Policy Compliance Resume Sample

5.0
29 votes
Resume Create

The Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Winifred Auer
7115 Morgan Pass,  Detroit,  MI
+1 (555) 665 2141

Work Experience


Head of Compliance Policy & Operations
01/2018 - PRESENT
Detroit, MI
  • Assist in the updating and maintaining of policies and the firm’s written supervisory procedures
  • Serve as an effective member of the VBS P & P and Standards Committee
  • One Security certification is required (GSEC, GISF, GPEN, GWAPT, GCIH, GCIA or GCUX or equivalent)
  • Technical Knowledge/Skills in the following areas
  • Excellent computer skills including: Excel, Word, and PowerPoint
  • Experience in the sports or entertainment industry
  • Self-motivated and the able to perform with minimal supervision
Policy Compliance
03/2015 - 12/2017
Boston, MA
  • Prepare product filing of policy, certificate, amendments and related forms
  • Draft Responses to state regulator’s comments to secure filing approval as necessary
  • Develop business rules for the Information Technology team; provide system specifications applicable to new and revised forms and support implementation
  • Identify, track and report to the leadership team compliance issues that require follow up investigation
  • Assist with the company’s responses and documentation requests to any regulatory inquiries and third party examiners
  • Relevant work experience in hospital, healthcare, or business operations compliance with knowledge of the healthcare industry, regulatory requirements, and experience in writing policies and procedures
  • Experience in researching, interpreting and applying complex state and federal rules, regulations, policies and procedures
HR Policy & Compliance Administrative Assistant
08/2012 - 10/2014
Houston, TX
  • Organizational skills, detail-oriented
  • Translate a high-level direction into practical projects and drive their completion with minimal supervision
  • Coordinate the firm’s required annual associate training program including the course needs analysis and the firm element program document
  • Maintain the firm’s library of compliance and supervisory manuals; including tracking and publishing updates
  • Document outcomes and conduct follow-up from the department’s review of new or amended securities industry regulations
  • Draft policy language for new and existing products - ongoing evolution of our existing forms and policy language
  • Research competitor product offerings for potential inclusion AXA’s product suite
  • Evaluate existing policy language; develop and implement enhancements

Education


Oklahoma State University - Tulsa
2007 - 2011
Bachelor's Degree in Computer Science

Professional Skills


  • Experience working as an Administrative Assistant or Coordinator position in a Human Resources, Compliance and/or Legal department
  • Executing compliance and policy requirements; 25% Project Management of policy initiatives; 20% Planning; and 20% lead/direct/guide policy architects to meet strategic targets
  • Experience with Microsoft Visio or other applicable flowcharting software
  • A demonstrable ‘can-do’ attitude with the ability to pro-actively manage workload and prioritise tasks to ensure deadlines are met
  • Experience in a compliance function of a Wealth Management and Employee Benefit business
  • Direct the Company’s technical accounting function as it relates to new accounting guidance, new/unique business transactions and recurring highly technical accounting processes
  • Preparation of technical accounting memos to support the Company’s application of accounting principles to specific and non-recurring transactions and also advise on the operational implications to key stakeholders

How to write Policy Compliance Resume

Policy Compliance role is responsible for government, software, securities, training, research, travel, security, powerpoint, compliance, benefits.
To write great resume for policy compliance job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Policy Compliance Resume

The section contact information is important in your policy 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
  • Email
  • Telephone number

Work Experience in Your Policy Compliance Resume

The section work experience is an essential part of your policy 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 policy 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 policy compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Education on a Policy Compliance Resume

Make sure to make education a priority on your policy compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your policy 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 Policy Compliance Resume

When listing skills on your policy 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 policy compliance skills:

  • Understand the general computing control structure of the Company (systems and architecture) and be able to apply that knowledge to how it supports the processes and procedures from both a SOX perspective as well and a risk management perspective
  • Strong analytical skills and ability to analyze risk trends, identifying signs of changing risk levels
  • Certifications: CISA / CISM / CRISC / CISSP / CPA
  • In IT management or operations, technology or operational risk management, technology audit or related role, including experience testing and assessing controls

Related to Policy Compliance Resume Samples

Director, Compliance Resume Sample

Work Experience

  •  Develop and ensure implementation of Enterprise compliance policies and procedures throughout the organization including the dissemination of written policies and procedures   •  Draft policies that clearly communicate relevant compliance requirements to applicable lines of business, global functions ...
Professional Skills

  •  Recognizing, assessing, and proposing solu...
  •  Excellent organization and prioritization ...
  •  Proven client relationship experience givi...
4.6
22 votes

Finance Compliance Resume Sample

Work Experience

  •  Supporting the KEF Compliance team with Key’s Enterprise Risk Management program and/or KEF Regulatory Compliance.  Performing in-depth testing of critical regulatory processes, seeking to improve the testing program, and execute reporting results to management   •  Document new and/or update KEF ris...
Professional Skills

  •  Demonstrated problem solving skills includ...
  •  Excellent computer skills as they relate t...
  •  Proven ability and experience in performin...
4.8
16 votes

Policy & Compliance Analyst Resume Sample

Work Experience

  •  Experience with general IT   •  Experience with FISMA, RMF, and NIST SP 800-53 and 53A   •  Experience with general IT   •  Experience with general IT   •  Experience with FISMA, RMF, and NIST SP 800–53 or 53A or equivalent policies
Professional Skills

  •  Strong management skill set with proven ab...
  •  Strong research skills – ability to gather...
  •  Possession of excellent organizational and...
4.8
18 votes

Mortgage Compliance Resume Sample

Work Experience

  •  Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives   •  Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills

  •  Experience working in a production environ...
  •  Pulling and Pushing: Opening and closing f...
  •  Performing transactional testing of requir...
4.8
18 votes

Team Lead, Compliance Team Resume Sample

Work Experience

  •  Communicate with lines of defense regarding information related to internal audits, KRIs and control tests   •  Participate in the resolution of identified risks   •  Research regulations to advise on application by the business unit   •  Draft and revise polici...
Professional Skills

  •  Excellent IT skills including Word and Excel
  •  Strong verbal and written communication sk...
  •  Experience of process mapping and developi...
4.6
11 votes

Audit Compliance Resume Sample

Work Experience

  •  Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes   •  Scotiabank’s Privacy Code   •  Working knowledge of the policie...
Professional Skills

  •  Considerable skill in effective verbal and...
  •  Strong written and verbal communication sk...
  •  SAS software implementation experience or ...
4.9
21 votes
Resume Builder

Create a Resume in Minutes with Professional Resume Templates