Compliance Director Resume Sample
Collin Cummings
552 Kelli Views,
Detroit,
MI
+1 (555) 494 5714
Work Experience
Compliance Director
05/2018
-
PRESENT
Houston, TX
- Interact with internal and external entities to include senior managers, members of the product sales team and other Citigroup compliance units on the Compliance, Legal and business sector regulatory compliance issues and processes
- Assisting with the implementation of the regulatory compliance program requirements, policies and procedures and training initiatives for all business lines within US CCB
- Developing and managing appropriate US CCB specific policies, procedures and processes based on the risk assessment to ensure compliance with US laws and regulations as well as Citibank policies
- Advising and mentoring junior compliance staff and asssiting with cross training, continuity of business and deepening the CCB compliance “bench”
- Reviewing new business initiatives to ensure compliance with banking regulations
- Reviewing agreements, transactions and strategic initiatives to ensure that they are compliant with applicable regulatory compliance requirements
- Assisting in the coordination of management responses to internal audit and examination findings and manage the remediation of findings relating to compliance policy, procedures and training
- Assisting business unit personnel in understanding compliance regulations, policies and procedures
Regional Compliance Director
06/2014
-
04/2018
Philadelphia, PA
- Assist in education and implementation of legal requirements and bank policies
- Reviewing customer facing disclosures and print and web advertising relating to deposit and loan banking products; and
- Information Security; and
- Understanding and monitoring the AML regulatory environment and provide up-to-date knowledge and expertise on relevant AML matters, as appropriate
- Providing pro-active AML advisory support to the assigned business lines and operations and driving programs forward
- Promoting a culture of accountability and early escalation of issues
- Building solid relationships with business risk, operations, and training and possess a deep understanding of the operations that present and manage risk
- Work with Training to develop targeted risk based training based upon need and positions
Compliance Director, Fair Lending Program
12/2010
-
05/2014
Houston, TX
- Enhancing data analysis and reporting to support ongoing monitoring of business and operations AML related risks
- Interfacing with and managing Regulatory Exams, as needed
- Act as a back-up and delegate designee to the Head of AML for NAM Consumer Businesses (ex Cards.)
- Draft summary reports with recommendations for use at AML governance meetings
- Additional responsibilities include interacting and communicating with internal and external entities and their senior managers, relationship managers and other global Citi AML monitoring and compliance units
- Build relationships across business-functions and matrix organizations
- Representing Compliance at the relevant business governance forums (e.g. business management meetings, Business Risk and Control Forums, TS AML Operating Committee (AMLOC), Client Decision Making Committee (CDMC), New Business Initiative Approval Committees etc.)
Education
Strayer University - Tampa Westshore Campus
2005 - 2009
Bachelor's Degree in Accounting
Professional Skills
- Experience in demonstrating exceptional analytic skills, attention to detail and organizational skills
- Strong communication and listening skills that demonstrate an ability to relate to others and build and maintain strong relationships
- Excellent problem solving, strong attention to detail and root cause analysis skills
- Strong project management skills and experience working cross-functionally with multiple stakeholders
- Effective at identifying and analyzing complex compliance issues and risks; strong problem solving skills
- Proven track record of coaching and teaching skills, while developing collaborative partnerships in order to achieve goals on time and within budget
- Proven experience writing and developing business cases and experience presenting to senior leadership and Board of Directors
How to write Compliance Director Resume
Compliance Director role is responsible for compliance, leadership, business, analytical, organizational, interpersonal, advanced, regulatory, risk, collaborative.
