Corporate Compliance Resume Sample
Gerald Becker
3107 Glover Bridge,
Houston,
TX
+1 (555) 821 6408
Work Experience
Corporate Compliance Manager
06/2016
-
PRESENT
Chicago, IL
- Assists coordination with support groups and Lines of Business on oversight of implementation efforts associated with emerging regulation
- Produces presentations and communications
- Knowledge of industry rules and regulations, including Fed, SEC, FINRA, and MSRB
- Knowledge of industry rules and regulations (Fed, SEC, FINRA, MSRB, CFTC, NFA, SEF rules)
- Monitors compliance with compliance risk policies and standards by integrating compliance risk control self-testing into a comprehensive control self-testing program that performs regular and comprehensive risk assessment and testing, identifies gaps and deficiencies, and formulates response strategies for corrective action
- Compliance, regulatory or other financial industry experience
- Interact with stakeholders located at various geographic locations to elicit requirements and produce standardized requirement documents
Corporate Compliance
07/2011
-
04/2016
Los Angeles, CA
- Provide strong leadership, mentoring, and guidance to subordinates, peers and other members of the team as well as other members of Risk Management
- Proactively works with assigned business unit management to identify and assess the compliance risks associated with business activities, ensuring alignment with the Corporate Compliance Risk Framework
- Experience in insurance or business
- Strong analytical, critical thinking, process improvement, and project management skills
- Strong ability to communicate clearly, concisely and tactfully with a variety of audiences, and influence others
- Balance several significant work streams at one time
- Reviewing surveillance output and conducting surveillance analysis of trading and market activity, with a focus on Fixed Income products
- Product experience with fixed income securities
- Manages own workload and occasionally provides informal guidance to colleagues with less experience
Corporate Compliance Summer Internship
05/2005
-
01/2011
Phoenix, AZ
- Provide relevant test scenarios for the UAT team. Work with UAT team to develop & execute test scripts and ensure the testing results correspond to the business expectations
- Ensure requirement traceability through the program life cycle
- Involved in multiple projects/initiatives simultaneously
- Analyze trends in data and recommend/produce high level and detailed metrics, present to Senior stakeholders
- Develop/maintain project scorecards, and engage relevant stakeholders
- Contribute to scoping, program and project management activities
- Disclosure of Interest (DOI): monitors J. P. Morgan’s proprietary and fiduciary positions ensuring regulatory filings are performed accordingly
- Responsible for ongoing development and implementation of compliance risk management topics, including such things as being the subject matter expert on compliance risk activities associated with risks, controls, testing, remediation and reporting
- Provide direction and deliver training to line of business personnel, Risk Management staff and others on regulatory matters, compliance policies and procedures, compliance risk best practices and other industry best practices
Education
Strayer University - Nashville Campus
2001 - 2005
Bachelor's Degree in Business
Professional Skills
- Solid analytical skills and writing skills, including experience in writing specifications
- Advance analytical skills, problem solving, good analytical thinking and decision making skills
- Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnerships with business/compliance partners
- Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business and control partners
- Posses’ excellent analytical skills, preferably with previous experience as a business, legal or compliance analyst
- Excellent organizational skills and ability to manage, prioritize, work under pressure, and meet tight deadlines
- Excellent analytical and problem solving skills, as well as diligent planning abilities
How to write Corporate Compliance Resume
Corporate Compliance role is responsible for analytical, business, microsoft, organizational, interpersonal, advanced, powerpoint, risk, reporting, presentation.
