discussion to identify opportunities to implement more effective compliance-related policies and procedures
- Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to EMEA Head of Capital Markets & Treasury Compliance and Capital Markets BU management and provide timely follow-up on outstanding issues
- Job-related experience as a financial institution internal auditor, compliance officer, or compliance auditor
- Experience in healthcare compliance, privacy
- PMP, ITILv3, CPA, CIPT
- Rudimentary knowledge of internal audit theory, strategies, and techniques
9
Skills For Specialist Compliance, Capital Markets Resume
- Master in Management or Technology
- Be able to generate reports from PeopleSoft
- Collaborate well in a matrix environment, ‘enterprise leader’
- Technology roadmap development and implementation
- Manage through complexity and ambiguity
- End to End mindset – a relentless ability to connect people, processes and information
- Awareness of relevant industry business, information and technology trends, in and out of pharmaceutical industry (desired)
- Knowledge of American Airlines (AA) Technical Operations policies and procedures
10
Skills For Review Specialist Compliance & Operational Risk Framework Resume
- Knowledge of human factors and the impact to safety
- Conduct and review technical research of the laws and government communications from various countries with supervision
- Aptitude sufficient for interaction with internal and external technology providers
- Relevant certification credentials are desired such as CISA, CISM CRISC, CISSP, GIAC,
- IT background in infrastructure or enterprise systems environment
- Professional Certification: CIPT, CISSP, CRISC, CISM, CGEIT is highly desired
- Prepare work papers and documentation in conformance with the firm’s quality control standards
- Assists with the creation of policies and procedures related to compliance topics that impact the company’s operations
- Research federal and state laws and case law, and prepare written summaries of the research
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