Lead-compliance Resume Sample
Gina Dach
29135 Brooke Coves,
New York,
NY
+1 (555) 631 1358
Work Experience
Lead Compliance Analyst
05/2017
-
PRESENT
Boston, MA
- Module/Tech Lead (AVP - C12)
- Perform IC compliance testing reported on IC Scorecard (quanitative testing)
- Perform monthly internal BSR inspections
- Perform 10-12 annual 2nd Level BSRs
- Perform monthly manual JE testing
- Prepare/conduct Manual JE Testing Report Out
- Present ad hoc policy updates and reminders during Controller's Call
Senior Analyst / Team Lead-compliance
04/2011
-
02/2017
Chicago, IL
- Travel: Perform on site audits and BSR inspections
- Travel: Coordinate internal and external audit preparation
- Travel: On-site presence during IA visits globally
- Assist with monthly close activities as needed
- Lead and assist with special/ad hoc projects throughout the year
- Opportunity to a develop culture, processes and standards that result in a successful offshore delivery model
- Opportunity to work in a challenging domain with stakeholders in APAC and EMEA regions
- Manage development of employees in terms of career paths
Team Lead, Compliance
12/2004
-
01/2011
Detroit, MI
- Provide guidance to the country on GRAB’s compliance policies and processes
- Compliance related experience
- Good communication skills and works well in a team
- Able to work well with business owners, in a dynamic work environment
- Flexibility to travel up to 20% of the working time within the countries in SEA
- Resourceful, dedicated and takes initiative
- Opportunity to work on critical technology for surveillance such as Linux, Oracle DB , high performance scale-out architecture
- Exposure to other AML applications
Education
Lawrence University
1999 - 2003
Bachelor's Degree in Computer Science
Professional Skills
- Strong organizational skills, analytical and project management skills
- Strong communication skills and the ability to build strong relationships across organizations, built upon the foundation of integrity and trust
- Demonstrates good listening skills and puts forth the effort to understand others points of view
- Excellent oral and written communication skills along with knowledge of industry standards and regulatory requirements
- Experience: 7+ years related work experience, including 4+ years in Information Technology and 3-4+ years in IT Audit
- Prior business experience with emphasis on financial or compliance auditing and/or fraud investigations
- Existing knowledge and expertise in one of the above areas or a proven aptitude to quickly (within 1 year) gain such knowledge
How to write Lead-compliance Resume
Lead-compliance role is responsible for regulatory, organization, listening, telecommunications, finance, securities, training, auditing, purchasing, security.
To write great resume for lead-compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Lead-compliance Resume
The section contact information is important in your lead-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 Lead-compliance Resume
The section work experience is an essential part of your lead-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 lead-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 lead-compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Lead-compliance resume experience can include:
- Track any changes in Foreign Portfolio Investors’ (FPI) Rules on daily basis and communicate with relevant stakeholders on real time basis including responding to queries
- Demonstrates good listening skills and puts forth the effort to understand others' points of view
- A demonstrated capability to navigate the provisions of the Canadian Income Tax Act and solid understanding of IAS 12 and other GAAP measures
- Proven cross functional engagement experience (desired, not required)
- Pharmaceutical or healthcare related experience in an auditing or monitoring role
- Support the identification of appropriate sample sizes and execute testing to ensure effectiveness of controls
Education on a Lead-compliance Resume
Make sure to make education a priority on your lead-compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your lead-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 Lead-compliance Resume
When listing skills on your lead-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 lead-compliance skills:
- Team player attitude with demonstrated ability to establish and effectively develop relationships and to partner effectively
- Excellent time management and organizational skills to effectively handle a diverse workload
- Experience with audit skills, controls, risk management, security and related industry regulatory issues
- Proven expertise through demonstrated results in one of these areas is more important than number of years’ experience
- Effective communication skills, both written and verbal, in formal and informal settings, and across a range of audiences
- Problem solver utilizing critical thinking, good judgment, and proven ability to make important decisions
List of Typical Experience For a Lead-compliance Resume
1
Experience For Lead Compliance Analyst Resume
- Evaluates and reports on the effectiveness of BU compliance
- Demonstrates broader knowledge of NERC Compliance controls, regulatory matters, security, business acumen and critical infrastructure
- Coordinate the implementation of the effective and efficient use of tax technology solutions
- Interface with IA on the program validation
- Working knowledge of transmission stations & equipment, and associated safety policies, practices, and procedures
2
Experience For Senior Analyst / Team Lead-compliance Resume