To write great resume for compliance director job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Director Resume
The section contact information is important in your compliance director 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 Compliance Director Resume
The section work experience is an essential part of your compliance director 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 compliance director responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance director position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Director resume experience can include:
- Strong persuasion and influencing skills, calling on your product and people experience to drive compliance initiatives to a timely conclusion
- Demonstrated research capabilities and good problem solving skills
- Excellent verbal and written communication skills at all levels including senior management (Board and Audit Committee level)
- Develops and implements compliance and reporting guidelines for the CARE team and effectively communicates those guidelines to the team
- Experience giving training presentations
- Significant experience with compliance programs surrounding the manufacturing and distribution of ETFs
Education on a Compliance Director Resume
Make sure to make education a priority on your compliance director resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance director 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 Compliance Director Resume
When listing skills on your compliance director 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 compliance director skills:
- 7 Good interpersonal skills – Ability to effectively manage country, regional and International level relationships
- Excellent project management skills including successful leadership of projects from their inception through to completion
- 5 Possess strong business and insurance operations knowledge, analytical skills and independent problem solving ability
- Strong presentation skills involving audiences with various backgrounds, and ability to adjust message and filter details based on audience
- Excellent and proven oral and written communication skill – ability to present technical information clearly and concisely
- Strong research, analytical and practical problem-solving skills
List of Typical Experience For a Compliance Director Resume
1
Experience For Regional Compliance Director Resume
- Utilizes advanced leadership and collaborative skills in interacting with compliance stakeholders or regulatory agencies
- Building effective relationship across OGC and contribute to the definition and implementation of OGC’s strategy
- Experience with developing and leading a compliance organization
- Solid working knowledge of SEC, FINRA, and MSRB regulations
- Experience in management of compliance programs and controls
- Assisting in development of training materials and conducting training sessions
2
Experience For Payroll Operations & Tax Compliance Director Resume
- Conducting monitoring and testing surveillance of the business division and recommending enhancements to these processes as appropriate
- Supervising a team responsible for triaging and conducting investigations into internal reports of alleged compliance violations
- Assisting in identifying and developing program modifications based on new business, regulation and anticipated regulatory focus
- Developing and implementing Compliance policies
- Advising and supporting the IBD/GCM and Research businesses on a wide range of internal and transaction-related compliance matters
3
Experience For Compliance Director, Fair Lending Program Resume
- Drafting policies and procedures, including written supervisory procedures
- Partnering with the regional heads of TS Compliance in EMEA, North America and LATAM
- Partnering with other control functions e.g. Legal, Risk, Audit, Finance and Oversight & Control
- Maintain an understanding of Fraud Risk Management activities in the U.S. organization and lead monitoring/testing activities to ensure ongoing compliance
- Develops action plans for advancing compliance initiatives and for resolving outstanding compliance issues
- Serves as the technical expert, providing direction to others on complex issues, and mentoring team members
4
Experience For Sanctions Compliance Director Resume
- Assist assigned areas in drafting policies, procedures and controls that appropriately address Regulation W compliance
- Directs analyses and root cause identification; develops and recommends compliance solutions impacting the enterprise
- Accountable for achieving business objectives and results; provides guidance to cross functional team members to ensure goal achievement and team success
- Lead and direct ethics and regulatory compliance strategy for the Europe Region reporting to the Regional Anti-Corruption and Compliance Lead
- Develop and maintain related product use questionnaires to be used during compliance assessments
- Support customer and internal requests for information related to licensing of Epicor software products
5
Experience For Tax Planning & Compliance Director Resume
- Establish and adhere to the lending team’s budget. Exceptions beyond the team’s control are allowed
- Regulatory Reviews and Internal Audits– Be the central point of contact and manage regulatory reviews including OCC’s quarterly review of Investments
- Accountable for the consistent execution of the TS Compliance programme (as part of CIB Compliance and the broader regional Asia Pacific programme)
- Core focus would be on providing credible challenge as a second line of defence and trusted advisory to business partners by relying on investments expertise and strong product due diligence to uphold Citi’s commitment to responsible finance
- Support Finance Risk’s lead role in the enterprise-wide governance of compliance with Regulation W (affiliate transactions), including associated processes, procedures and controls, within assigned areas
- Manage and oversee monitoring of Regulation W transactions and activities in assigned areas
6
Experience For Technical Compliance Director Resume
- Identify/investigate unusual trends or activity that raise potential compliance risks and communicate/escalate as necessary, including recommending practical solutions to compliance risks in assigned areas
