Manager, Compliance Resume Sample
Luisa Kassulke
56644 Alisa Parkways,
San Francisco,
CA
+1 (555) 420 6810
Work Experience
Manager, Compliance
09/2017
-
PRESENT
Los Angeles, CA
- Establishing proper controls so that all regulatory filing reporting requirements are consistently met for Pruco Securities
- Drafting Form U5 and State termination language when a registered representative is terminated for cause or resigns while under internal review and/or reportable Internal Reviews that are opened on terminated representatives
- Chairing the weekly Form U5 meetings and presenting the draft U5 cases to senior management
- Working with the Law Department on drafting the Form U5 and State Termination language and presenting these cases to senior management during weekly meetings
- Interacting directly with regulators, and handling their requests with the appropriate sense of urgency
- Excellent communicator, including verbal, written, and listening skills
- Strong risk management process and risk assessments skills, if applicable to assigned function
- Serve as subject matter expert for Express Scripts’ Learning Management System
Manager Compliance
10/2014
-
04/2017
Los Angeles, CA
- Manage day-to-day activities with multiple high profile projects and competing priorities
- Plan, multi-task, and time effectively
- Manage multiple projects with competing priorities and of a complex nature
- Represent Compliance Programs to internal and external audiences
- Experience with Global Quality systems as well as auditing within the pharmaceutical industry
- English, French an asset
- Results oriented, with a successful track record for implementing quality systems
- Multi-task and function independently as required; able to mentor and lead teams
Manager, Compliance Program
09/2008
-
09/2014
New York, NY
- Flexible and proactive in learning new processes
- Proficiency in basic computer applications such as Outlook, Microsoft Office Suite (Word, Excel, Power Point), etc
- Monitoring and auditing; and
- Investigations with specific focus on FDA regulations, fraud and abuse laws and the PhRMA Code on Interactions with Healthcare Professionals
- Available to report to work with two-hour advance notice
- Wear protective equipment (such as welding shields, hard hat, hearing protection)
- Manages professional staff and directs the functions and operations of an organizational section or unit; establishes and implements policies and procedures relating to section’s objectives
- Ongoing oversight of security operations and projects relative to badging ensuring regulatory compliance
- Coordinates with all involved entities, such as contractors, signatories, and badging managers
Education
Argosy University - Hawaii Campus
2004 - 2008
Bachelor's Degree in Business
Professional Skills
- Excellent verbal and written communication skills and ability to resolve disputes effectively
- Strong decision making, analysis and problem solving skills with ability to multi-task
- Excellent communication, interpersonal, and writing skills and personal judgment
- Strong analytical skills and the ability to think laterally and strategically
- Excellent Microsoft Office skills (i.e. Excel, PowerPoint)
- Demonstrate confident leadership, sound judgement and problem-solving skills
- Excellent interpersonal skills and the ability to remain fully engaged with all business clients and work well under pressure
How to write Manager, Compliance Resume
Manager, Compliance role is responsible for interpersonal, analytical, organizational, business, compliance, leadership, reporting, negotiation, research, legal.
