Compliance Mgr Resume Sample
Kamron Koelpin
387 Towne Row,
Philadelphia,
PA
+1 (555) 505 3576
Work Experience
Gwim Senior Compliance Mgr-wealth Mgmt Product Compliance
07/2016
-
PRESENT
Boston, MA
- 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 activities and assignments
- Coordinate with any internal audit functions to ensure CMS required audits are completed according to regulatory requirements using assessment tools and corrective action plans
- Develop and implement audit plans, self monitoring and audit tools to monitor and track compliance
- Experience managing project(s) involving multiple team members and including task assignment, working with key customers (internal or external), managing team and customer relationships and managing project deliverables
- Detailed knowledge of the U.S. Sentencing Guidelines, the development of Government Programs Compliance Plans, Medicare Advantage and Medicaid Products
- Proven ability to work with CMS/State Regulators
- Knowledge of Health Plan operations including claims, enrollment, sales and marketing, health services and membership
Compliance Mgr
02/2010
-
01/2016
Chicago, IL
- Fundamental knowledge of health insurance regulation at both federal and state levels
- Proven experience in the development and implementation of corporate regulatory compliance and ethics programs
- Significant training experience including program development and implementation
- Well-developed analytical, problem-solving and communication skills
- In depth understanding and experience in application development and submission to the Federal Government on Medicare Products
- Advanced understanding of Part D regulatory requirement
- Participate in Regulatory Change Management and Regulatory inventory processes
- Represent Compliance within business driven projects. Provide constructive challenge to help ensure that BNY Mellon’s regulatory obligations are taken account of within the project
Export License & Compliance Mgr
10/2006
-
10/2009
New York, NY
- Developing and driving strategies to ensure the revenue generation of Autodesk’s License Compliance software program
- Planning and directing the development and implementation of business and people strategies that support meeting the function’s key financial and non-financial objectives
- Focus on Customers:Ensures the delivery of exceptional customer service. Identifies and anticipates customer requirements, expectations, and needs. Creates systems and processes that make it easy for customers to do business with the company. Ensures that customer issues are resolved, pulling the right groups together to be in service for the customer. Seeks and responds to customer feedback
- Engage and Inspire:Articulates and inspires commitment to a plan of action aligned with organizational mission and goals. Fosters a sense of energy, ownership, and personal commitment to the work. Celebrates and rewards significant achievements of others. Conveys confidence in departments' ability to do their best. Encourages others to set challenging goals and high standards of performance
- Support the design, development, and implementation of the Ethics Program
- Lead or support maintenance of Ethics Department resources and infrastructure on EBP LAN/SharePoint (including policies, handbooks, procedures, training, communication campaigns, document lifecycle planning, and web content)
- Lead or support Ethics projects to further the mission of the department and the enterprise
- Lead or support annual Code of Conduct Questionnaire & Attestation initiative
- Backup resource to conduct internal investigations
Education
Colgate University
2001 - 2006
Bachelor's Degree in International Relations
Professional Skills
- Excellent Excel skills; Database experience
- Prior experience with and in-depth knowledge of the ITAR and EAR
- Direct experience communicating and presenting to large audiences
- Pecific experience managing or leading compliance audits or certifications within a business or team
- Experience Working On International Programs Or With Foreign Customers
- Leadership experience in assuring procurement compliance with all applicable processes and laws
- Strong working knowledge of control frameworks and regulatory/compliance requirements such as ISO27001 and 27018, GDPR, HIPAA, EUMC, NIST and others
How to write Compliance Mgr Resume
Compliance Mgr role is responsible for manufacturing, database, research, finance, training, procurement, auditing, security, reporting, insurance.