- Monitor regulatory and business changes, ensuring communication of changes in compliance requirements and creation/revision of policy, procedures and controls in assigned areas to meet new requirements
- Assist with the development and delivery of Regulation W specific targeted training
- Provide Regulation W compliance related advice and guidance on process improvement projects, provide assistance on other special assignments or projects as-needed and maintain reports for management
- Review new initiatives in assigned areas and ensure that any Regulation W compliance requirements are properly implemented, including any requirements related to intercompany support of such initiatives
- Manage the tracking and reporting of Regulation W issues for assigned areas
7
Experience For Compliance Director, Villagehealth Resume
- Ensure the execution, retention and maintenance of appropriate arms-length intercompany agreements and that contain market-based terms and conditions
- Periodically review the end-to-end Regulation W processes related to assigned areas
- Obtain information from assigned areas for audits, regulatory reviews and other queries by external parties
- CSL Compliance and Legal Departments
- Intercontinental regional headquarter in Switzerland and its Business leadership team
- 11 Intercontinental affiliates and representations in ECI (Switzerland, Turkey, Russia, Dubai, Riyadh), Latin America (Argentina, Brazil, Mexico, Panama, Chile) and Denmark
- Provides compliance input on business action plans, projects or operational requests. Advises senior management on issues and has authority to make project-related decisions. Develops, designs and delivers compliance strategies to senior leadership; negotiates solutions with leadership. Develops and delivers all types of messages effectively
- Coordinates and responds to regulatory requirements and requests, and ensures the execution of conduct examinations. Accountable for achieving business objectives and results; provides guidance to cross-functional team members to ensure goal achievement and team success
8
Experience For Compliance Director MEA Resume
- Direct long and short-term business strategies for field and home office to continually enhance compliance and operational effectiveness
- Any other specific compliance requirements of regulators
- Professional AML/ATF accreditation required
- Sound knowledge of AML/ATF risks and typologies
- Analysing investigation findings and presenting trends and learnings to cross-functional teams and management stakeholders to drive program improvements and organizational understanding of compliance risks
- Conducting compliance investigations, which includes
- Reviews laws and regulations for business impact and completes risk assessments
- Leads and motivates cross functional team members in strategy development and implementation of compliance solutions
- Anticipates and identifies future needs, opportunities and potential solutions, and leads cross functional teams through the problem resolution process
9
Experience For Risk & Compliance Director Resume
- Establishes aggressive goals for the organization and monitors to ensure achievement
- Advises senior management on issues and has authority to make project related decisions
- Develops, designs and delivers compliance strategies to senior leadership; negotiates solutions with leadership
- Applies expert knowledge of the business, its products and processes
- Maintains expert knowledge of the competitive/regulatory landscape and the company's key challenges
10
Experience For Contract Compliance Director Resume
- Serves as the primary resource for cross functional team members on escalated issues of a unique nature
- Builds processes and relationships that facilitate productive teamwork
- Coordinates and responds to regulatory requirements and requests, and ensures the execution of conduct examinations
- Develop compliance infrastructure within the Europe Region through partnership and coordination with counsel, finance, human resources and business units. Meet with various business units throughout Europe to build relationships and enhance abilities to support the compliance function
- Develop and implement the Company’s internal software asset management program for company’s internal worldwide usage of third party software with the ultimate goal of anticipating, reducing and/or eliminating the company’s risk exposure to third party audits
List of Typical Skills For a Compliance Director Resume
1
Skills For Regional Compliance Director Resume
- Good interpersonal skills and ability to interface effectively with all levels of CDK management and external parties
- Strong relationship and leadership skills, with proven ability to build strong relationships with business partners and motivate and develop talent
- Excellent verbal communication and writing skills, with experience writing in a concise and understandable format
- Strong organizational, written and verbal communication and proven analytical problem solving skills
- Excellent analytical, critical thinking, communication, interpersonal, problem-solving, and organizational skills in a high pressure environment
- Effective written and verbal communication skills, including ability to synthesize and distil information for different audiences
2
Skills For Payroll Operations & Tax Compliance Director Resume
- Excellent analytical and data analysis skills including use of MS Office systems
- Strong analytical and organizational skills; and
- Excellent policy drafting skills
- Good issue spotting and analytical skills
- Demonstrated ability to lead a team effectively in a fast-paced environment
- Solid experience in pharma industry with at least 3-5 years’ experience in the compliance field
- Strong organizational and analytical skills with attention to detail, including problem identification and resolution
- Strong MS Office/PC skills
3
Skills For Compliance Director, Fair Lending Program Resume
- Strong time management, organizational and follow-through skills
- Strong critical thinker and problem-solving skills
- Evaluating supporting work papers for appropriateness and accuracy and effectively challenging preliminary results
- Effectively scoping each engagement to ensure a risk based testing approach
