VP, Compliance Officer Resume Sample
Anabelle Ledner
8993 Brook Locks,
Dallas,
TX
+1 (555) 600 4712
Work Experience
VP Senior Manager Local Compliance Officer
09/2016
-
PRESENT
Philadelphia, PA
- Provide compliance support, advice, and guidance to the CCO of HSBC Bank USA, N.A. and the GBM Global Markets businesses in connection with Title VII (swap dealing activities) of the Dodd
- Assists in delivery of the annual training and communication plan for assigned area as appropriate, in coordination with Compliance Training and Outreach and the Regulation Coordinators. This includes conducting business unit training needs assessments, participating in the development of compliance training content for business unit personnel and providing ad hoc training as needed
- Reviews new and/or enhanced products and services as part of the New Product Due Diligence (NPDD) process to assess compliance risks and ensure adherence with regulatory requirements
- Reviews as requested marketing and advertising initiatives, disclosures, strategies, and materials and other communications to ensure adherence with applicable regulatory requirements
- On an annual basis, ensures that a Training Needs Assessment has been created, as appropriate, to reflect the 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
- Working with the testing group on issues raised, prioritizing testing items, etc..
- Works with the CTAC Team to specify targeted testing for the following calendar year
- Providing Compliance input into various work streams relating to the MiFID 2 project, such input to include accurately tracking PWM’s deliverables and ensuring any associated PWM business impact analyses and implementation plans are effected in a timely manner
VP, Compliance Officer
12/2013
-
04/2016
Los Angeles, CA
- Communicate with regulatory authorities
- Enhancing the swap dealer compliance program
- Review and analyze compliance monitoring reports and other related source documents for suspicious/unusual patterns of activity. Follow-up with responsible area for explanations and discussions for appropriate action
- To discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators
- Conducting an annual risk assessment of the business’ controls against applicable regulations
- Experience with understanding the risks associated with large and small system changes into production business environments
- Strong understanding of testing methodology, risk and controls analysis and process mapping
- Experience in dealing with cross-border and international businesses
Assistant VP Manager Local Compliance Officer Risk Compliance Retail Banking & Wealth Management Asset Management
04/2011
-
10/2013
Houston, TX
- Participating in AML Compliance Testing reviews, as necessary, to support programs in North America
- Collecting and reporting AML review results to identify trends and areas of emerging risks and communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing AML emerging risks
- Monitoring compliance with all laws and regulatory requirements
- Establishing, policies and procedures that promote a culture that fosters ethical and compliant behavior
- Working within the greater GIA organization to provide the basis for ensuring adequate internal controls
- Communicating with the internal and external auditors on compliance and ethics matters
- Adheres to the Firm’s Statement of Business Principles and Code of Ethics
Education
Ohio State University - Marion Campus
2006 - 2011
Bachelor's Degree in Business
Professional Skills
- Strong organisation skills and self motivation
- A team focused approach with strong interpersonal skills, able to manage and influence stakeholders at all levels of a complex organisation
- Outstanding interpersonal and communication skills. Fluency in English and Chinese
- Experience leading high performing teams
- Strong track record of motivating and developing talent
- Compliance experience
- Knowledge of aspects of MiFID II, MAR, EMIR and other relevant financial legislation, and experience of their application
How to write VP, Compliance Officer Resume
VP, Compliance Officer role is responsible for research, auditing, compliance, insurance, reporting, trading, training, securities, retail, organization.
To write great resume for vp, compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For VP, Compliance Officer Resume
The section contact information is important in your vp, 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
- Telephone number
Work Experience in Your VP, Compliance Officer Resume
The section work experience is an essential part of your vp, 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 vp, 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 vp, compliance officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative VP, Compliance Officer resume experience can include:
- Provides compliance advice to assigned area to help ensure an appropriate culture of compliance continues to develop in the daily activities of the front line and support units
- Ensures delivery of effective compliance reviews and advice on new and revised business strategies, initiatives and projects for assigned area
- Advising the business in connection with new developments and products related to KYC
- Assist in further developing certain aspects of the Firm’s KYC program, developing new policies and procedures, advising the business in connection with new developments, administering corporate wide compliance policies and interfacing with counterparts in legal, audit and risk
- Working closely with senior compliance officers covering KYC to help ensure consistency in interpretation and application of existing and new regulatory requirements
- Adheres to the Firm’s Statement of Business Principles and Code of Ethic
Education on a VP, Compliance Officer Resume
Make sure to make education a priority on your vp, 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 vp, 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 VP, Compliance Officer Resume
When listing skills on your vp, 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 vp, compliance officer skills:
- Developing, overseeing and maintaining the Company’s Corporate Compliance Program
- Drafting, revising, and implementing all WSP's (Written Supervisory Procedure), compliance manuals, policies and procedures