To write great resume for manager, compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Manager, Compliance Resume
The section contact information is important in your manager, 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 Manager, Compliance Resume
The section work experience is an essential part of your manager, 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 manager, 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 manager, compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Manager, Compliance resume experience can include:
- Strong organizational and time management skills Strong analytical and problem solving skills
- Excellent interpersonal communication skills with ability to effectively interface with all
- Demonstrate negotiation and influencing skills
- Good research, writing, and oral communication skills
- Strong organizational skills, having the ability to maintain orderly documentation and track issues/recommendations
- Good analytical thinking and communication skills; and
Education on a Manager, Compliance Resume
Make sure to make education a priority on your manager, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your manager, 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 Manager, Compliance Resume
When listing skills on your manager, 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 manager, compliance skills:
- Effective communication skills, both oral and written, and strong interpersonal skills
- Experience in managing people/resources effectively to accomplish established goals
- Influence cross-functional teams directly or indirectly within a matrixed organization and effectively manage multiple projects with competing priorities
- Excellent organizational, active listening, communication, leadership and customer service skills
- Excellent analytical, research, problem solving and reporting skills
- Strong project coordination/project management, organizational and planning skills
List of Typical Experience For a Manager, Compliance Resume
1
Experience For Manager Compliance Resume
- Prior oncology clinical trials experience and excellent working knowledge of NCTN cooperative group system
- Manage multiple projects and conflicting priorities with strong attention to detail
- Effectiveness in this role requires strong leadership and decision-making abilities
- Develop effective seniorline management relationships andhas a strong understanding of the businesses
- Articulate and communicate information effectively to diverse audiences
- Proven experience with customer presentations and relationships
- Exceptional communication and presentation skills at senior management level
2
Experience For Manager Compliance Monitoring Resume
- Think systematically and communicate effectively
- Experience reviewing advertising, marketing or sales materials; or relevant equivalent experience
- Well-developed organizational skills and highly efficient process orientation
- Experience creating and conducting compliance assessments and developing corresponding mitigation plans
- Experience in mortgage lending compliance is required, (4+ years) including a working knowledge of all federal regulations that apply to mortgage lending
- Experience managing product managers and engineers building at least one of the following: security / identity, or contract management systems
- Accountable for reviewing Canadian P&C RCRA outcomes and providing / recommending effective challenge from second line of defence
- Experience conducting compliance/advertising review of broker dealer marketing materials
- Experience designing and building tools for Contracts, Audit and Identity teams
3
Experience For Manager, Compliance Program Resume
- Assist in major customer deployments and provide real world experience/assistance, including onsite and remote training and guidance
- Cultivate and maintain effective working relationships with a variety of stakeholders, including end users, project managers and senior level management
- Experience working in a dynamic, fast-paced environment that requires a self-starter approach and outgoing personality
- Experience running and/or supporting projects
- Experience in reviewing and assessing regulatory requirements
- Experience with or a desire to learn Captivate 9 and the Learning Management System and its authoring tools
- Experience with the review of marketing materials and other communications
- In a managed healthcare environment, including experience in the areas of compliance oversight
- Experience in writing SQL scripts
4
Experience For Assistant Manager, Compliance Resume
- Code and review the investment restrictions in the investment compliance monitoring system and test the effectiveness of the newly set-up or revised rules
- Update scoping instruction memo from prior year
- Solid knowledge of relevant Canadian legislation and regulations, including financial institutions and insurance
- Prioritizes, maintains and completes compliance testing at Regulators and ITL’s
- Experience with security architecture and testing tools
- Experience with wireless security testing
5
Experience For Manager Compliance & Customer Support Resume
- Extensive experience in clinical research including proficiency with databases and/or patient data
- Manage China and Japan Trade compliance operation teams and processes to ensure effective workflow
- Microsoft Office product experience required
- Develops objectives, plans and scope consistent with the objectives and priorities as indicated by the supervisor
- Set up and implement an effective compliance monitoring program
6
Experience For Manager, Compliance IT Resume
- Legal background and experience in stakeholder management is desirable
- Experience in a cGMP production facility
- IT audit or IT compliance experience
- GRC tool experience required
