VP, Compliance Resume Sample

4.5
5 votes
Marshall Gaylord
5186 Raynor Burg,  Philadelphia, PA
+1 (555) 979 2573

Work Experience


VP, Compliance
04/2018 - PRESENT
Chicago, IL
  • Analysing complex compliance issues and developing appropriate solutions for the business vertical on a global basis to facilitate the business to meet its objectives
  • Designing, implementing and managing regulatory compliance programs within the business vertical
  • Acting as Money Laundering Reporting Officer/Nominated Officer (as required) for the business vertical
  • Liaising with management on regulatory compliance and risk matters
  • Ensuring the relevant entities have appropriate licences / authorisation / exemptions
  • Ensuring that there are processes and controls in place to maintain compliance with relevant licences
  • Ensuring that the business units have appropriate process and controls in place to comply with the 5 core compliance areas (AML, Sanctions, ABC, Ethics and Export Controls)
  • Managing necessary relevant regulatory compliance reporting and lodgements (in support of compliance programs and regulatory licences/registrations) – excluding financial and other similar lodgements
  • Oversee the tracking and escalation of open audit (internal, external) items within the business vertical
VP Compliance
05/2013 - 02/2018
Houston, TX
  • Analysing complex compliance issues and developing appropriate solutions for the business vertical in the EMEAA region to facilitate the business to meet its objectives
  • Acting as Nominated Officer (as required) for the business vertical
  • Carrying out “on-behalf of” compliance services and ensuring compliance with BIN sponsor and similar regulatory compliance obligations
  • Licensed to practice law in any state and eligible to obtain license in the State of Missouri
  • Understanding and commitment to the philosophy, mission, values and vision of Express Scripts
  • Possess Medicare expertise, with extensive prior experience interpreting and applying Medicare and Medicaid regulations as well as related regulatory and sub-regulatory and extensive experience in dealing with CMS and other state and federal government agencies
  • Possess personal and professional integrity
  • Honest and highly-ethical collaborator
  • Proactive and action-oriented; strong work ethic, achievement-oriented
VP, Compliance Operations
12/2010 - 02/2013
Chicago, IL
  • Highly effective and active communicator who works well with people at all levels
  • Strong PBM business acumen with the ability to think strategically and implement tactically
  • Compliance, audit, and management experience, including healthcare and government programs compliance
  • Demonstrated success implementing and managing compliance programs
  • Work with Compliance and Legal Departments to respond to regulatory inquiries from FINRA and SEC regarding compliance with their advertising rules as well as questions about the firm’s policies, procedures, and guidelines to ensure compliance with these rules
  • Working on the firm’s Global Disclosures of Interest project as well as assisting in the daily monitoring of beneficial ownership and short interest thresholds
  • Previous Compliance experience - ideally within an Investment Bank or broader banking environment

Education


Mayville State University
2005 - 2009
Bachelor's Degree in Business

Professional Skills


  • Your demonstrated analytical and strategic skills; strong project management and execution skills / problem-solving skills
  • Excellent analytical skills to operate strategically
  • Excellent organizational and project management skills and the ability to work independently, prioritize projects, and multi-task
  • Excellent analytical skills for analyzing information, conducting audits and reporting results
  • Works through ambiguity, both internally and externally, utilizing strong communication and problem solving skills
  • Your strong organizational and communication skills
  • Proven leadership skills to mentor and develop a team

How to write VP, Compliance Resume

VP, Compliance role is responsible for leadership, analytical, compliance, regulatory, interpersonal, research, manufacturing, reporting, trading, training.
To write great resume for vp, compliance job, your resume must include:

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

Contact Information For VP, Compliance Resume

The section contact information is important in your vp, 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 VP, Compliance Resume

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

  • Solid problem solving skills and can work independently and manage multiple stakeholders
  • Client facing, solutions focused skills
  • Proven experience in a compliance role, for example within a regulator, a regulated firm or a consultancy practice
  • Cantonese and Mandarin oral and written communication skills would be advantageous
  • Time management skills and ability to work within deadlines
  • Proven experience in a compliance role either within the FCA, the SEC, or an FCA regulated firm or a consultancy practice