- Conduct refresher training sessions and workshops on complying with laws like the Telephone Consumer Protection Act and the CAN Spam Act
- Provide analytical support to risk identification and stratification, which includes monitoring and preparing reports in a proactive fashion
- The Federal Organizational Sentencing Guidelines
- Integrated Healthcare Delivery System compliance requirements (provider, Management Service Organization, Group Purchasing Organization)
- Assist team members with research and assigned tasks; provide training to supported teams
- FINRA licensing 7 & 24
- Knowledge with Microsoft operating systems and CAD (Microstation or AutoCAD)
- Government Auditing Professional Certification (CGAP), NIST Cybersecurity Framework (CSF) Foundation, etc
3
Experience For Mantas Appdev Tech Lead-compliance Tech Resume
- Communicate clearly, concisely and accurately with peers, customers, team members, and leadership verbally and in writing
- Conduct challenging conversations in a tactful, professional manner
- Tracks and maintains records as per regulatory requirements
- Maintains compliance, safety, and security files
- Establishes and promotes the maintenance of a safe, accident free and healthy work environment
- Implements/advocates company compliance standards in the region
4
Experience For Team Lead, Compliance Resume
- Develops and presents significant compliance requirements to the business for implementation
- Reviews action plans and determines adequacy
- Partners with Corp Compliance, HR, Legal and Business Operations to ensure compliance requirements are met
- Review/evaluates anti-bribery/anti-corruption hospitality requests and third party due diligence checks
- Conduct risk assessments across BU in order to assess compliance with new and existing legal, regulatory and internal policy requirements, evaluate the effectiveness of BU internal controls, and provide guidance for improving controls
- Assess vendors against corporate technology policies
- Conduct audits, reviews, periodic evaluations, training and special reviews as identified in annual risk assessment or as specified by management, to determine company’s compliance with laws and regulations
- Research and remain current with applicable State and Federal laws and regulations, in addition to standard operating procedures relevant to Corporate and Departmental policies to ensure the company is in compliance. Advise leadership of changes and new regulations
- Author articles and white papers on topics relating to data privacy
5
Experience For Payment Services Lead, Compliance Resume
- Investigate privacy breaches, report findings and then implement changes to improve breach-prone areas
- Advise various levels of personnel on compliance issues related to products, services, regulations and laws to ensure the company is in compliance
- Identify non-compliant practices and work with attorneys and business units to devise technological and administrative solutions to ensure compliance in ways that minimally burden business units
- As necessary, coordinate with enterprise functional teams on periodic compliance audits, including reviews of standard operating procedures, operational checks and balances and management controls to identify problems and to recommend corrective actions
- Conduct special reviews originating as a result of alleged violations of Corporate and Departmental policies (including breaches, mishandling of information, and other related improprieties) and reports findings leadership
- In data privacy in a predominantly analytical position with audit experience
6
Experience For Lead Compliance Committee & Monitoring Operations Resume
- Assist in training and education of ecommerce employees’ compliance related education to ensure employee understanding of privacy compliance
- When requested, coordinate and/or assist with external audits, special projects and examinations to ensure their successful completion
- Enterprise wide Integrity and Compliance Program Facilitation and Implementation
- The Office of Inspector General’s Model Compliance Plan
- The Centers for Medicare & Medicaid Services Part C and Part D program requirements and other government contract compliance requirements
- International requirements for global roll-out to the Company’s international subsidiaries
7
Experience For Program Senior Lead-compliance Plan Implementation Resume
- Investigate reported integrity and compliance concerns
- Perform quality assurance (QA) reviews and validation reviews of CIP-related implementations (processes, procedures, internal controls) and associated evidence to ensure compliance with Duke Energy’s NERC CIP cybersecurity policy (IT 503) and with the NERC CIP Standards
- Perform risk assessments to develop an accurate understand of the relative risks associated with findings from internal and external assessments and audits to ensure that the organization’s response to these issue is scaled to be commensurate with the potential risk to the Bulk Electric System (BES)
- Develop interpretations of new CIP Standards using a variety of inputs such as regulatory guidance and industry benchmarking to produce unambiguous descriptions of compliance obligations for internal stakeholders to use as guidance for implementations
- Recommend modifications to the NERC CIP cybersecurity policy (IT 503) that are triggered by: new and/or changing NERC Standards, newly published guidance from the regulators, and by internal requests for improvements
- Provide enterprise coordination, project oversight, reporting, and issue resolution for implementation of future versions of the NERC CIP Standards (e.g., CIP Version 6 for low-impact systems, CIP Version 7, etc.)