To write great resume for corporate compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Corporate Compliance Resume
The section contact information is important in your corporate compliance 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 Corporate Compliance Resume
The section work experience is an essential part of your corporate compliance 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 corporate compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular corporate compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Corporate Compliance resume experience can include:
- Outstanding oral and written communication skills with proven ability to communicate effectively at all levels
- Excellent written and oral communication skills, and be able to work and communicate effectively with all levels of management
- An experienced manager with proven skills to lead, mentor and attract and retain talent
- Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory and business issues
- Prior markets and regulatory experience required including strong understanding of industry rules and regulations (e.g., SEC, FINRA, CFTC, NFA)
- Exercise sound judgment and have excellent communication skills
Education on a Corporate Compliance Resume
Make sure to make education a priority on your corporate compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your corporate compliance 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 Corporate Compliance Resume
When listing skills on your corporate compliance 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 corporate compliance skills:
- Computing skills – Strong PC Skills including Microsoft Excel, Access, Word, PowerPoint and other reporting tools
- Demonstrated critical thinking skills and proven ability to prioritize, organize and implement multiple complex projects
- Communication skills – Strong interpersonal, written and verbal communication skills having the ability to present to executive levels in the organization
- Strong written/verbal communication skills, leadership, able to process high volume, and analytical skills
- Strong research skills, analytical skills, and organizational capabilities
- Proven in-depth PC skills, good working knowledge of Screening Applications/Excel/Jira/Agile would be advantageous
List of Typical Experience For a Corporate Compliance Resume
1
Experience For Corporate Compliance Manager Resume
- Very strong data mining and analytics skills required utilizing MS Office Suite – Excel, Access, Powerpoint
- Possesses strong data handling, interpretive, and problem solving skills with the ability to process large volume of transaction level data
- Strong leadership and relation management skills, including leading several team processes simultaneously
- Proven ability to communicate effectively at all levels both verbally and in writing
- Strong interpersonal and influencing skills, with the ability to establish credibility with senior business management
- Compliance, regulatory or other financial industry experience (including legal, sales or trading experience)
- Possess advanced coding and auditing skills and knowledge of compliance standards; quickly become familiar with information technology in use at TMC
- Experience managing and providing effective feedback and guidance
2
Experience For Corporate Compliance Analyst Resume
- Experience in drafting policies and procedures (experience drafting supervisory procedures and compliance manuals beneficial)
- Visio process mapping skills
- Experience in problem solving, project management, process improvement, and influencing corporate culture
- Assists with the administration of a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
- Experience with various international regulatory requirements, including both Anti-Money Laundering (AML) and Sanctions (e.g. OFAC)
3
Experience For Director, Corporate Compliance Resume
- Preparation of course material and delivery and training programmes and subsequent training records through delivery of strong ABC & GDPR knowledge
- Proven track record of developing and implementing compliance programs
- Demonstrated understanding of data processing and utilization of data analytic solutions
- Experience in the development, implementation, and management of a compliance programme, including training, policies, guidelines and procedures
- Experience in compliance monitoring and/or auditing
- Experience developing project charters, project plans, status reports and risk issues logs and maintaing project artifacts in SharePoint
- Experience interpreting and working with state utilities code of conduct
- Experience working with OpenPages compliance tracking tool
- OFAC/Sanctions experience is required, including in-depth understanding of sanctions policies
4
Experience For Corporate Compliance Specialist Resume
- Least five years of experience in banking compliance and working knowledge of AML/ KYC
- Experience in leading and motivating staff
- Strong working understanding of CFTC, NFA, futures exchanges and futures and cleared swaps rules, regulations, and interpretations
- Excellent document and training presentation required
- Engage with internal and external course developers to build courses and oversee testing prior to launch
- Experience in risk and control identification, analysis, assessment, and ranking
- Experience in drafting compliance policies, bulletins and manuals
- Experience managing regulatory exams for a financial services company
5
Experience For Manager, Corporate Compliance Resume
- Experience working for an asset manager in a control function
- A good understanding of the TS business, product and client base
- Experience in process analysis and mapping
- Experience in the securities industry dealing with the high net-worth business preferably in a PB compliance capacity
- Experience with U.S. securities, futures and/or banking regulations required
- CCB, Regulatory, Compliance, Risk, or Auditing experience (10+ years)
- Strong working knowledge of all Microsoft applications (Word, Excel, and PowerPoint). Familiarity with database languages in order to perform analytics
- Two (2) to three (3) years of experience in regulatory compliance, risk management, audit, accounting/finance, or other relevant positions
- Experience working with federal filings
6
Experience For Director of Corporate Compliance Resume