To write great resume for compliance mgr job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Mgr Resume
The section contact information is important in your compliance mgr 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 Mgr Resume
The section work experience is an essential part of your compliance mgr 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 mgr 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 mgr position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Mgr resume experience can include:
- Developing and maintaining an environment that promotes high productivity
- Translating the corporate direction when issues or questions arise
- Leading the focus on, and attainment of business goals and objectives for the group
- Verifying process and compliance requirement adherence (including SOX and Internal Audits)
- Verifying that required process and compliance education is completed by employees as appropriate
- Owning the process for implementation/completion of corrective-actions identified through internal/external audits
Education on a Compliance Mgr Resume
Make sure to make education a priority on your compliance mgr resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance mgr 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 Mgr Resume
When listing skills on your compliance mgr 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 mgr skills:
- Assuring efficient and effective process & compliance training is available and training intervals are established
- Export/import and regulatory compliance related experience
- Demonstrated ability to think strategically and integrate export/import requirements with company's international business strategy
- Some Experience With Global Trade Assessments and Audits
- Some Experience With Corrective Action Management
- Typically has 8-10 years of related professional work experience (ethics program management)
List of Typical Experience For a Compliance Mgr Resume
1
Experience For Travel & Expense Compliance Mgr Resume
- Continually monitor for emerging compliance requirements and changing customer obligations globally; define roadmap to implement into DSS and communicate to management
- Demonstrates the highest standards of ethical behavior in support of AEP’s Reliability Compliance Program
- Develop and deliver compliance training for new teams onboarding to the compliance program, as well as ongoing training for existing teams
- Collaborate with and assist control testing and audit teams to prepare for audits and customer inquiries
- Prepare gap/risk analysis of the implementation impacts of compliance changes to security controls and business practices
- Work closely with peer compliance organizations across Microsoft to drive efficiencies and share solutions
- Create showcase materials for customers to enable sales and future-proof the business
2
Experience For Export License & Compliance Mgr Resume
- Analyze complex problems, think creatively, communicate recommendations, influence change and drive process and structure in an extremely dynamic environment
- See company/industry trends and provide leadership with business context
- Implement strategy for R&D controlled document management
- Implement processes and standards that lead to controlled documents that describe end-to-end processes
- Execute strategy and implement change control mechanisms to deliver electronic process documents at the desktop
- Ensure that R&D controlled documents meet the regulations and any additional Amgen obligations / regulatory commitments, putting effective document controls in place to assure compliance
- Provide guidance to R&D functions / business process owners to ensure creation of complete, clear and well managed documents
3
Experience For Inflight Safety & Compliance Mgr Resume
- Lead targeted documentation review and improvement efforts
- Contribute to impact and risk analyses to evaluate the impact of new regulations on R&D processes and associated controlled documents
- Partner with process owners, Training leadership and Quality Process Management to implement robust process documentation change control and communication strategies
- Plan and manage process-document changes required to address incidents / deviations or audits / inspection findings
- Contribute to and maintain R&D Document Plan
- Lead cross-functional process improvement teams to address process opportunities
- Represent GRDQ / CRDC on assigned projects / initiatives
4
Experience For Psegli Process & Compliance Mgr Resume
- Fulfil inspection-related documentation requests, generate document reports and provide copies of current and historical requirements documents
- Implement systems and processes to manage and track controlled document content to meet Amgen’s compliance commitments
- Develop and maintain tools and workflows to assure appropriate change control of requirements documents
- Communicate the release of new / updated documentation to applicable R&D staff
- Lead or support EBP’s investigation function, including conducting internal investigations, liaising with management and HR on substantiated allegations, documenting investigation reports and monitoring trends in allegations and inquiries
- Industry compliance qualifications
- Presents key findings and recommendations to business management and Compliance management. Elevates issues, identifies priorities. Tracks follow-up items to ensure they are appropriately resolved. Demonstrates initiative and creativity in independently recommending and implementing solutions to business contacts, senior leaders and the Chief Compliance Officer