Education on a VP, Compliance Resume

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

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

  • Good leadership & strong interpersonal skills
  • Leadership skills, client facing, solutions-focused skills
  • Excellent oral and written communication skills at all levels in the organization
  • Strong analytical and communication skills (verbal and written)
  • Demonstrated ability to effectively communicate across a dynamic and complex organization
  • Strong English and oral and written communication skills

List of Typical Experience For a VP, Compliance Resume

1

Experience For VP Compliance Resume

  • Strong project management skills with ability to work in a fast paced environment and juggle multiple priorities
  • Excellent time management skills with attention to detail
  • Extremely detail oriented with strong analytical, written and verbal communication skills
  • Excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or senior management partners
  • Strong talent leader with experience in development, coaching and motivating staff
  • Show wide range of analytical skills, employ structured reasoning and be prepared to work and adapt to a fast changing environment
  • Experience in reporting, analytics, and metric development; strong ability to work with Microsoft Office and various analytic and reporting tools
  • Proven experience in a compliance role within the FCA, the SEC, an FCA regulated firm or a consultancy practice
2

Experience For VP, Compliance Consulting Resume

  • Work closely with the General Counsel to operate an effective and sustainable Compliance program to support the company’s continued growth
  • Effectively communicate and escalate Chicago compliance matters to senior Compliance staff as appropriate
  • Leads with impact & influence. Establishes credibility, effectively persuades and develops others, and achieves important objectives collaboratively
  • Effectively communicate with a wide variety of people, from individual contributors to C-level execs
  • Strong ability to analyze processes with the goal of improving regulatory effectiveness
  • A lawyer with strong Canadian Banking and Wealth Management and securities law and regulatory experience
  • Communicate effectively (both orally and in writing) with senior management, senior attorneys, vendors and other third-parties, and regulators
  • Experience working with multiple stakeholders with different needs and priorities
  • Able to work effectively in a team and able to analyse issues independently
3

Experience For VP, Compliance Operations Resume

  • Developing and inspiring a strong team of compliance professionals, including several direct reports
  • Testing, audit or investigation experience related to fair lending compliance
  • Finance and operations experience including knowledge of auditing principles, auditing standards, PCAOB, and Sarbanes-Oxley (SOX) requirements
  • Strong understanding of best practices in developing policies and standards
  • Experience leading and managing an operational compliance function
4

Experience For Assistant VP Compliance Resume

  • Experience executing compliance programs, including design, implementation and oversight of controls
  • Previous Compliance experience - within an Investment Banking environment
  • Constant awareness of regulatory environment and the country each market segment operates in (Cross-border marketing guidelines)
  • Qualification in Commerce, Law or practical legal experience highly desired
  • Experience in compliance within financial services and preferably at least 5 years within asset management or wealth management
  • Serve as an experienced and reliable compliance resource for Chicago employees
  • Experience aligning organizations to successfully complete SOC II audits
5

Experience For Assistant VP, Compliance Resume

  • Professional experience working in a field directly relevant to ethics and compliance with federal, state and local laws, regulations
  • Previous experience leading an ethics and compliance function for a large multinational company
  • Oversee the evaluation and testing of management controls to ensure adequacy and effectiveness
  • Supervises appropriate risk based testing of controls to demonstrate compliance
  • Thorough understanding of, and experience with, compliance program development and maintenance
  • Continuously works on providing more effective and proactive techniques for enhancing the Compliance program
  • Advise on technical requirements of laws and regulations and perform fair lending analyses, and validate results
  • Strong knowledge of compliance risk management practices
  • Ecurities industry experience
6

Experience For VP Compliance, NPC Resume

  • Identifying, resolving, monitoring, and tracking compliance matters
  • Supervising client certifications and ad hoc reporting obligations; and
  • Overseeing trade error analysis, resolution, documentation, and internal reporting
  • Developing & implementing annual compliance report process
  • Working knowledge and understanding of drug development
  • Developing and implementing corrective action plans to resolve compliance issues
  • Helping develop guidelines to manage conflicts of interest and implement appropriate compliance policies and procedures: and
7