8
Experience For Tech Lead Compliance Resume
- Prepare reports on the results of internal reviews of compliance evidence, including categorization of findings and recommendations to be addressed Support implementations of technologies to augment Duke Energy’s NERC CIP Compliance Program to drive efficiency and sustainability in the pursuit of both compliance and operational goals
- Demonstrated focus on safety
- Complete walkthrough and process documentation of controls to ensure effective control design
- Strong team player with ability to execute in a matrix structure, across time zone and national boundaries
- Perform internal consulting with business area personnel to ensure that they understand, plan for, and implement compliance requirements
- Develop terms of reference and audit program documentation aligned to the internal risks and regulatory requirements of Thomson Reuters
- Identify opportunities and leverage CAATs solutions
9
Experience For Senior Lead Compliance Accounting Analyst Resume
- Review and agree findings with the respective auditees
- Oversee the activities of assessment team members as required
- Support the implementation of controls for new processes, products and solutions across Thomson Reuters
- Build and maintain relationships with key stakeholders to improve risk awareness and compliance as a subject matter expert
- Identify process improvements and automation opportunities to simplify, standardize and improve compliance across Thomson Reuters
- Deliver additional activities as defined by senior leadership
10
Experience For Lead-compliance Clerk Resume
- External or internal IT Audit, ideally from Big 5 or other Financial Services organisation
- Travel upto 8 weeks per year
- Deliver additional activities as defined by the VP – Compliance
- External or internal IT Audit, ideally from Big 5 or other Financial Services organization
- CISA Certified or equivalent certification
- Travel up to 8 weeks per year
- Provides consultation, interpretation, administration, and development as well as implementation of contractual, regulatory, and reliability documents
List of Typical Skills For a Lead-compliance Resume
1
Skills For Lead Compliance Analyst Resume
- Able to work under pressure, self-reliant, well-organized and able to keep a number of activities in parallel, balancing priorities as necessary
- Regulatory, securities, or advertising compliance experience
- Good business acumen with a successful track record in aligning to business drivers
- Experience of auditing to external requirements (regulatory or contractual)
- Relevant years of experience in accounting
2
Skills For Senior Analyst / Team Lead-compliance Resume
- Experience in a large global manufacturing organization
- Experience implementing corporate compliance programs
- Demonstrate and apply a thorough understanding of Highmark’s complex business processes and environment
- Experience of auditing infrastructure, databases, and networks
- Experience with regulations including Sarbanes-Oxley, Payment Cards Industry, Data Privacy, etc
- Experience with regulations including ISO 27001, ISO 9001, Sarbanes-Oxley, Payment Card Industry, Data Privacy, etc
3
Skills For Mantas Appdev Tech Lead-compliance Tech Resume
- Experience leading multiple programs
- Four (4) or more years of experience working with the NERC CIP standards and requirements
- Experience with implementing new enterprise processes and methods in environments with distinct departmental processes
- NERC Compliance experience
- Experience with Protection & Control relay and RTU applications and drawings, including device communication
- Models behaviors that promote effective interactions between individuals in a work group and between work groups
- Demonstrate a customer service-oriented attitude
- Experience of GRC module functionality and usage
4
Skills For Team Lead, Compliance Resume
- Experience in the area of FCPA Compliance and export/import controls
- Leading the day-to-day team activities of the restrictions team, including workload management, following up on critical items, reporting on productivity
- Ongoing oversight of the Process work stream for the Legal Entity Process and Infrastructure Project (CLEMS) including
- Mapping of legal entities to AML AUs (assessment units),
- Managing process to ensure that the spend and resources are appropriate and aligned amongst the cross-functional AML and Sanctions teams
- Opening parcels flagged for Restrictions review, access contents for import and export compliance and document findings
- Working knowledge of electric utility telecommunications
- Working knowledge of electric power systems and protective relay applications
- Pass a personnel risk assessment including 7 year background screening and annual cyber security training
5
Skills For Payment Services Lead, Compliance Resume