- Develops, maintains and broadens effective working relationships across Vanguard and with regulatory agencies. Fosters lines of communication between, and with, business leaders, the Legal Department, Compliance Department colleagues, global partners, and other control groups. Coordinates activities and efforts as required with other Compliance teams and global partners
List of Typical Skills For a Compliance Mgr Resume
1
Skills For Travel & Expense Compliance Mgr Resume
- Providing process advice for corporate-wide process and compliance programs
- Participates in developing and delivering training and education to the business, including presentations at staff meetings and formal VU trainings
- Identify training needs and develop and provide training pertaining to export / import requirements
- Seek & Embrace Change - Actively support culture change; continuously improve work processes rather than accepting the status quo
- Provide reports and metrics pertaining to elements of the export/import process to senior leaders
- Work with CMC, regional vendors, and Alliance Plans to educate, train, implement self monitoring, audit and corrective action plans
- Prepares regulatory reports and applicable management reporting as necessary and designs presentations to facilitate senior management discussions
2
Skills For Export License & Compliance Mgr Resume
- Conduct inquiries and investigations
- Extensive knowledge and application of export / import regulations (e.g. ITAR, EAR )
- Domestic and/or international travel once or twice quarterly is required
- Familiarity With Raytheon Business Unit, Policies And Tools
- Familiarity With Six Sigma Processes
3
Skills For Inflight Safety & Compliance Mgr Resume
- Partnership - Build trust and strong partnerships through my own and my team’s actions; align myself and my team with what is right for the company, not just my own area
- Drive for Execution - Treat obstacles as challenges to overcome, not excuses; focus on real results rather than the appearance of results
- 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
- Act as the primary interface on interpretation of regulatory requirements or Company export/import policies and procedures
- Supervise, mentor and assist BU-GT personnel in day to day export/import activities and assignments
4
Skills For Psegli Process & Compliance Mgr Resume
- Develop and implement company procedures and instructions to support compliance with U.S. Government export/import regulations and Company policy
- Manage and maintain export / import files and records in accordance with U.S. Government export / import regulations and Company policies
- Lead and participate in investigations and assist in assessment of export/import related compliance matters
- Act as an Empowered Official on behalf of the Company for submittal of export authorization and transaction requests to the Department of State Directorate of Defense Trade Controls
- Responsible for AEP’s relationships with NERC and the regional entities
- Manage the independent oversight of components of AEP’s NERC compliance program
- Manage oversight of business units’ compliance plans, policies and processes by establishing measurable goals, metrics, objectives and requirements relative to AEP’s Reliability Compliance Program and appropriately communicate to executives
5
Skills For Nerc Compliance Mgr Resume
- Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities
- Professional work experience in operational compliance and risk mitigation in large, complex organizations
- Experience with business resiliency/business continuity, information privacy, and records management is highly desirable
- Responsible for AEP’s NERC Standards interpretations and obligations
- Establish and maintain a positive working relationship with CMS/DHS/OIG and other regulatory agencies and industry leaders to identify regulatory issues that impact the Medicare/Medicaid business
- Develop processes and reports to oversee and monitor the regional activities to ensure compliance with CMS and contractual requirements
- Establish and maintain a comprehensive understanding of all new and existing laws, regulations and other requirements that impact our products and operations in order to provide guidance to analysts on contract language filings and implementation and other compliance strategies
- Manage the identification, interpretation, education and implementation of Medicare Modernization Act, Medicare Managed Care Manual and CMS Monitoring Guide requirements. Review cross functional Polices and Procedures across the enterprise to ensure adherence to compliance requirements
- Certification in industrial audit or compliance desired
6
Skills For Compliance Mgr Iii Uk Resume
- Analytical Thinking: The ability to understand a situation by breaking it apart into smaller pieces, or tracing the implications of a situation in a systematic step-by-step manner
- Conceptual Thinking: The ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex situations
- Problem Solving: The ability to build a logical approach to resolve problems or manage the situation at hand by drawing on own knowledge and experience and calling on other references and resources as necessary
- Planning and Organising: The ability to establish a systematic course of action for self or others to ensure consistent accomplishment of specific objectives