- Experience directly managing staff (performance reviews, development, coaching, etc)
- More than four years of experience with program management, governance and security processes and controls at the systems, network and application level
- Four or more years of experience in a compliance, regulatory, audit or a similar control function
- Experience creating risk mitigation strategies
- Strong capability to research and evaluate emerging technologies
7
Experience For Group Manager, Compliance & Privacy Resume
- High personal and professional integrity and demonstrated ethical decision making
- Monitoring of shipments requiring OBL's that require stamping, signing, and forwarding to carrier
- Adhering to all regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, and Know Your Client policies
- Understanding of billing and reimbursement processes and systems; health financing; and/or data privacy in the health care environment
- Being responsible for investigating and filing all ‘Unusual Transaction Reports’ (UTRs) for the Centre
- Working knowledge of laws and regulations applicable to the marketing of private funds and investment advisers
- Agreeing and communicating audit results, best practice recommendations and improvement initiatives to business audiences
- Working knowledge of U.S. and global aggregate spend reporting requirements as it relates to the pharmaceutical or medical device industry
8
Experience For Senior Audit Manager Compliance Resume
- Owning the supplier onboarding process and related reports
- Resolving outstanding issues and concerns
- Participating in forensic testing initiatives
- Onboarding of newly acquired or transitioning companies
- Managing and commercializing compliance & security technology partnerships
- Working knowledge in interpreting regulatory, product or client investment guidelines
- Planning and making independent decisions; project management and supervision
- Supporting the Compliance Business Engagement team, working closely with the Legal Department and other company advisors
- Training for new products and product revisions; and
9
Experience For Senior Program Manager, Compliance Resume
- Ensuring an accurate and timely response to requests for compliance assurance information requests
- Working knowledge of cGMPs and regulatory requirements
- Ensuring compliance of the suppliers in your region towards official and Amazon regulations
- Owning the pre-engagement check process of suppliers and their delivery personnel
- Liaising with EU and US compliance teams as required
- Documenting findings and key concerns
- Managing integration of E&C programs with newly acquired businesses
- Simplifying complexity and communication
10
Experience For Manager, Compliance Analysis Resume
- Being a strategic thinker and problem solver
- Escalating unusual occurrences, fraudulent activities, issues, deficiencies, and trends to your supervisor
- Assisting in the provision of training to all employees on relevant regulatory body rules in assigned functional areas
- Utilizing issue management software (JIRA) for monitoring the request queue to ensure requests are completed accurately and timely
- Establishing and maintaining procedures for the Print Forms team
- Liaising with internal and external auditors as necessary
- Reviewing customer requests for new or revised forms
List of Typical Skills For a Manager, Compliance Resume
1
Skills For Manager Compliance Resume
- Strong organization and time management skills, effective leadership skills and expert problem solving skills
- Excellent analytical and strong computer skills
- Good analytical, communication and interpersonal skills; and
- Strong problem solver and project management skills
- Demonstrated interpersonal skills necessary to interact with multiple individuals and entities across a large, two campus academic organization
2
Skills For Manager Compliance Monitoring Resume
- Communicating effectively both orally and in writing with all levels of personnel
- Prioritizing work to achieve maximum results and quality output; providing excellent customer service to all levels within the organization
- Prior experience in evaluating controls and/or evaluating compliance programs in a Retail Operations or Food Manufacturing capacity
- Previous work history demonstrating a high level of organizational, methodical and analytical thinking and problem solving skills
- Responsible for ensuring monitoring output effectively identifies and remediates Compliance related matters for SC and SC’s respective Business Units
- Prior experience in coding compliance rules in Bloomberg AIM, Charles River, or similar
- Prior experience in investment compliance monitoring
- Project management experience, including the ability to prioritize and handle multiple tasks with minimal supervision
3
Skills For Manager, Compliance Program Resume
- Broad professional and managerial skills with an understanding of industry practices and company policies and procedures
- Develop and maintain efficient and effective testing procedures and evaluate the design and operational effectiveness of controls
- Systems skills, including MS Office and hotel systems (Opera, SUN, PeopleSoft etc.)
- Organizational agility, writing and communication skills
- Analytical skills coupled with problem solving capability
4
Skills For Assistant Manager, Compliance Resume
- Prior experience with Bloomberg AIM
- Experience gained within financial institution, law firms and with 2+ years’ experience gained in life-insurance company
- Demonstrated experience providing consulting and advisory services to organizations
- Highly developed critical thinking, analytical, and problem solving skills
- Demonstrated ability to work with multiple stakeholders and capable of providing effective guidance and challenge where appropriate
