Compliance Resume Samples and Examples

  •  Investigating and assessing alerts relating to potential money laundering risks in the organization   •  Recognize and evaluate high risk activity and make recommendation regarding alert escalation or governmental filings   •  Utilize a variety of analytical techniques and computer...

  •  Excellent attention to detail but can also put thinking into perspective (see the bigger picture)   •  Support the delivery and oversight of the quality compliance services at multiple client sites   •  Monitor and ensure CBRE is compliant with all regulatory and quality requiremen...

  •  Provide support to leadership within Scottrade’s Broker Dealer and Investment Advisory lines of business to ensure issues with team members are addressed promptly, consistently and resolved quickly   •  Analyse and interpret the relevant regulations (UK and EU) in conjunction with corporate policy ens...

  •  Strong IT background ( Intermediate + experience with Access & SharePoint)   •  Strong in Office applications   •  Highly motivated/Independent worker (LPL success factors)   •  Able to consult and guide departments through the various work order/defect proc...

  •  Provides a forward vision to identify best practices and opportunities for improvement in both the remit of the role and the reporting on the applications the role oversees.   •  Well defined analytical and problem solving skills to conduct effective report analysis so that key issues and variances to...

  •  Monitor progress of standardized testing and risk assessments, quality reviews; track exceptions and gaps   •  Follow up with Citi’s relationship owners to ensure critical and high risks are appropriately and directly mitigated   •  Coordinate and (as needed) participate on interna...

  •  Represent HCC on the DePuy Synthes and Ethicon Educational Grants & Donations committees; review and provide guidance on HCC requirements for the educational grant and charitable donation requests submitted for approval   •  Provide oversight, policy requirements, and recommendations on the approp...

  •  Supply technical support to the ITC investigations team   •  Administers and maintains the duty-drawback program to include coordination of refunds, drawback validations and verifications   •  Supports import, export and related entry filing processes and analyzes processes for sol...

  •  Assist with the tax compliance processes in relation to indirect taxes   •  Coordinate and manage the use of outside advisors to support accurate and timely submission of indirect tax returns and related accessory obligations   •  Develop, implement and streamline tax compliance pr...

  •  Satisfaction of our client needs and effective of services; owning and resolving the majority of operational issues; reducing hand-offs and simplifying the client interface   •  Delivery of effective and efficient service through centralized and standardized management, coordination, communication, an...

  •  Interest in Cloud Computing and Software as a Service   •  Interest in developing knowledge regarding product development, cloud technologies, and industry standards / regulations   •  Respond to inquiries initiated through the State’s Attorneys General or regulatory agencies; e.g....

  •  Coordinate with other units of GRC and Legal to complete reviews or support related investigations   •  Maintain awareness of industry news, and changes in the business or regulatory landscape   •  Interpret and apply financial industry laws and regulations including the Investment...

  •  Communication content – the team is currently developing models to identify contextually   •  Specific areas of responsibility include: supporting the Canadian Global Compliance Management Information (GCMI) team in producing and managing AML and regulatory compliance metrics, data collection, AML and...

  •  Reports on the delivery of ‘wipe scripts’ to support and analyze metrics detailing appropriate mobile device management as well as identity and information security measures   •  Supports ‘Patch’ Management activities including the notification to impacted stakeholders and the affected team on both th...

  •  Assist with the development and implementation of the Group’s Sanctions Screening Programme at the global level, including supporting the Markets, Regions and Functions with identifying, assessing and appropriately mitigating business partnering risks   •  Coordinate global initiative to collect and m...

  •  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 a...

  •  Good understanding of Compliance from a business and organizational perspective, including metric relationships and geographies   •  Excellent relationship building, influencing and customer service skills to build effective partnerships as required   •  Results-focused with the ab...

  •  Submits documents to international, federal, and state/local governments as required for product approval and registration   •  Performs monthly reporting and tracking to update department and cross functional departments   •  Maintains eligibility for brands/products to ensure spe...

  •  Ensure project management processes are utilized to meet desired business results   •  Project management capability: Leadership, risk management, team management, communication, personal organization, negotiation   •  Sound knowledge & appreciation of legal regulatory & in...

  •  Maintain Drug Safety Mail box   •  Assist in pulling records for FDA, DEA, and   •  Prepares and coordinates all licensing inspections, contractual reviews, and accreditation surveys   •  Acts as internal liaison and contact person for all licensing, contractual...

  •  Provide advisory services in risk assessments, analysis, acceptance and threat modeling as necessary to meet business and IT demands   •  Integrate GRC practices into existing IT entities and their policies and procedures to ensure compliance and reduce risk factors   •  Identify s...

  •  Proven subject matter expertise in a variety of compliance requirements area such as PCI, SOX, HIPAA, SSAE16, NIST, ITAR and/or other federal, state and industry areas of compliance   •  Understanding of certification purposes and processes for ISO and SSAE16 certifications   •  Co...

  •  Performs deviation trending and proposes mitigation strategies and recommendations regarding actions to ensure quality improvement   •  Escalates critical or major issues to the affected departmental senior management for further investigation, as required   •  Responsible for ongo...