- Auditing operational risk functions, or AML and OFAC risk management
- Educated to a least GCSE ‘A’ Level or equivalent
- Series 7, 24 and 63 licenses or ability to successfully complete within 90 days of entry into position
7
Skills For Nerc Compliance Mgr-external Advocacy Resume
- In Quality Management, Compliance, or other relevant area of pharmaceutical/biotech industry
- Reputation for, and absolute commitment to, integrity and professionalism
- Strong project management/change management experience with the ability to quickly analyze business processes, identify their inherent interdependencies of people, technology, and upstream/downstream processes, and develop and execute plans to prepare people for thriving in a changing work environment
- Strong business/technical writing and oral presentation skills, with the ability to author, edit and maintain business manuals, polices, standards, procedures, playbooks, project plans, and status reports for audiences ranging from staff to executives
- Highly motivated and energetic self-starter with strong organizational and time management skills; proven experience operating at high standards of quality and accuracy within a fast-paced changing environment, including the ability to effectively and independently manage multiple projects simultaneously
- Execution-focused with demonstrated initiative and personal accountability
- Critical thinking skills with a problem-solving mindset; demonstrated intellectual ability to analyze ambiguous and complex issues to distill critical components
8
Skills For License Compliance Mgr-asean Resume
- Solid interpersonal skills with the ability to develop positive working relationships; ability to interact effectively with all levels of staff and with multiple business partners and stakeholders; ability to collaborate, influence and gain the support of others
- Proven ability to partner and work collaboratively with all groups and levels including Officers and Directors, cultivating and developing productive and trusted relationships
- Experience with ERP systems i.e. SAP or a similar ERP system
- Uccessful implementation experience in risk management, compliance, privacy or security field
- Identify, prioritize and remediate gaps in R&D processes / process documents
- Able to provide leadership and direction to diverse teams
- Provision of guidance and assistance to junior members of the team
- Compliance Liaison and Subject Matter Expert
9
Skills For Nerc Compliance Mgr-projects Resume
- Representing the business as its primary point of contact and liaison to various compliance divisions across the enterprise (e.g., Enterprise Business Resiliency, Information Privacy, Records & Information Management, etc.)
- Serving as the primary subject matter expert and spokesperson for the business on the relevant policies and standards; participating in working groups, addressing business area questions and concerns, and advising management on several subject areas
- Advocating on behalf of the business; providing inputs when policies and standards are being developed and pushing back when interpretation is required or when the balance of risk and reward is in question
- Operationalizing policies and standards innovatively, including authoring business-level procedures, developing requirements for and implementing automated tools (e.g., SharePoint, Excel, etc.) to facilitate compliance, monitoring and reporting; building and maintaining business awareness to reinforce compliance
- Planning, coordinating and executing multiple iterations of business resiliency/disaster recovery testing with a matrixed team of business and technology subject matter experts. This includes developing testing-related plans, scripts, and reporting targeted to keep staff and executives apprised of actions, progress and issues
- Planning, coordinating, and facilitating exercises that provide leaders and subject matter experts the opportunity to opine on appropriate responses to potential scenarios of varying scales that could disrupt their business
- Facilitating the assessment of operational, financial and reputational impacts that potential disruptive scenarios could pose. Also, facilitating the communication, assessment, remediation and post-incident analysis of disruptive incidents impacting the business
10
Skills For Compliance Mgr, Advisory Resume
- Managing a variety of tasks and projects of varying scale and complexity
- Anticipates and identifies traveler’s needs and recommends solutions to complex problems
- Serves as a trusted advisor to Vanguard Marketing Corporation (VMC). Works collaboratively with the business to ensure compliance with applicable laws and regulations. Provides guidance in connection with regulatory changes. Assists the business in the resolution of issues
- Leads, manages, coordinates, and ensures readiness for regulatory examinations. As appropriate, acts as a liaison with regulators and impacted business areas by preparing for meetings and coordinating the gathering and production of requested documents in connection with examinations or other regulatory inquiries
- As necessary, supports review and monitoring of electronic communications to ensure compliance with applicable rules or Vanguard policies. Elevates identified issues as appropriate. Participates in and actively supports corporate initiatives like Vanguard Unmatchable Excellence, Gallup Action Planning, etc
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