Experience For VP, Compliance, Licensing Resume

  • Managing a team of consultants, each with own client base
  • Working with Client Services, onboarding and the legal team to review contractual guidelines for both current and prospective clients
  • Managing and training staff in BlackRock's various Aladdin applications, trade flow process and data environment
  • Overseeing over the translation and coding of compliance rules into the system
  • Recommending operational efficiencies
  • Evaluating UDAAP risks associated with new initiatives and escalated complaints
  • As a member of the Senior Management team works alongside other executive team members in developing and executing the company’s global strategic plans
  • Regularly conduct and oversee compliance risk assessments, and auditing and monitoring efforts and refine program to address significant risks
  • Partners with Compliance Training and Outreach to design employee training on relevant compliance policies, or procedures
8

Experience For VP-compliance Oversight Data Resume

  • Knowledge / background in accounting, finance, marketing, taxation and litigation is beneficial
  • Work collaboratively and as a member of a team while empowering business leaders and colleagues and emphasizing accountability
  • Able to deliver compelling presentations to industry executives
  • Review and provide guidance to strengthen compliance-related policies, procedures, system controls, and training programs
  • Oversee preparation of quarterly fair lending data for third-party assessments and preparation and submission of Company's HMDA LAR
  • Participates in and contributes to business unit meetings as required; including executive leadership meetings and business practice committee discussions
  • Prepares reports, memoranda and correspondence for the SCO and/or senior management that assists them in describing regulatory risks and controls
9

Experience For VP, Compliance Private Client Group Resume

  • Maintain taxonomy or library of all policies and procedures relevant to compliance risks identified as relevant to the region’s business activities (whether or not these are actually owned by the Compliance function)
  • Lead APAC compliance’s involvement in the overall Firm Wide Office of Legal Obligations project
  • Work closely with management and process owners to design and monitor Tribune’s system of internal control and identify potential areas of compliance vulnerability and risk
  • Collaborate with Senior Management, business-side colleagues and others in the overall administration of the compliance control function for the Branch, including providing advice and assistance with internal control development and policies and procedures
  • Collaborate with the Head of Compliance for the Branch and the US Director of Compliance Assurance regarding Branch compliance risk assessments and testing and monitoring programs
  • Enhance and elevate overall NY Branch Compliance Program by appropriate tone-setting; proper identification and measurement of key risks; effective communication, reporting, and escalation of risks within the organization; policies and procedures; internal controls; monitoring, reporting, testing and training
  • Work with Company’s Legal department to monitor legal and contract compliance at Company (ex. data privacy laws, FCC regulations, business records, anti-corruption legislation and trade compliance) and develop sustainable program to early identify potential issue
10

Experience For VP, Compliance Manager Resume

  • Manage the Manage the Company’s Sarbanes-Oxley (SOX) program working in collaboration with Internal Audit and the control owners to ensure compliance with all applicable rules and regulations
  • Make appropriate updates to Company’s policies, programs and documents to enforce ownership and accountability within business units and streamline across the business
  • Business experience, preferably in the Financial Services or Broker/Dealer industries
  • Interact with firm’s portfolio managers, traders, Fund Administration, Legal and Operations staff as needed
  • Execute, participate in and/or manage the execution by team staff of assigned responsibilities under the bank’s compliance risk assessment programs (e.g., Corporate Compliance, BSA/AML, Sanctions, Anti-corruption, and Global Risk Assessments). Serve as the Compliance Manager’s designee to
  • Minimal 5 years expereince working for compliance area in banking industry
  • Assist in regulatory monitoring by identifying legislative texts applicable to his or her field and consult Legal Affairs for interpretation if necessary
  • Familiar with BI regulations and reporting
  • Develops, reviews, and adjusts the department’s compliance programs, systems and procedures to changing regulatory and business environments to minimize the firm’s risk exposure while balancing business concerns

List of Typical Skills For a VP, Compliance Resume

1

Skills For VP Compliance Resume

  • Works effectively with a strong, diverse team of people with multiple perspectives, talents, and backgrounds
  • Effectively implement compliance processes and evaluate the effectiveness of compliance controls
  • Demonstrated ability to achieve results as a leader or member of a cross functional team, and the ability to resolve issues effectively and efficiently
  • Strong relationship management, interpersonal and leadership skills
  • Experience designing and leading an effective enterprise risk management program
  • Experience designing and rolling out effective Compliance Program
2