- Highly developed investigative skills – inquiry and analysis, interviewing, and testing
- Strong experience working as a compliance lead including PCI and SOX requirements
- Partner with HR’s Learning and Development in the areas of improving compliance officer’s subject matter expertise and leadership skills
- Experience with financial regulatory compliance issues; experience dealing with bank regulatory agencies
- Interact and communicate effectively with senior leaders; comfortable with acting as one of senior managements main points of contact
4
Skills For Sanctions Compliance Director Resume
- Interact and communicate effectively with senior leaders; comfortable with acting as one of senior managements main points of contact
- Proven ability to interact with people at all levels of an organisation, fostering strong cross-functional teamwork and results
- Proven experience working in compliance and IT project management in digital capabilities
- Provide an independent point of view on the Koch companies and Capabilities compliance program effectiveness, and risk prioritization
- Individual with prior experience and/or knowledge regarding care delivery processes, hospital and/or continuum focused
- Arabic language skills required
- Work effectively in a matrix structure that spans multiple functions, markets and legal entities
- Technical Qualifications & Skills: Proficiency in Excel and PowerPoint
- Proven and progressive management experience leading teams with regulatory compliance and/or audit responsibilities
5
Skills For Tax Planning & Compliance Director Resume
- Proven leadership ability – experience of managing others
- Prior management experience is attractive but not required
- Influencing and helping shape products and processes to ensure regulatory compliance while delivering a great customer experience
- Anticipating regulatory matters and designing effective supervisory programs helps business units continue to evolve
- Recommending sound and effective remediation for identified issues
- Experience in designing and executing compliance related mitigation strategies utilizing enterprise compliance governance principles
- Experience in managing and leading large teams, including SAR approvals
- Organize and prioritize work, including multiple assignments with competing deadlines
- Strong working knowledge Federal healthcare program laws including the Anti-Kickback statute and False Claims Act
6
Skills For Technical Compliance Director Resume
- Experience working in IT auditing, security, and/or compliance
- Auto and consumer lending experience in a large banking institution
- Experience in auto and consumer lending including default, loss mitigation regulations and processes
- Experience auto and consumer lending including default, loss mitigation regulations and processes
- Experience in reviewing Know-Your-Customer files for complex banking products
7
Skills For Compliance Director, Villagehealth Resume
- Experience in investigating customer transactions and reviewing customer information
- Experience in managing and leading large teams
- Previous experience developing sustainable compliance programs
- Experience in implementing supervision and /or compliance activities in dually registered Broker Dealers and Investment Advisors
- Experience of working for a US Company would be beneficial
8
Skills For Compliance Director MEA Resume
- Have had dedicated managerial experience in a highly regulated and complex financial services or banking company
- In conjunction with the Global Chief Compliance Officer, provide monitoring to measure the effectiveness of Gallagher’s compliance program
- Experience working in a high risk area with the ability to identify and mitigate potential risk
- Banking compliance, audit, or regulatory experience
- Demonstrated leadership ability to drive and influence change while also working successfully in a team environment
9
Skills For Risk & Compliance Director Resume
- Experience in banking compliance, legal or other control-related function in the financial services industry
- Strong overall knowledge of federal securities laws, including the Investment Advisers Act of 1940 as well as SEC and FINRA regulations
- Experience working with Grants
- Need to have strong understanding of IT security, preferably in a healthcare environment
- Partner with other control functions, including Audit and Risk Management, to ensure the effective operation of the AML a
- Experience in AML, Compliance, Audit or Risk Management is desirable, preferably in Banking or the Financial Sector
- Agile, confident business leader with experience working cross-functionally with business leaders and key technical stakeholders
10
Skills For Contract Compliance Director Resume
- Experience in establishing compliance programs
- Develop and implement effective internal communication strategies to engage stakeholders
- Experience working with compliance with contracts and risk management or oversight roles
- Good knowledge of payments industry products, emerging products, regulations and
- Seven or more years of compliance management experience in large Bank setting
- Good understanding of relevant market compliance risks and issues
- Experience in a related function, with at least 5 years in a managerial role running a KYC function
- Compliance experience
List of Typical Responsibilities For a Compliance Director Resume
1
Responsibilities For Regional Compliance Director Resume
- Manage the reporting requirements including report generation, driving improvements in control metrics and proactively addressing personnel and systemic stress points in the end to end process
- Solid project management experience, with a demonstrated ability to prioritize tasks and manage multiple projects with varying deadlines effectively
- Strong interpersonal and people management skills with experience of managing senior business relationships
- Strong analytical skills, reflected through higher learning and/or on-the-job training
- Strong organization skills, with ability to integrate across processes and competing timeframes
2
Responsibilities For Payroll Operations & Tax Compliance Director Resume
- The ability to operate in a sometimes-ambiguous environment and to effectively balance competing interests