- Proficiency with Excel, Word, Visio, PowerPoint and general computer skills for daily activities and presentations
- Superior verbal and written communication skills, including the ability to communicate clear detailed instructions to developers
- Prior experience in developing control frameworks for Companies that are required to comply with SOX or NI 52-109
5
Skills For Manager Compliance & Customer Support Resume
- Tertiary qualifications and/or demonstrated experience in corporate governance, risk management or another field relevant to the role
- Monitoring the performance of the compliance program and related activities on a continuing basis, and taking appropriate steps to improve its effectiveness
- Establishing and maintaining effective interpersonal relationships with internal/external stakeholders
- Working experience with SDLC
- Looking for someone with at least 3-5 years of relevant experience
6
Skills For Manager, Compliance IT Resume
- Auditing background and experience
- Experience researching technical accounting matters, including within FASB’s Accounting Standards Codification
- Demonstrated ‘out of the box’ innovative thinking related to deploying cutting edge, robust audit programs to geographically dispersed suppliers
- Have a strong understanding of National Consumer Protection Act & Responsible Lending
- Investment compliance experience is essential, working knowledge on investment management and trading activity is highly desirable
- Five to seven years’ experience relating to Compliance and Privacy with a thorough understanding of compliance and privacy regulation
- Firsthand experience assessing and testing financial based products/systems
- Ensures that the team of compliance employees operate as a global cohesive unit taking advantage of the efficiencies and ensuring compliance for all IOPS sites
7
Skills For Group Manager, Compliance & Privacy Resume
- Guides business and Compliance Management in determining the effectiveness of their compliance control environment
- Good understanding of the Australian financial services industry
- Build and nurture strong working relationships
- Demonstrate a practical approach and a commitment to achieving excellence in compliance risk management built on a risk-based model
- A strong knowledge of internal auditing and control standards is an asset
- Self-starter and effective in driving cross-functional projects
- Any equivalent combination of experience, education and/or training as approved by Human Resources
- Experience in governmental regulatory, independent test lab or audit preferably in the gaming industry
8
Skills For Senior Audit Manager Compliance Resume
- Strong knowledge of banking regulations, products, and processes
- Experience with PCLender Loan Origination System
- Lead team to achieve company goals in effective ways
- Compliance experience required
- Identify and prioritize GIS reviews for regulatory requirements (e.g. HIPAA, PCI, Privacy, and GDPR) with regulatory and corporate policies
- In experience in Cyber Security Compliance related field
- MS Project On-line Experience
- Develop and maintain efficient and effective evaluation procedures
9
Skills For Senior Program Manager, Compliance Resume
- Evaluate the design and operational effectiveness of controls
- Experience in a compliance role ideally in an investment management environment
- Experience in a cGMP production facility
- Experience delivering training to executives
- Proven track record of delivering results by demonstrating the ability to take independent action
10
Skills For Manager, Compliance Analysis Resume
- Experience in data analytics and/or marketing
- Good understanding of Corporate Standards
- Experience working with employment laws, regulations and compliance
- Establish strong working relationships at all levels and external agencies and providers
- Experience with Tableau or Power BI desired, but not required
- Excellent Microsoft Office (Word, Excel, PowerPoint, Visio)
List of Typical Responsibilities For a Manager, Compliance Resume
1
Responsibilities For Manager Compliance Resume
- Provide project management to segment compliance teams and DTSS to meet their compliance requirements for existing and new applications, infrastructure/network components and security tools
- Good PC skills in MS Office (Word, Excel and Access)
- Strong leadership presence and ability to manage people and projects effectively
- Professional with core compliance or business skills
- Demonstrated ability to operate independently and be part of a team, able to build relationships across and outside the organization
- Works collaboratively with peers and leverages skills and knowledge within the global Legal Department and Compliance Office
- Effectively communicate and support the UPMC mission and values to employees at all levels of the health system
- Experience defining, developing, and administrating metrics reporting for all levels of management and across multiple organizational units
2
Responsibilities For Manager Compliance Monitoring Resume
- Experience working within corporate compliance programs
- Or greater In a managed health care environment, including experience in the areas of compliance oversight
- Strong understanding of Canada’s regulatory environment and applicable laws and regulations as it relates to AML/ATF and Anti-Corruption
- Experience with enterprise level implementations of of R12 modules in security / identity / controls
- Experience with security analysis, process, and practices
- Periodically manage engagements with third-parties to conduct independent compliance risk and program effectiveness assessments
3
Responsibilities For Manager, Compliance Program Resume
- One (1) to three (3) years of previous leadership and management experience
- Good business sense and commercial judgment
- Ideally 5 years of compliance experience, preferably in the financial services industry