Skills For VP, Compliance Consulting Resume

  • Dependably represent the Compliance department by projecting integrity, honesty, and competency while effectively communicating with Chicago stakeholders
  • Helps to ensure that practices, policies, procedures, training, and systems work together as a cohesive system to effectively control for UDAAP risk
  • Client facing, solutions-focused skills
  • Proficiency with Microsoft Office, Outlook, Excel, Project, SharePoint and database skills
  • Prior experience driving multiple interdependent programs of change/integration across finance, legal and operations is required
  • Strong Technology Regulatory Compliance and Risk Management experience
  • Senior level communication skills, including trading issues identification and management
  • Advanced Computer Skills (Microsoft Products, databases, CRA/Fair Lending WIZ)
3

Skills For VP, Compliance Operations Resume

  • Knowledge of the global regulatory environment and ability to communicate this effectively to regulators, senior management and the business
  • Experience identifying risks and developing appropriate control processes,
  • Experience managing and administering a Corporate Code of Conduct or similar programs
  • Excellent understanding of banking products and regulations
  • Experience with trading regulatory environment and related risks,
4

Skills For Assistant VP Compliance Resume

  • Good understanding of financial services and in particular the alternative asset management industry
  • Good understanding of financial services and the alternative asset management industry
  • Promotes a strong compliance culture throughout the corporation by positively interacting with Lines of Business (LOB) heads and senior level management
  • Expert compliance experience in a corporate environment and preferably in the financial services sector
  • Strong business acumen and solutions orientated
5

Skills For Assistant VP, Compliance Resume

  • Qualified lawyer or compliance professional with extensive experience
  • Experience gained at a securities regulator, SRO and/or within the securities industry is beneficial
  • Good understanding of regulatory requirements and legal framework for serving HNW customers, especially in the areas of KYC/ AML, cross-border guidelines
  • Experience in banking, regulatory, consulting, legal or other compliance and control-related function in the financial services industry
  • Strong change management mindset – focus on identifying potential risk areas and improving processes to mitigate those potential risks
  • Experience leading others in a compliance capacity
6

Skills For VP Compliance, NPC Resume

  • Basic knowledge of and experience with export / import controls, including ITAR and EAR
  • Demonstrated maturity in judgment and ability to conduct fair and impartial investigation into allegations of impropriety
  • Relevant compliance experience at a national/global securities firm
  • Compliance program management and contract experience
  • Compliance and legal experience, preferably with several of those years primarily handling the compliance function for a multinational company
7

Skills For VP, Compliance, Licensing Resume

  • Compliance experience
  • Experience with the Foreign Corrupt Practices Act (FCPA) and related programs
  • Strong work ethic with ability to handle a fast-paced vigorous schedule
  • Takes initiative and operates with a sense of urgency, decisiveness and responsiveness
  • Develops and maintains a strong network of relationships inside and outside the organization to support the objectives of the compliance function
8

Skills For VP-compliance Oversight Data Resume

  • Strong, pragmatic business acumen
  • Lead, prioritize and manage a large volume of concurrent projects
  • Experience in consumer digital or telecommunications, media and telecom
  • Prepare and deliver clear, effective, and professional presentations
  • Developing, reviewing, and revising key UDAAP policies, procedures, and training materials
  • Coordinating key metrics, risk appetites, and escalation thresholds across the business to implement regular monitoring, and reporting on those results
  • Planning and executing UDAAP Program initiatives with guidance from the SVP of Compliance
  • Reviewing requests for proposals and client questionnaires and creating sophisticated written responses related to the company’s compliance practices
9

Skills For VP, Compliance Private Client Group Resume

  • Reviewing results of monitoring, audit and other assurance activities to summarize FD’s compliance status for senior management
  • Undertaking periodic monitoring reviews at client premises
  • Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
  • Managing My Compliance Center, an internal on-line submission and reporting system specific to Oaktree’s Code of Ethics requirements
  • Managing a portfolio of clients regulated by the MAS, and other global financial services regulators
  • Working knowledge of Fair Lending and other associated regulations including Regulation B/Equal, Credit Opportunity Act, Fair Housing Act, UDAAP
10

