Compliance Resume Samples and Examples

  •  Experience and strong knowledge of securities laws and regulations applicable to investment funds, portfolio management and exempt market dealer activities   •  Experience in and knowledge of derivatives regulation would be an asset   •  Strong problem solving skills, collaborative...

  •  Interact with a cross-jurisdictional multi-cultural team in the development and efficient and effective implementation of Capital’s Compliance program   •  Lead and partner effectively across GE Capital’s Compliance team   •  Support compliance risk assessment and RCSA processes, i...

  •  Conduct periodic desk reviews or test checks of the PWM business’ activities   •  Monitor for regulatory changes and communicate such to the relevant staff   •  Deal with ad hoc regulatory inquiries   •  Performs routine compliance tasks and deals with routine c...

  •  Provide verification of accounts using the firm’s back office system, and input data according to the verification   •  Project manage key change initiatives to support the Company’s compliance with applicable rules and regulations   •  Support technical implementation of complianc...

  •  Act as primary contact with internal and external auditors during the execution of the IT department’s Sarbanes-Oxley Act (“SOX”) control assessment   •  Producing critical analysis and evaluation of compliance risks within Trading and Supply, working with relevant stakeholders including compliance su...

  •  Coordinate the organization’s Conflict of Interest Program, including management of mandatory reporting processes, screening for potential conflicts, drafting conflict management plans, monitoring compliance with plans, and preparing reports   •  Manage the organization’s compliance hotline, including...

  •  Leads highly complex project work with moderate to significant impact and frequently develops innovative solutions. Uses a variety of methods to train/engage team members and leaders throughout the business to ensure understanding of risk management and compliance principles   •  Liases extensively wi...

  •  Assist the Head of FCC AML Office to implement and manage the following elements of the AML Programme   •  Dispensation process for Canadian Regional AML. Review and assess dispensations submitted, forming a recommendation for sign-off by the Canadian Head of AML   •  Variances int...

  •  Experience within safety, security and compliance   •  Health, dental and vision care insurance   •  Hold IOSH/NEBOSH Diploma in Occupational Health and Safety   •  Over 5 years’ experience working in Manufacturing to a senior management position   •&n...

  •  Performing risk assessments   •  Knowledge of security control frameworks, regulatory guidelines, and policy/standards development   •  Excellent analytical and research skills to conduct risk assessments and investigations   •  The technical ability to interact...

  •  Manage client due diligence visits with regard to our TA AML service and also to participate in visits to third party TA’s who provide services to JPMC entities   •  Reviewing potential reputational or transactional risks to the firm and escalating them to the LOBs and/or Compliance   • ...

  •  Represent Export / Import Operations in meetings and discussions with U.S. Government personnel   •  Manage the export / import program at the business unit, facility or for a major program   •  Supervise, mentor and assist Export/Import personnel in day to day export / import acti...

  •  Provide strong thought leadership and communication skills in relaying GCO Controls information to global colleagues, stakeholders and staff   •  Lead and drive RCSA assessments through execution and ensure that all aspects of the assessment lifecycle are performed including but not limited to plannin...

  •  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...

  •  Senior UI Developer (Manager - C11)   •  Develop, test and maintain software   •  Develop and maintain web based tools and micro services   •  Support the technology needs of the Legal and Compliance Departments   •  Experience with at least ...

  •  Ability and willingness to abide by Granite’s Code of Conduct on a daily basis   •  Valid driver’s license and ability to drive   •  Coordinate financial audits with Corporate Internal Audit and external auditors, namely Ernst & Young   •  Ensure SOX complia...

  •  Capital Markets & Financial Advisory Services (CMFAS) Examinations – Two Regulatory Papers   •  Client Advisor Competency Standards (CACS) Paper 1   •  Strong knowledge of anti-corruption regulations, investigation techniques and affiliated technology with the ability to plan, ...

  •  Data maintenance & administration of the department’s virtual repository   •  Experience within the financial services industry   •  Create test plans and test cases and coordinate User Acceptance Testing; track users and prepare MIS to prepare to senior management as to status...

  •  Engage with the Regional Heads of the Monitoring, Testing, Compliance Reporting & Analytics and AML teams to develop strategic plans for the oversight of the those activities and promoting and maintaining the Compliance culture within the team   •  Engage with Regional Program Heads enhance the qu...

  •  Values. Demonstrates in word and action the Y’s core values of caring, honesty,   •  Collaborate with the Legal, Business, Product, and Engineering teams to translate risk and legal regulations into product and system requirements   •  Contribute to the development and oversight of...

  •  Ensuring that RBC’s CMP remains current in respect of the changing regulatory environment   •  Driving forward RBC’s monitoring capabilities, benchmarking with our peers, hosting and attending monitoring forums   •  Be passionate about testing and monitoring and driven by “doing th...

  •  To support FM National Account Managers and Front Lines (FL) in the UK to implement processes that are required to meet customer service KPI’s and overall contract delivery   •  To distribute tasks, FL’s responsibilities and level the daily workload, if needed   •  Coordinate and p...