- Experience with recruiting practices and policies
- Experience operating under a strict regulatory environment, preferably in a large financial institution
- Language Processing, and a strong background in statistics
- Experience assessing complex system and business processes across multiple functions
- A good knowledge of UK and European AML/KYC, sanctions regulations and international standards
- Experience and knowledge of TS, Corporate and Trade Finance products and business would be an advantage
- Experience with large financial transaction data sets
- O Experience either as a regulator or in-house compliance, audit and/or risk officer at a large bank
- Work in a changing environment with shifting priorities
7
Experience For Lead-corporate Compliance Resume
- Work cooperatively; maintains effective communication and working relationships with co-workers, manager and business partners
- Establishes and maintains excellent working relationships with internal organizations to enhance corporate compliance activities
- Managing certification program, including tracking and assigning Enterprise training memberships for BSA certifications
- Drafting, reviewing and editing procedures on behalf of Compliance Surveillance
- Creating and managing applicable compliance and operating policies and procedures to ensure regulatory compliance issues are adequately addressed
- Maintaining and developing procedures related to monitoring activities
- Assisting in undertaking risk assessments and the provision of training
- Maintaining and updating the Global Compliance Enterprise Policy and related Standard Operating Procedures
8
Experience For Corporate Compliance Data Analyst Resume
- Maintaining and updating the Global Compliance & Operational Risk Enterprise Policies and related Standard Operating Procedures
- Ensuring that data relating to the execution of the team’s training plan is maintained
- Managing and tracking BSA/AML/OFAC continuing education program for approximately 400 associates enterprise wide
- Scheduling and presenting targeted and continuing education webinars and presentations from external sources
- Developing training and presentation materials for use by Compliance Surveillance both internally and with external stakeholders
- Providing support with projects relating to both transaction and e-communications surveillance
- Coordinating and implementing an end-to-end Compliance program for Citi’s Global Functions across EMEA
- Leading the team responsible for DaVita’s exclusion screening process
- Working knowledge of current regulations affecting U.S. public companies
9
Experience For Manager Corporate Compliance Resume
- Researching and responding to regulatory queries; prepare responses to client inquires related to exams and to general compliance program matters
- Participating in ongoing Compliance risk assessments
- Providing oversight and assisting the business with issue management
- Implementing changes to ABC and GDPR policies, procedures and controls and ability to deal with competing demands
- Executing and monitoring routines focused on ABC & GDPR compliance risks
- Researching and responding to regulatory queries
10
Experience For Director, Corporate Compliance Payments Resume
- Supporting Corporate Compliance Managers in driving consistent implementation of the Global Compliance Policy ("GC Policy") and related standards
- Supporting Corporate Compliance & Operational Risk Managers in driving consistent implementation of the Policies and related policies and standards
- Conducting analytics to support the aggregation and reporting of compliance data to enterprise governance committees, leadership routines and senior management
- Implementing BSA/AML/OFAC Business Unit Specific Training initiatives
- Providing advice and interpretation on a wide range of regulatory and firm policy issues, including consumer-driven requirements
- Assisting with regulatory requests, inquiries and exams as needed across asset classes and programs
List of Typical Skills For a Corporate Compliance Resume
1
Skills For Corporate Compliance Manager Resume
- Strong technical skills including a good working knowledge of Office products, Visio, and Tableau
- Prior Compliance or Operational Risk experience or 3 years of prior experience with policy management
- Demonstrates excellent interpersonal, negotiation, and resource management skills
- Proven project management and execution skills, including leading large-scale projects across disparate functions
- Strong written and verbal communication skills; comfort interacting with and presenting to senior management
- Excellent verbal and written communication, as well as client management, reporting/metrics, interpersonal, and presentation skills
2
Skills For Corporate Compliance Analyst Resume
- Experience working in a collaborative team environment to effectively interpret and resolve complex issues
- Good listening skills and receptive to other points of view
- Solid technology skills including Microsoft Outlook, Word, Excel and PowerPoint
- Excellent written and verbal communication skills (including presentations) and the ability to drive execution in a team environment
- Demonstrated skills in risk assessment. The ability to make sound decisions, including escalation when appropriate, in regard of AML or sanction risk
- Good communication, presentation and interpersonal skills
- Excellent communication skills including the ability to be able to present and adjust communication style to match the target audience
- Strong Written, Verbal and Financial Management Skills
- Strong leadership and communication skills through presentations and other formal mechanisms
3
Skills For Director, Corporate Compliance Resume
- Knowledge of compliance or risk management principles with strong business acumen and analytical skills
- Strong IT skills with particular proficiency in Excel, Access/databases, and SharePoint (or ability to develop quickly) preferable
- Excellent communication and writing skills for documenting requirements, controls, and processes
- Solid project management skills and ability to learn new technologies
- Proven communication skills both with the business, Compliance, Risk, Legal and other controls stakeholders
4
Skills For Corporate Compliance Specialist Resume
- Communications – possess strong written and oral executive-level communications skills