- Proven experience producing compliance risk assessment reporting and trending to various stakeholders
- Proven experience assisting and contributing to Enterprise Regulatory Affairs reporting efforts
- Prior experience working in a large Bank setting
- Proven experience consulting on compliance initiatives to ensure compliance processes and programs are meeting regulatory standards and requirements
- Proven experience assisting with exam readiness/preparation activities and creating action plans that have regulatory impact on the company's business
- Communicate effectively to all audiences using discretion for all privacy and security matters
3
Responsibilities For Compliance Director, Fair Lending Program Resume
- Experience in compliance, regulatory legal, risk and/or consumer banking, combined with experience in strategy and policies
- Prior Anti-Bribery experience at a large financial institution operating in multiple jurisdictions
- Experience working with critical stakeholders and business leadership to prepare for upcoming exams by providing regulatory advice
- Proven track record of process management, including reporting and governance to standards
- Experience in investigating customer transactions and reviewing customer information
- Experience in leading complex, multi-market projects addressing both compliance and control requirements
- Experience leading the design and implementation of complaints management technology solutions to support analytical and reporting capabilities
- Conducting and managing enterprise regulatory issue validation efforts in a large bank
4
Responsibilities For Sanctions Compliance Director Resume
- Experience working with policy management platforms and GRC tools (i.e. MetricStream) to develop and deliver appropriate reporting
- Experience leading the regulatory change management process and assisting business partners with policy and procedure updates to address
- Experience in a related function, with at least 5 years in a managerial role running a TM function
- Experience in a related function, with at least 5 years in a managerial role running a SAN and AB&C function
- Experience in a leadership position helping develop others
- Manage multiple, competing priorities and changes in scope / direction
5
Responsibilities For Tax Planning & Compliance Director Resume
- Significant experience in establishing compliance programs
- Experience in translating laws, rules, and regulations to business teams
- Complaints management experience that includes the implementation of complex initiatives and development of policies, procedures and training
- Experience assessing compliance-related risks, policy/procedure development and issues management within a mid-size or large financial institution
- Experience conducting trade-related audits and investigations
6
Responsibilities For Technical Compliance Director Resume
- Experience working as a risk, security, and/or compliance lead, principal or senior individual contributor
- Significant experience in a senior compliance advisory role at a major investment bank
- A proven track record of delivery on regulatory change programmes and major compliance projects
- High level experience in the Water Treatment Industry including Heath Care
- Developing a testing and monitoring schedule and plan to ensure adequate resources and timely testing execution
- Overseeing the development and enhancement of Volcker related review programs to be utilized by Compliance Testing teams for Volcker related testing
7
Responsibilities For Compliance Director, Villagehealth Resume
- Informing the Bank's compliance testing and monitoring strategy
- Developing work programs and testing steps
- Identifying and sizing compliance risk issues and root cause
- Working knowledge of Securities Act, Advisers Act, Investment Company Act, ERISA, derivatives regulation, etc.
- Collaborating with senior stakeholders globally to set direction, standards, and execution of processes for handling of employee-related sales practices issues
8
Responsibilities For Compliance Director MEA Resume
- Participating, as needed, in Citi’s annual Enterprise-Wide OFAC Risk Assessment activities
- Assist in developing, updating, and implementing OEC’s comprehensive training program on complex OEC and divisional/affiliate policies and procedures
- Clearly reporting and helping management understand the results of testing and monitoring conclusions
- Actively engaging with the Firm’s regulators and endeavoring to enhance the Firm’s relationship with its examining entities
- Able to quickly build relationships and grow a network of support globally for projects of varying sizes and durations, particularly with areas outside of one’s control
9
Responsibilities For Risk & Compliance Director Resume
- Experience in reviewing and approving Know-Your-Customer files for complex banking products
- Experience with reviewing, writing, and creating Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
- Stay abreast of the evolving industry landscape including agency regulations and guid-ance along with industry leading practices
- Conduct ongoing testing of various policies and procedures
- Represent Consumer Compliance on Citi’s global training committee and on consumer business training teams
10
Responsibilities For Contract Compliance Director Resume
- Develops training strategies and directs development of in-person and LMS training programs to meet compliance requirements
- Owns the budgeting process and managing an annual expense budget
- Promote a greater understanding of company compliance systems and procedures through a comprehensive training and awareness programme
- Institutional fixed income markets regulatory knowledge including Dodd Frank Titles VI (Volcker) and VII (swap dealing)
- Working in consulting, assurance services, or related field, either in professional services or industry
- Self-starting and scrappy – willing to roll up your sleeves, create paths where none were before and willingly dive into new territory
- An appropriate Accounting qualification is preferable due to the requirement for SOX understanding and application
- Coordinate with the business divisions and Hotline vendor to ensure proper tracking and handling of cases
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