- Advocate strategically and operationally effective solutions to complex QS problems. Advise and consult on project/quality, risk and remediation plans
- Assisting and supporting the Philippines Print Form Manager and the individual Print Form developers and providing training for them
- Working with other Business Analysts to analyze specific needs and develop proactive solutions for general process improvements
- Maintain awareness of existing and emerging threat models for the purposes of vulnerability testing and knowledge sharing
- Deliver program reporting utilizing tools to track planning, scheduling, issues and overall status of compliance efforts
4
Responsibilities For Assistant Manager, Compliance Resume
- Provide representatives with hands on, one-on-one guidance and assistance in meeting FINRA and state licensing and Continuing Education (CE) requirements
- Assists the CCO with overseeing the NorthStar Code of Ethics, including the personal securities trading policy
- Familiarity with reading, analyzing and working with healthcare or other complex laws, regulations and requirements
- Adapt to changing technology impacting business processes, particularly as concern training and education
- Assist in developing compliance training, compliance policy development, investigations, and auditing, as needed
- Work within professional auditing and accounting standards to ensure that professional standards are maintained in the execution of compliance testing
5
Responsibilities For Manager Compliance & Customer Support Resume
- Identify training needs based on gaps identified through the compliance monitoring and testing process
- Assist the legal department with preparing document production in response to arbitration and litigation claims naming the Broker/Dealer
- Establish a foundation for continuous improvement, incorporating internal, external and client feedback utilizing technology solutions
- Participate as a Subject Matter Expert during meetings, on executive communications and in any testing of systems or products as needed
- First Sale Program – vetting & auditing
6
Responsibilities For Manager, Compliance IT Resume
- Interpretation and understanding of the provisions of applicable rules and requirements, and providing support to Senior Management on these
- Perform annual compliance training and as-needed targeted training initiatives
- Act as Project Manager for vulnerability based initiatives including scheduling, stakeholder communications, task delegation, project status, deadlines etc
- Meets with Human Resources for staffing issues or to assess staffing needs
- Works with the Administrative Hearing process looking at processes for collection of fines for citations
- Partner with multi-functional teams within Macy’s (Merchants, Project Management, Imaging, Copy, Marketing, etc.)
- Leads tracking of 3rd party vendor activities and data monitoring to ensure completeness, accuracy, and timeliness of data
7
Responsibilities For Group Manager, Compliance & Privacy Resume
- Provides training and guidance to all department and internal teams regarding compliance requirements
- Helps identify training and educational needs regarding University compliance
- Assist with developing new or enhanced training modules, presentations, and materials
- Periodically assist with administering and managing the company’s Integrity Helpline and the Business Ethics Questionnaire process
- Assists the Training Team with development of compliance training modules
- Coordinate / ensure proper requirement documentation and processes mapping across all domains touching Agent data
- Develop, implement, and maintain testing/assurance and oversight processes to support the Compliance Program and Reporting
- Support daily activities of ongoing portfolio adherence and fund monitoring program
8
Responsibilities For Senior Audit Manager Compliance Resume
- Identify risks and creatively find solutions while managing conflicting interests
- Determine impact on administrative and marketing functions in regards to legislation changes
- Assist with the creation of the Firm’s annual continuing education program
- Oversee the testing and creation of the Firm’s annual Rule 3130 and 206(4)-7 risk assessment reports
- Assist the B/D Chief Compliance Officer with chairing various internal and external committees
- Coordinate with Development, Product Support, IT etc. to acquire the required products for testing
- Leverage existing tools and identify future opportunities to develop a more robust Security Analysis/vulnerability program
- Familiarity with hardware and software penetration testing
- Maintain internal wiki for assigned compliance programs covering, scope, governance, FAQ’s, security and operational documentation
9
Responsibilities For Senior Program Manager, Compliance Resume
- Review marketing materials and client correspondences for compliance with internal and regulatory requirements
- Review and approve staff trading requests in accordance with the Global Code of Ethics
- Import document management and liaising with Customs Brokers
- Sales enablement training for Hootsuite AE’s on ISV partner solutions
- Web technology sales and consultative selling
- Lead and conduct regular compliance testing and risk assessment
10
Responsibilities For Manager, Compliance Analysis Resume
- Develop, organize and conduct compliance training to staff
- Coordinate and perform regular compliance reporting to the Home Office (U.S.); and
- Conduct ad hoc internal monitoring reviews of business operations for contract compliance
- Assist in daily activities covering UCITS Funds, APAC Funds and Institutional mandates, 1940 Funds, US Institutional Funds, etc
- Final QA review of new forms and revisions to existing forms for accuracy and completeness
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