- Excellent analytical and problem-solving skills / methodical and diligent planning abilities
- Excellent written and oral communication skills, with the ability to present information in differing degrees of detail and form depending on the audience
- Strong technical skills including development and utilization of dashboards and other types of reporting tools
- Strong computer skills including advanced knowledge of MSOffice products and SharePoint
- Excellent oral and written communication and presentation skills including development of executive level reviews
- Project management skills, with experience managing large-scale and time sensitive projects
5
Skills For Manager, Corporate Compliance Resume
- Demonstrated experience in Medical Device industry with 5 years experience in managing Medical Device Quality/Regulatory Compliance Systems
- Strong PC, Microsoft Office skills
- Demonstrated effective experience working with mid to senior level managers is required
- Strong influencing, interpersonal, written and oral communication skills; and ability to liaise with all levels of management
- Reporting and presentation skills (MS PowerPoint, Adobe PDF Pro)
- Obtained or working on certifications related to Audit, Compliance, GRC, CPA, or other relevant skills
- Demonstrated experience leading multiple high-level projects in a fast-paced environment
- Urveillance/Compliance experience or Sales/Trading experience within a financial services/securities environment
6
Skills For Director of Corporate Compliance Resume
- Urveillance/Compliance experience or Sales/Trading experience within a financial services/securities environment
- Proven working experience as Internal Auditor and/or Business Analyst
- Urveillance/Compliance experience within a financial services/securities environment and/or Sales/Trading experience
- Strong Compliance and Project Management (PMO) experience
- Significant prior experience of working within a Surveillance function
- Significant Compliance experience or relevant regulatory experience
- Experience in compliance or risk management, or similar experience
7
Skills For Lead-corporate Compliance Resume
- Possess technical and soft skills to advise colleagues and the business on key areas of regulatory risk
- Financial services experience with demonstrated progression of responsibilities
- Motivated – enthusiastic self-starter who can work effectively under pressure
- Business Management and Marketing skills
- Business Management / Marketing skills
- Proven experience operating under a strict regulatory environment, preferably in a large financial institution
- Strong and positive personality, excellent communicator
8
Skills For Corporate Compliance Data Analyst Resume
- Financial services experience with demonstrated progression of responsibilities
- Project management skills and execution
- Has demonstrated experience in creating PowerPoint presentations, developing and tracking against project plans in Excel or MS Project
- Proven track record in building good working relationships across business entities and senior management
- Financial services experience, preferably in Internal Audit, Monitoring/Testing, Surveillance, Regulatory Examinations or Big 4 Audit experience
- Leadership, relationship-building, and influencing skills to drive agendas across multiple organizations
- Demonstrated experience in managing people, processes and strategic planning
- Strong ability to multi-task and prioritize competing demands
9
Skills For Manager Corporate Compliance Resume
- Analytical thinker with creative problem solving skills
- Proven ability to build good working relationships with internal and external clients
- Developing strong and influential relationships across senior levels of the organization and managing/multiple projects in a changing environment
- Leading and fostering effective quantitative problem solving, analytical research and delivery for projects: This requires
- Training and Auditing, experience and education - proactive in approach to problem resolution
10
Skills For Director, Corporate Compliance Payments Resume
- Working experience and knowledge of the GDPR regulations and implementation best practices
- Contributing to effective quantitative problem solving and analytical research and delivery for projects: This requires
- Assisting in the evaluation of the effectiveness of both the CRMP and ORMP within a LOB/ECF
- Experience facilitating, building consensus, influencing, and/or negotiating with stakeholders to meet business needs and satisfy compliance requirements
- Past experience managing a team, building and maintaining key relationships across departments and functions, and encouraging a culture of engagement
- Strong working understanding of rules, regulations, and industry practices pertaining to information barriers and the investment banking business
- Past experience building and maintaining key relationships across departments and functions, and encouraging a culture of engagement
- Three years of recent experience with health care compliance, auditing, billing, coding, reimbursement and/or information management required
List of Typical Responsibilities For a Corporate Compliance Resume
1
Responsibilities For Corporate Compliance Manager Resume
- Excellent project management skills and very good writing skills (for policies and procedures)
- Experience developing and administering corporate training
- Experience advising on regulations related to bank funding, investment and liquidity management activities
- Very good understanding of operating models
- Financial services experience, preferably in Internal Audit, Regulatory, or Monitoring/Testing related roles
- Experience utilizing Microsoft Office Products including Word, Excel and Power Point
2
Responsibilities For Corporate Compliance Analyst Resume
- Compliance and risk awareness with a good understanding of the compliance challenges facing the business
- Develop a solid understanding of the new/revised regulation
- Chair the Global Sanctions Validations Working Group and manage the variance requests and approval process
- Experience managing regulatory exams for a financial services company, preferably with JPMorgan Asset and Wealth Management
- Support management updates and reporting, escalate issues and drive them to effective and timely resolution
- Experience performing analysis and/or investigative work
