Supervisor, Compliance Resume Sample

5.0
8 votes
Jaclyn Donnelly
3036 Shany Plain,  Los Angeles, CA
+1 (555) 928 5682

Work Experience


Supervisor Compliance
03/2016 - PRESENT
Philadelphia, PA
  • Assist in the drafting, enforcement, monitoring and provision of advice on Manulife’s compliance framework, compliance program, policies and procedures manuals
  • Professional appearance and demeanor to represent the company’s image
  • Ensure the company’s compliance regulations (SOX compliance) are being adhered to
  • Run and distribute various reports to the field which include expiring I-9’s and non-compliant I-9 employees
  • In a supervisory capacity with a group of 10+ staff
  • SAP & Accounting Systems
  • Strong Ability to testify and represent the State of Arizona’s interests in various legal proceedings, prioritize and triage case work necessary to achieve final dispositions,
  • Evaluate the performance of subordinates using quantitative and observed qualitative criteria
Supervisor of Real Estate Compliance
09/2011 - 10/2015
Philadelphia, PA
  • Conducts regular performance reviews with the AD Compliance Team taking actions to improve under-performance
  • Ensures controls are established for AD's that are adequately and effectively maintained
  • Monitors the Federal Register and FAA Website for AD's, Notices of Proposed Rulemaking (NPRM) and Special Airworthiness Information Bulletin
  • Assessing project team members, ensuring the best use of people and resources within the AD Compliance Group and follows up to verify compliance in accordance with the SWA MPM
  • Assists AD Project Leads in evaluating and understanding documents to determine and ensure compliance with specific AD's
  • Reviews compliance documents for accuracy and completeness
  • Reviews Alternate Means of Compliance requests drafted by Project Leads prior to submittal to FAA
  • Ensures Pre-AD Set-Up meetings are being held and that all parties are in attendance. Ensures meetings are held in a consistent manner
  • Provides supervision and training for the AD Compliance Department
Asst to Supervisor of Lease Admin & Compliance
07/2006 - 08/2011
Dallas, TX
  • Maintains current knowledge and acts as a subject matter expert for rules and processes for social security number verification, and for U.S. Form I-9 Employment Eligibility Verification requirements. Creates and oversees internal processes to ensure compliance with government requirements
  • Oversees creation, organization and maintenance of partner files in electronic and hard copy formats as required; develops and implements processes for partner records retrieval and handling that meet corporate and legal requirements
  • Develops and manages unemployment insurance processes to protect tax and unemployment insurance liability, including audits and unemployment claims analysis
  • Builds strong relationships with key customers of the team and serves as a primary contact to key
  • Conduct and support compliance investigations under the supervision of the Compliance Cluster Head and ensure that each investigation is properly conducted and documented as per the process
  • Support the Compliance Cluster Head at preparing and managing the assessment, mitigation planning and mitigation status tracking of compliance risks
  • Provide local compliance program owners with advice and support on the implementation of the affiliates' risk mitigation plan
  • Ensure with delegates of local compliance program owners that accurate training records are maintained
  • Support the Compliance Cluster Head at the identification of opportunities to raise employees’ awareness and the understanding of compliance and integrity by targeted communication, as well as in implementing communication and training initiatives

Education


DeVry University's Keller Graduate School of Management
2001 - 2005
Bachelor's Degree in Finance

Professional Skills


  • Excellent guest service skills; ability to adhere to GuestPath’s Universal Service Standards
  • Upervisory or strong team leadership experience
  • Proven and progressive audit, compliance, financial services operations experience or equivalent
  • Four or more years’ experience providing direct supervision, managing and directing the daily activities of a team
  • Progressive experience in accounting, planning and financial analysis
  • Management experience required
  • Manage staff; coaching and mentoring capabilities

How to write Supervisor, Compliance Resume

Supervisor, Compliance role is responsible for travel, research, database, training, finance, government, taleo, outlook, education, accounting.
To write great resume for supervisor, compliance job, your resume must include:

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

Contact Information For Supervisor, Compliance Resume

The section contact information is important in your supervisor, 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 Supervisor, Compliance Resume

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

  • Ensure direct report(s) are following standards, processes, methodologies, and internal controls to support organizational objectives and mitigate risk
  • Review analysts work product and identify/implement coaching and development needs of the team
  • Develops, maintains, and ensures efficient processes for managing teammate licenses and certification compliance and other responsibilities as assigned
  • Conducts formal and ad hoc department and Village training
  • Maintains contact data in call-tracking system
  • Minimizes license database issues due to errors and missing information

Education on a Supervisor, Compliance Resume

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

When listing skills on your supervisor, 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 supervisor, compliance skills:

  • First line reviewer/approver of analyst case recommendations, including agent escalation actions and consumer actions (including Suspicious Activity Reports)
  • Review and update strategy pertaining to the Enhanced Monitoring Program for high risk countries
  • Provides ongoing, timely communication to department teammates on goals and objectives, system updates, issues, and activities impacting job responsibilities
  • Assists manager in developing improvements to Licensing and Certification processes
  • Eals with confidential information and/or issues using discretion and judgment
  • In-depth knowledge of Anti Money Laundering, Counter Terrorism and Fraud Prevention policies, procedures and regulatory requirements