- Execute on all aspects of information technology audit efforts including planning, preparation, field work, reporting and follow-up activities
- Provide guidance and support to business partners (e.g. Sales and Marketing) in creation of mandated product training
- Provide additional support for the ongoing analysis and review of enterprise-wide AML spend and resources, including
- Facilitate privacy discussions between different functions at AT&T-Consumer Digital including Sales, Marketing, Operations, and across the enterprise
- Conduct refresher training sessions and workshops on complying with privacy laws
6
Skills For Lead Compliance Committee & Monitoring Operations Resume
- Analyze processes, services and products; provide ongoing guidance to ensure compliance with regulatory and statutory requirements
- Assists with the response and resolution of accounting audit issues presented by PricewaterhouseCoopers, regulatory examiners and internal auditors
- Basic understanding of model compliance programs, business and operational knowledge of Highmark and/or Insurance industry
- Efficiently communicate with geographically dispersed teams, considering cultural differences
- Current trend and emerging integrity and compliance development
- Adaptable to changing work environments and an inquisitive user of technology solutions
7
Skills For Program Senior Lead-compliance Plan Implementation Resume
- Thorough knowledge of accounting concepts, US GAAP, Sarbanes Oxley, budget principals, and financial systems
- Detailed knowledge of Eaton Financial Accounting Policies & Procedures
- Proficient in financial accounting systems, i.e. SAP, Hyperion (HFM), RSD, and Khalix - Encore
- Development of an ongoing sustainability plan
- Develop and deliver content for user training workshops
8
Skills For Tech Lead Compliance Resume
- Assist with the UAT, including development of the test script and the follow up on workflow issues identified in UAT
- Preparation of the reporting to the Compliance Committee of the Board as well as to the OCC and FRB
- Make final ruling on ability to ship forward, return, liquidate or destroy parcel contents
- Repackage parcels opened and reviewed and ensure review did not compromise the safety of the item being shipped forward
- Establish, maintain and update, as necessary, policies and procedures covering the activities and oversight of the portfolios.
- Basic understanding regulatory environment
9
Skills For Senior Lead Compliance Accounting Analyst Resume
- Continuously report up to company leadership significant matters regarding the company’s compliance program
- Monitors and analyzes impacts of changes in regional laws and regulations on existing procedures policies and revises them accordingly
- Proactively conducts regional risk assessments on new and existing legal, regulatory and policy compliance requirements
- Improve the organization’s information technology compliance awareness and understanding of business impact
- Define remediation plans for agreed findings with all stakeholders including Control Owners and Program Owners that mitigate the risks identified
- Ensure all documentation and reporting meets the process and quality requirements of the Thomson Reuters ISRM Compliance function
- Leads the development, support, and contributes to the on-going strategy of the NERC Compliance program to meet regulatory and company requirements
10
Skills For Lead-compliance Clerk Resume
- Accurate and timely computation of Suncor’s tax provision relating to corporate entities
- Correspond with the CRA and be accountable for responding to financial statement audits
- This is a temporary role for a 14-month period
- Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices
- Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives
List of Typical Responsibilities For a Lead-compliance Resume
1
Responsibilities For Lead Compliance Analyst Resume
- Experience with regulations such as HIPAA, ISO 27001, ISO 9001, Sarbanes-Oxley, Payment Card Industry, Data Privacy, etc
- Post-secondary education, relevant industry courses and a solid background in mutual funds, ETF’s and UCITS
- Reviews and recommends responses to legal and regulatory inquiries
- Knowledgeable and proficient of tools and procedures for the NERC Compliance program
- Serves as an interface between team members, business units, support groups, corporate areas, contractors, and vendors to ensure appropriate communication and problem resolution
- Coordinate and manage the tax compliance process for Suncor within designated areas
2
Responsibilities For Senior Analyst / Team Lead-compliance Resume
- File tax filings and understand and support all material tax positions
- Supervise junior staff including work allocation management and the performance review process, as well as provide mentorship to all junior staff within the Corporate Tax department