- At least five years work experience either in Consulting or within the Compliance/ Legal /Internal Audit Department of a pharmaceutical/life sciences company
- A good overview and understanding of Company Compliance Policies
- Long experience in asset management and expertise in law, regulation and practice relating to registered funds and asset management
3
Responsibilities For Director, Corporate Compliance Resume
- Experience in managing UAT is desirable
- Two+ years of data management and reporting experience
- Experience with executive and operational reporting
- Experience drafting corporate level communications
- Experience working with SOX, ICFR, and internal control design and operations
- Experience in conducting data analysis in support of analytical solutions
- Experience with data reporting and visualization tools
- Strong understanding of OFAC/Sanctions risk across the business and operational landscape
- Experience operating under a strict regulatory environment, preferably in a large financial institution
4
Responsibilities For Corporate Compliance Specialist Resume
- Results oriented team player and manager Strong problem solving ability
- Cope with constant changing priorities
- Collaborative team player with strong desire to achieve results while respecting the company’s core values framework
- Communicate extensively (orally and in writing) and develop effective relationships with regulators
- Banking compliance, legal, regulatory or related bank regulatory experience required
- Professional experience in a data, reporting, analytics, and/or electronic files management function required
5
Responsibilities For Manager, Corporate Compliance Resume
- For areas of administrative responsibility, assure that daily operations are aligned with and operate within the organizational goals
- Processing of Exchange/Regulator related tasks including registration/maintenance/withdrawal
- Working with global surveillance colleagues, surveillance technology teams, and project managers to define requirements and conduct UAT testing
- Managing a team of Compliance Surveillance Analysts responsible for reviewing trade surveillance exception reports
- Conducting thorough reviews of analyst work and identifying trends and patterns of Compliance issues through Case Management metrics
- Implementing an end-to-end Compliance program for Citi’s Global Functions across a number of EMEA countries
- Implementing an end-to-end Complianceprogram for Citi’s Global Functions across a number of EMEA countries
6
Responsibilities For Director of Corporate Compliance Resume
- Managing a team of regulatory managers
- Managing significant regulatory exams and other regulatory interactions on behalf of Asset and Wealth Management
- Coordinating with firm wide regulatory exam team
- Liaising with senior members of the Asset and Wealth Management business on relevant regulatory issues
- Working practical market and product knowledge in one or several asset classes (e.g. equities, options, futures, forex, fixed income, swaps)
- Escalating the identified risks to the attention of senior Compliance and Business managers
7
Responsibilities For Lead-corporate Compliance Resume
- Collaborating with Global counterparts on Surveillance program consistency
- Working on special projects pursuant to requests from senior management or necessitated by current events
- Understanding of BSA, AML, OFAC/Sanctions and other AML regulatory requirements
- Organizing workgroups for cross-functional projects required
- Representing TS Compliance at relevant business meetings or forums (e.g. Business Control Forums)
- Partnering with Compliance colleagues and other control functions e.g. Legal, Risk, Audit, Finance and Oversight & Control
- Executing processes in support of Corporate Compliance & Operational Risk’s accountabilities within the CRMP and ORMP
- Managing compliance risk assessments
8
Responsibilities For Corporate Compliance Data Analyst Resume
- Working knowledge of MS Word, Excel, PowerPoint and SharePoint
- Researching data sources to support investigative objectives
- Working knowledge of the firm’s ICDW data warehouse
- Highly proficient in establishing and meeting goals, tracking and driving enhancement opportunities, and presenting progress of the same to management
- Develop and produce program planning, reporting and tracking documentation, including multiple work streams and projects
- Participate and potentially lead working groups that focus on enhancing controls/quality of the monitoring program
- Adhere to SLA on timely processing on incoming and outgoing tasks
- Keeps up-to-date with the industry’s best practices as well as changing laws by identifying and taking relevant courses/seminars
9
Responsibilities For Manager Corporate Compliance Resume
- Knowledge of banking businesses and related products including investment management, treasury services, and correspondent banking businesses
- Scope, execute, and document properly designed GFCC & GACC compliance tests using appropriate sampling methods and testing processes
- Assist the Regional Compliance Manager in providing Trading Desk Compliance advice and counsel to the CWM Equity Order Support and Fixed Income Trading Desks
- Assist in preparation, development and administration of training programs regarding the Firm's policies and procedures
- Develop and review training materials and training tools
- Make recommendations and review of customer facing documents and Comerica advertising materials
- Provide real-time guidance on applicability of regulatory or corporate policies arising from current and prospective principal investing and other transactions
10
Responsibilities For Director, Corporate Compliance Payments Resume
- Assists the Director with identifying and analyzing areas of risk
- Proactively evaluating controls maintained by a Bank investment manager and executing on opportunities for enhancements
- Collation of key metrics and management reporting relating to the function
- Define, develop and implement annual ethics and compliance goals, training strategies, and Compliance Training requirements
- Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements
- Knowledge of operations, finance, regulatory reporting, and applicable rules and regulations, and the ability to learn new areas while supporting them
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