Skills For VP, Compliance Manager Resume

  • Expertise in developing and executing risk based fair lending testing with emphasis on risk assessments, methodologies and test programs
  • Create growth in target accounts and AmLaw 200 market place by developing new client relationships and driving revenue with new and ongoing clients
  • Thorough knowledge of banking industry, banking operations, policies, procedures, products and services; and of applicable fair lending issues
  • Prepare and deliver training, including annual compliance meeting, with all registered associated persons
  • Provide support to the Bank’s Chief Compliance and Regulatory Officer (CCRO) in managing the relationship with OSFI, including
  • Enhances the UDAAP monitoring program, including development of meaningful key risk indicators

List of Typical Responsibilities For a VP, Compliance Resume

1

Responsibilities For VP Compliance Resume

  • Provides guidance to QA, QC, Validation, and Regulatory leadership
  • Expert knowledge of GLP and GMP regulations and good documentation practices
  • Detailed understanding of SFC and regulations
  • Ideally detailed understanding of SEC rules and regulations
  • Determines acceptability of manufacturing batches for release and assigns final disposition
  • Builds the future of the organization through developing people, organizational capabilities, and the culture of Althea
2

Responsibilities For VP, Compliance Consulting Resume

  • Sets “tone from the top” in relation to applicable ethical standards and treating customers fairly
  • Role model CoreLogic’s ethical standards, professionalism and code of conduct
  • Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings
  • Identify changes to local legislation and Group procedures that fall under the responsibility of Financial Security and propose updates and adjustments to local procedures and processes as applicable
  • Carry out permanent Financial Security controls (other than those delegated to avoid self-control) and carry out controls in other fields as assigned (in order to avoid self-control). Complete all controls in accordance with the defined frequency and methodology and document work and results in order to ensure a thorough audit trail
  • Participate in the preparation of control reports requested by Group and CIB Compliance, especially for subjects under his or her responsibility
  • Produce reports on negative press coverage and statements on the absence of negative coverage for the Group, and document sources as instructed
3

Responsibilities For VP, Compliance Operations Resume

  • Business development with potential clients
  • Legal or accountancy background would be useful but not required
  • Approving, reviewing and monitoring reports submitted via My Compliance Center, including gifts and entertainment given and received, outside business activities, requests to engage in political activity, conflicts of interest disclosure as a result of employee relationships, as well as employees’ periodic certifications
  • Oversee company’s privacy strategy and implement revisions and changes identified in company audits with regard to adoption of best practices, compliance with changing laws and regulations, and the application of such strategy to our products, operations and internal practices
  • Work closely with the Internal Audit team to monitor, evaluate, and improve the company’s Compliance program and related controls and partner with the Internal Audit and finance teams to prepare Audit Committee meeting materials
4

Responsibilities For Assistant VP Compliance Resume

  • Develops, reviews, and adjusts the department’s 206(4)-7 and related Fiduciary and ERISA product compliance programs, systems and procedures to changing regulatory and business environments to minimize the firm’s risk exposure while balancing business concerns
  • Review or handle (in case if maker is on leave) enquiries from the SFC in relation to the all types of enquiries (e.g. possible breach of the Securities and Futures Ordinance, insider dealing, false market transaction, requesting clients’ information, transactions, and stock holdings etc.)
  • Have the ability and experience in driving changes
  • Directs the implementation and ongoing maintenance of FMCNA’s Compliance Program pertaining to corporate administration and operations
  • Oversees and supports development and deployment of compliance training and educational materials, and coordinates the compliance training for all corporate personnel in coordination with FMCNA’s Corporate Compliance Department
  • Extensive financial or investment analysis experience
5

Responsibilities For Assistant VP, Compliance Resume

  • Assess BU’s compliance training needs and develop, review and conduct trainings that suit business needs
  • Assists Chief Compliance Officer (CCO) in the management of the firm’s compliance efforts
  • Global Compliance Education – Oversight of the global training program for all employees and a comprehensive professional development program for the company’s Compliance professionals
  • Work with IT and business units on technologies utilizing electronic communications to ensure required retention and testing
  • Extensive knowledge of the investment management and broking sectors
  • Maintain WSPs, Compliance Policies and Procedures, and internal operating procedures
  • Work with other Compliance personnel to conduct periodic testing of the firm’s supervisory controls
6