- Assist in the implementation of special projects related to tax compliance matters
- Monitor and publish on advancements in information privacy technologies to ensure digital adaptation and compliance
- Perform privacy impact assessments and technology enabler reviews for consumer digital marketing teams, marketing technology (Adco), ad agency teams, to run and run weekly compliance review process for AT&T’s publishers and advertisers (vendors change frequently)
- Advise various levels of personnel on compliance issues related to products, services, regulations and laws to ensure the company complies
- Assist in training and education of ecommerce employees’ compliance related education to ensure employee understanding of privacy compliance, ad tech, and privacy
- Develop audit program documentation aligned to the internal risks and regulatory requirements of Thomson Reuters
- Quickly learn and adapt in a complex multi-national corporate structure
3
Responsibilities For Mantas Appdev Tech Lead-compliance Tech Resume
- Technical capability to prepare, analyse, and interpret comprehensive financial and operation data/information
- CPA/CMA/MBA (desired, not required)
- Display the ability to adapt or change to better achieve the targets and objectives
- Lift up to 50 #’s, walk, stand, stoop, and bend 80% of the time with or without accommodation
- Securities and some advertising industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 6 & 26)
- Background in Transmission system reliability and maintenance programs
- Demonstrated excellent listening and communication skills; able to present complex information in an understandable manner both verbal and written to all levels of the organization including senior management, executive management as well as regulatory entities and other utility representative
4
Responsibilities For Team Lead, Compliance Resume
- Work within field environment, on an as needed basis
- Audit certifications such as: Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA), Certified
- Achieve consensus on decisions and communicate with impacted individuals or groups
- Perform day-to-day tasks with minimal direction
- Manage complex problems to resolution
- Great promotional opportunities – We encourage internal promotion, whenever possible
5
Responsibilities For Payment Services Lead, Compliance Resume
- CISA Certified or equivalent
- Identification and review of functionally regulated entities and non-bank entities which provide AML services
- Prepare the periodic status reports and updates for AML leadership
- Completion of the functional requirements for the LE process workflow
- Manage the rollout of the CLEMS in 2015
- Participate in the analysis and recommendation of a platform rationalization strategy for the three legacy legal entity systems
6
Responsibilities For Lead Compliance Committee & Monitoring Operations Resume
- Preparation of the of enterprise-wide AML and Sanctions annual budgets and forecasts
- Provide support for the review of client orders in Pitney Bowes Restrictions Dashboard upon request
- Related progress experience in the area of specialization including experience in leading projects of varying size and complexity. Grandfathered experience requirements effective August 2016
- Thorough understanding of general legal and business concepts combined with functional skills in TaxPrep ( or equivalent other tax related software) and Microsoft Office
- Proven knowledge and expertise through demonstrated results in one of the above areas
7
Responsibilities For Program Senior Lead-compliance Plan Implementation Resume
- Experience in the area of risk assessment, compliance or related field or equivalent
- Lead by example when setting performance expectations and standards and values mentorship, continuous learning and career development
- Excellent oral, written, presentation, solid decision making abilities, and analytical skills to review and articulate corporate compliance objectives and applicable guidance and regulations
- Knowledge of legal and regulatory compliance regulations
- Follow and interpret government regulatory requirements and changes
- Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization
- Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement
8
Responsibilities For Tech Lead Compliance Resume
- Monitor and assess compliance with the applicable Prospectus’ associated with the Portfolios
- Certification in compliance or related field
- NERC Compliance Program
- Demonstrated excellent listening and communication skills; able to present complex information in an understandable manner both verbal and written to all levels of the organization including senior management, executive management as well as regulatory entities and other utility representatives Demonstrated ability to absorb change and continue with positive results
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