List of Typical Skills For a Supervisor, Compliance Resume

1

Skills For Supervisor Compliance Resume

  • BA/BS in business, finance, law enforcement, legal studies or related field or equivalent work experience in Financial Services, Law Enforcement, Banking or a related area
  • Ensures team is operating in compliance with regulatory laws and MoneyGram policies
  • Advises management of issues and concerns with licensing and certification processes; provides recommendations for improvement and implement as directed
  • Travel on company business as required (2-3 times per year)
  • Knowledge of the company’s industrial and commercial operations and technical requirements is desirable
  • Work both independently and in team-oriented contexts
2

Skills For Supervisor, DOT Pipeline Safety Compliance Resume

  • Maintains the AD Compliance database and ensure metrics related to the performance goals are readily available
  • Represents the Technical Operations Department on assignments; prepares written and oral presentations to leadership when requested
  • Provides input relative to compliance and regulatory matters
  • Implements process improvements based on feedback from the Quality Assurance (QA) Team. Periodically reviews the staff’s work to ensure that MGI is filing certain reports and/ or producing records within government mandated timeframes and to ensure accuracy of work
  • Participate in regional risk discussions
  • Identify and define regional specific risks and patterns and distribute to compliance business units
3

Skills For Supervisor of Real Estate Compliance Resume

  • Coordinate team workflow to ensure even and efficient distribution of resources
  • Provide direct management, quality-control, feedback, instruction, guidance and direction to staff
  • Manage employee times / hours
  • Hire, train, and lead a team of Compliance Analysts
  • Provide and present monthly/weekly operational metrics and results of trend analyses to FIU Management
  • Presents region specific trends to various business units on “Regional Round Up Calls”
  • Notify manager of significant investigations and SAR filings
4

Skills For Supervisor of Compliance Resume

  • Participates in meetings with Program Office and helps assess risk related to new business initiatives
  • Monitors daily activities of department workflow; provide workflow direction and respond to issues, concerns, and questions from department teammates
  • Tracks issues with process; develop solutions as needed
  • Serves as department expert in company policies, procedures, and federal and state laws and guidelines
  • Determines and establishes appropriate measurements
  • Continually evaluates and improves team processes; coordinates service with outside vendors as needed
  • Tracks and reports license and certification compliance and enforcement issues; assists in development and maintenance of procedures to ensure compliance with company policies
5

Skills For Swro Hwtr Compliance Unit Supervisor Resume

  • Creates key matrix reports to identify trends and areas of focus
  • Supervise Quality Assurance Compliance Analysts who perform quality assurance reviews in accordance with AML/CFT, applicable regulatory requirements, fraud policies, and departmental procedures within established timeframes
  • Performs the QA reviews independently or individual contributor basis where applicable
  • Maintains current knowledge of regulations applicable to the business, any business changes as well as pertinent internal regulatory policy and procedural changes, while ensuring compliance and operational risk controls are in place in accordance with MoneyGram’s or regulatory standards and policies
  • Provides insight, feedback, and recommendations into quality gaps discovered as part of the quality assurance process and ensure these gaps are communicated to appropriate management and business owners
  • Analyzes information gathered to develop recommendations for improvement and changes in current policies and procedures for continued compliance with MoneyGram’s internal Policies and applicable regulations
  • Provides training to Analysts in all concerned compliance groups to ensure processes are followed and results of research are clearly identified and documented
  • Travel Required: 30-50%

Related to Supervisor, Compliance Resume Samples

Compliance Division Resume Sample

Work Experience

  •  Regulatory Matters. Helping to manage the division’s responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR   •  Devise and implement strategic solutions with senior compliance management and other control side departments to supp...
Professional Skills

  •  Strong analytical skills, particularly jud...
  •  Computer skills: Microsoft Office Applicat...
  •  Interpersonal skills required for extensiv...
4.6
12 votes

Manager, Compliance Resume Sample

Work Experience

  •  Establishing proper controls so that all regulatory filing reporting requirements are consistently met for Pruco Securities   •  Drafting Form U5 and State termination language when a registered representative is terminated for cause or resigns while under internal review and/or reportable Internal Re...
Professional Skills

  •  Excellent verbal and written communication...
  •  Strong decision making, analysis and probl...
  •  Excellent communication, interpersonal, an...
4.5
7 votes

Research Compliance Resume Sample

Work Experience

  •  Achieve regional and global objectives   •  Develop and to implement regional and global policies and procedures   •  Participate and contribute towards discussions held by the Compliance Global Business Team for Research   •  Certified IRB Professional (CIP) or...
Professional Skills

  •  Proven management skills including priorit...
  •  Strong communication and excellent interpe...
  •  Excellent verbal and written communication...
5.0
6 votes

Mortgage Compliance Resume Sample

Work Experience

  •  Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives   •  Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills

  •  Experience working in a production environ...
  •  Pulling and Pushing: Opening and closing f...
  •  Performing transactional testing of requir...
4.9
5 votes

Team Lead, Compliance Team Resume Sample

Work Experience

  •  Communicate with lines of defense regarding information related to internal audits, KRIs and control tests   •  Participate in the resolution of identified risks   •  Research regulations to advise on application by the business unit   •  Draft and revise polici...
Professional Skills

  •  Excellent IT skills including Word and Excel
  •  Strong verbal and written communication sk...
  •  Experience of process mapping and developi...
4.8
5 votes

Audit Compliance Resume Sample

Work Experience

  •  Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes   •  Scotiabank’s Privacy Code   •  Working knowledge of the policie...
Professional Skills

  •  Considerable skill in effective verbal and...
  •  Strong written and verbal communication sk...
  •  SAS software implementation experience or ...
5.0
14 votes
Back to top