- Maintaining required books, records, and operating procedures including correspondence, complaints, gift logs, code of ethics and firm related disclosures
- Overseeing compliance for the enterprise’s broker-dealer (SEI) and registered investment adviser (SIA)
- Manage all CMB staff dealing requests including taking responsibility for training, trade pre-clearance and policy issues
- Global Transaction Banking role can be found in Targeted Monitoring, Wire Transfer and Cash Letter
List of Typical Skills For a VP, Compliance Officer Resume
1
Skills For VP Senior Manager Local Compliance Officer Resume
- Assists in review of new and/or enhanced products and services as part of the New Product Due Diligence (NPDD) process to assess compliance risks and ensure adherence with regulatory requirements
- Assists as required in the review of marketing and advertising initiatives, disclosures, strategies, and materials and other communications to ensure adherence with applicable regulatory requirements
- Strong relationship and leadership skills with proven ability to communicate and collaborate effectively at all levels of the organization
- Strong organizational and recordkeeping skills
- Strong analytical and research skills. Ability to assimilate, evaluate and articulate the impact of new and proposed regulatory changes
- Proven ability to communicate effectively with all levels of management and regulatory examiners
- Excellent written, verbal, research, analytical, and organizational skills
- Experience in compliance, regulatory, legal, risk in asset management and/or banking
2
Skills For VP-senior Volcker Compliance Officer Resume
- Experience working in a Broker-Dealer (BD) and Registered Investment Advisor (RIA) environment
- Demonstrated ability to make decisions independently, work well under pressure, meet deadlines and adapt easily to frequent change
- Strong knowledge of Capabilities, Technical Processes and Controls
- Experience in the development and oversight of a line of business Compliance program
- Maintains a compliant business in light of the challenging regulatory environment
- This Compliance Officer/SAR Program Analyst role is primarily responsible for overseeing metrics preparation and trending analysis for the Global Reporting and Analytics Group
- Knowledge of commercial banking regulations and familiarity with US securities laws
- Deep regulatory knowledge including Regulation Z, UDAAP, Open-End, and Closed-End loans
3
Skills For Assistant VP Manager Local Compliance Officer Risk Compliance Retail Banking & Wealth Management Asset Management Resume
- Drive results in changing and ambiguous situations
- A clear interest in banking and the financial markets
- Expert knowledge of the legal and regulatory requirements for AML/BSA and KYC
- Knowledge of consumer regulations, banking/deposit compliance laws and regulations (including regulations D, E, CC, DD, UCC, ESign, UDAAP, Gramm Leach Bliley, TCPA, Fair Banking Principles, etc.)
- Technical project experience essential. Ability to effectively identify and communicate necessary system and process related requirements to mitigate regulatory risk and provide capability to perform regulatory testing and monitoring
4
Skills For VP & Chief Compliance & Ethics Officer Resume
- Excellent written communications, coupled with strong technical writing and /or editorial skills and the ability to develop, document and maintain methodologies and procedures
- Excellent oral communication with the ability to effectively advise line personnel and senior management regarding complex laws and regulations and to influence peers and colleagues
- Demonstrate superior leadership, consulting, analysis, presentation and project management skills
- Intermediate knowledge of Microsoft Office, including: MS Word, MS Excel, OneNote, MS Access
- FINRA Series 7 & 24 licensed
- Exercise sound judgment in development and selection of compliance solutions
- In-depth products/market knowledge of equites and/or listed derivatives
5
Skills For Asset Management Compliance Fiduciary Compliance Officer VP Resume
- Ten years’ of compliance experience including demonstrated leadership within the insurance and/or financial services industry; includes experience with investigative and reporting procedures
- Provides compliance support to assigned area to help ensure an appropriate culture of compliance continues to develop in the daily activities of the front line and support units
- Ensures delivery of effective compliance support on new and revised business strategies, initiatives and projects for assigned area
- Activity monitoring and conducts targeted reviews of specific areas of high risk or complexity
- Assists with providing advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements, and/or compliance risks
- Under general supervision, works with management and the line of business Local Compliance Officers (LCOs) in the development and enhancement of products to ensure compliance with applicable laws and regulations
6
Skills For Wealth Management Compliance Compliance Officer VP Resume
- Assists management and the line of business LCOs in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators
- Ensures delivery of effective compliance support on new and revised business strategies, initiatives, and projects for assigned area
- Conducting training to review policies, procedures and regulatory requirements
- Maintaining registration requirements for all registered reprsentatives of the broker-dealer
- Preparing Form ADV updates and filings
- Collaborating as needed with regulators, internal and external counsel, and associated personnel of the BD and RIA
7
Skills For VP Compliance Officer Resume
- Performing annual Office of Supervisory Jurisdiction (OSJ) inspections and annual Compliance review of the RIA
- Actively engaging with the busininess to provide compliance support and helping resolve issues
- Provides guidance on new and modified regulations as well as current risk assessment results. Remains up-to-date on remediation efforts, as appropriate
- As requested, provides support to ensure that a HNAH-wide Training Needs Assessment has been created for assigned regulation(s), regulatory requirements and/or compliance risk to reflect the training required by the lines of business and by Compliance on an annual basis
- Serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US
- Participate in the Compliance annual risk assessments for all business
- Reviewing regulatory adequacy of 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
8
Skills For Cass Coverage Compliance Officer, VP Resume
- Coordinates, as required, outreach efforts relative to Compliance procedures, regulatory, and technical/procedural updates
- On an annual basis, reviews/prepares 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
- Administration of the BD and RIA Compliance Program
- Monitoring the activities of registered persons including outside brokerage accounts, private securities transactions, outside business activities, and email communication
- Provides advisory services and direction to CMB relationship managers and management on the safeguard and protection of Material Non-Public Information
9
Skills For VP Compliance / Ethics Officer Resume
- Interacts with the New York Control room on all CMB generated deal transactions. Ensure reports are filed on a timely basis to maintain compliance with regulatory and Bank policies
- Handle all regulatory requests and be able to interface with FINRA and other regulators as necessary
- Serves as subject-matter expert for Control of Information and CMB staff dealing policies, regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation and policy to the business
- Provide compliance-related regulatory guidance and support on current/evolving business, product, & operational strategies for the following areas
- Providing challenge, oversight and technical advice on compliance with all relevant local legislation, regulation and policy; independently overseeing risk management and controls, and challenging their effectiveness
- Being a crucial source of up to date guidance on existing standards and regulations, and advising on upstream changes to allow policy and procedural changes to be implemented in good time
- Recording and escalating any divergences in standards, gaining approval from the relevant risk committee
10
Skills For VP Coverage Compliance Officer Resume
- Developing and maintaining appropriate risk and control frameworks
- Taking responsibility for ensuring the timely submission of reports to the AFM and DNB in the Netherlands
- Ensuring that compliance MI is collated and submitted accurately and on time
- In coordination with Compliance Training and Outreach and the Regulation Coordinators, ensures delivery of the annual training and communication plan for assigned area as appropriate. This includes conducting business unit training needs assessments, development of compliance training content for business unit personnel and providing ad hoc training as needed
- Serve as a regulation coordinator for a specific regulation. Ensures all appropriate compliance initiatives are carried out, including action plans and any remediation associated with the results of any relevant BRCM reviews, Compliance Testing and Control (CTAC) testing and Internal Audits. Works with the CTAC Team to specify targeted testing for the following calendar year
- Serve as a regulation coordinator for a specific regulation. Ensures all appropriate compliance initiatives are carried out, including action plans and any remediation associated with the results of any relevant BRCM reviews, Compliance Monitoring and Testing (CMAT) testing and Internal Audits. Works with the CTAC Team to specify targeted testing for the following calendar year
Related to VP, Compliance Officer Resume Samples
Director, Compliance Officer Resume Sample
Work Experience
• Serve as the Market’s subject matter expert on the conditions and terms of WellCare’s federal and state contracts
• Partner with WellCare’s Internal Audit Department on Market-based assessments
• Serve as the local compliance and oversight contact for Compliance applications ...
Professional Skills
• Accepting this director/vice president lev...
• Proven managerial and group process skills...
• Compliance testing and auditing experience...
Regional Compliance Officer Resume Sample
Work Experience
• Americas SSU & BAs (incl. Finance, Sales, Operations, Marketing, IT)
• Getinge Legal / Ethics & Compliance
• BUs (ACT & SWIC)
• Knowledge of laws, regulations and industry standards across the region with a particular emphasis on contracting...
Professional Skills
• Provide regulatory advice and support to s...
• Provide regulatory advice and communicate ...
• Coordinate efforts with the Regional Compl...
Unit Compliance Officer Resume Sample
Work Experience
• Operations Compliance and Independent Controls senior managers and executives to ensure delivery of key accountabilities of the role
• Internal business partners and stakeholders, e.g., Product Operations (PO), Corporate Support Areas (CSA), PO Designated Compliance Team Lead (CTL) accountabilities...
Professional Skills
• Possesses excellent partnering, communicat...
• Demonstrates understanding of business pro...
• Experience with US Capital Markets and exp...
Fiscal Analyst Resume Sample
Work Experience
• Oversee, maintain, monitor and ensure the integrity of OMH billing system monthly bill runs. Resolve pended, denied and audited claims. Analyze services and recording statistics to identify unbilled visits and under-utilization of services. Audit and analyze data to ensure data accuracy and compliance with federal and st...
Professional Skills
• Excellent analytical, quantitative, writin...
• Demonstrated skills to compile and summari...
• Strong research, problem solving, and time...
Risk Governance Resume Sample
Work Experience
• Manage sensitive cross LOB client controls processes, including the Client Screening List (CSL)
• Work with firmwide LOBs and functions, including Global Financial Crimes Compliance (GFCC) to evolve current CSL process to clearly identify all necessary resources for “hits” communications to include...
Professional Skills
• Advanced sharepoint skills and advanced Mi...
• Outstanding written and oral communication...
• Proficiency in English, excellent analytic...
House Officer Resume Sample
Work Experience
• Graduate of an accredited APN program
• Excellent interpersonal skills including written and spoken English
• Proven security experience in a ‘soft’ customer service driven environment, where they have worked with minimal supervision utilising excellent judgement and decision...