Responsibilities For VP Compliance, NPC Resume

  • Responsible for supervision of the post-review of electronic communications, including email, social media and text messages
  • Keep current on industry developments and/or potential reputational risks impacting distributor broker-dealers and advise internal clients of those issues
  • Preferable to have detailed understanding of any other financial services regulator’s rules and regulations
  • High-level management and development of teams responsible for reviewing material to ensure materials are in compliance with FINRA, SEC, state regulations and internal policies and standards prior to use
  • Ensure all materials are filed with FINRA as required and work with FINRA Advertising Analyst as necessary
  • Respond to questions from senior management, business units and wholesalers regarding compliance policies and procedures and regulatory statutes and rules
  • Work with senior management and business unit owners to implement and enforce supervisory controls and related processes to ensure early detection and mitigation of potential compliance and supervisory failures
  • Provide leadership, training and mentoring to Compliance Department staff
7

Responsibilities For VP, Compliance, Licensing Resume

  • Work with other Compliance management and business units on social media program
  • Identify and implement improvements for compliance surveillance processes
  • Evaluate and interpret surveillance data to detect potential problematic trends or patterns related to gifts and entertainment and other types of cash and non-cash compensation, electronic communications, social media, etc
  • Review complex issues related to outside business activities of wholesalers
  • Provide compliance guidance to senior business leaders on new business initiatives. Work cooperatively with business leaders to implement and support new initiatives
  • Monitor, analyze and report on the effectiveness of Company's compliance policies, procedures, processes and programs
  • Undertake and/or oversee other ongoing complex special projects related to the firm
8

Responsibilities For VP-compliance Oversight Data Resume

  • Seek opportunities for career growth and development for team members
  • Contribute to the Compliance team’s mandate of analyzing, implementing and monitoring compliance with policies and procedures of the registered investment companies and the registered investment adviser, with a primary focus on equity strategies
  • Conduct and design tests of compliance policies and procedures pursuant to Investment Adviser’s Act Rule 206(4)-7 and Investment Company Act Rule 38(a)-1, and Canadian securities regulations
  • Provide input during the development and review of compliance processes, policies and procedures in order to ensure that the firm has appropriate internal controls
  • Monitor client portfolio trading activity against investment restrictions and other contractual requirements
  • Oversee third party vendor relationships, including due diligence
  • Participate in various firm working groups, such as GIPs, Proxy and CSA/Soft Dollar
  • Summarize and prepare test results and other reports for various stakeholders including funds Board, audit committees, and clients
  • Maintain information barriers and control the flow of information to comply with applicable securities laws, firm policies and procedures, and industry best practices
9

Responsibilities For VP, Compliance Private Client Group Resume

  • Implement and continuously improve the Company's Compliance program in a manner that causes the Compliance function to be viewed as a business partner, while fostering a culture of compliance with policies, procedures, our Code of Conduct and Ethics and applicable laws and regulations
  • Confirming that client’s desired investment guidelines can be translated into systemic or manual controls
  • Leading projects to improve Guideline process and scalability
  • Recommending rule and system enhancements
  • Coordinating fixed income guideline activities with staff in international locations
  • Develop and execute audits and reviews of compliance risk areas to determine areas for improvement and ways to detect and remediate compliance gaps
  • Protect Company assets by establishing compliance standards, anticipating emerging compliance trends and designing improvements to the internal control structure
  • Counsel and provide leadership with business partners on compliance issues
10

Responsibilities For VP, Compliance Manager Resume

  • Focus and efficiently allocate the limited resources of the Compliance function
  • Develop, implement, administer and maintain compliance policies, procedures, processes and programs
  • Identify training needs and either provide or oversee training of company employees, contractors, consultants, agents, distributors and other third parties, as appropriate
  • In conjunction with the Legal Department, investigate or oversee the investigation of internal complaints and other inquiries raised through the company "helpline" and other channels
  • Develop, implement, administer and maintain the Company's process for investigating internal complaint and inquiries, including policies, procedures and templates for conducting internal investigations and inquiries
  • Fixed income instruments and technology experience
  • Strong Knowledge of BlackRock's Aladdin system, and BlackRock Query language

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