Senior Compliance Manager Resume Sample
Adella Kozey
330 Monserrate Freeway,
Phoenix,
AZ
+1 (555) 111 3361
Work Experience
Senior Compliance Manager
04/2018
-
PRESENT
Philadelphia, PA
- Expertise in compliance policy and program development, execution and sustainability, including translating laws and regulations into actionable requirements and execution; performing risk assessments; monitoring development and execution; testing program development and execution; and training and communications
- Substantive experience working with laws and regulations, including UDAP and/or UDAAP
- Experience in managing remediation plans under tight timeframes and oversight
- Proven ability to effectively communicate with senior management, regulators, and partners
- U.S. Compliance Senior Leadership and Team
- Corporate Audit, Legal and Risk
- LOB and Legal Entity Management
- Corporate Audit, Legal, ERPM and Finance
- Lead programs to create value for client to ensure program deliveries meet or exceed expectations
Senior Compliance Manager, Asia
01/2015
-
12/2017
Boston, MA
- Build successful relationships within the COE and other client personnel to promote confidence, forward planning and best practices
- Provide management and leadership direction for the design, development and implementation of programs
- Collaborate with other account team and proactively share and apply learnings, successes and best practices
- Manage staff to meet department goals; address and resolve staff issues
- Provide training to staff to facilitate career growth and development
- Gather and interpret new/revised state and federal laws and regulations and disseminate appropriate information to Commerce Bank business lines
- Assist in review and/or implementation of new products, services, and/or software as it relates to Compliance functions
- Serve as liaison between the Compliance Department and the assigned business unit(s) on identifying and addressing compliance concerns as changes are made
- Review and evaluate the effectiveness of operating procedures and controls related to compliance objectives
Senior Compliance Manager, Global Markets
10/2011
-
10/2014
Philadelphia, PA
- Review and monitor policies and procedures to ensure compliance with federal and state banking regulations and compliance program
- For technology initiatives, the Senior Compliance Manager and Banking Compliance Advisors lead and support lines of business with mapping system-related compliance controls and integrating oversight of technological changes into the overall compliance management program
- Create and provide ongoing reports to management regarding compliance issues and trends
- Maintain ongoing relationships with Commerce Bank business line and support unit partners
- Demonstrating leadership to, and providing training for, bank employees in compliance-related matters. Oversight of Banking Compliance training program materials for functional areas within management responsibility, including development of content and establishing training schedules
- Assist in responding to requests from regulators and/or addressing exceptions from audits, both internal and external
- Assist in the completion of compliance risk assessments
- Stay abreast of compliance-related rules, regulations and guidance in an effort to assist the Regulatory Compliance Director and bank employees. Review and interpret new and pending laws and regulations that potentially affect the business’ operations. Proactively monitor and assess regulatory trends, industry actions, and other emerging compliance and risk issues
Education
Southwestern University
2006 - 2011
Bachelor's Degree in Business
Professional Skills
- Strong project management, organizational, and prioritization skills, ability to effectively manage multiple tasks and priorities
- Strong time management and prioritization skills with a demonstrated ability to execute against multiple projects and excel in a fast-paced work environment
- Experience of managing multiple stakeholders with strong collaboration skills
- Excellent organizational skills; ability to manage competing priorities and deadlines
- Excellent research and analytical skills with the proven ability in preparing high quality reports
- Excellent decision maker with ability to manage multiple tasks with a demonstrated ability meeting commitments and balancing competing priorities
- Proven change management skills and an ability to work in a quickly evolving industry
How to write Senior Compliance Manager Resume
Senior Compliance Manager role is responsible for organizational, business, compliance, analytical, leadership, interpersonal, influencing, organization, collaboration, english.
To write great resume for senior compliance manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Senior Compliance Manager Resume
The section contact information is important in your senior compliance manager 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 Senior Compliance Manager Resume
The section work experience is an essential part of your senior compliance manager 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 senior compliance manager responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular senior compliance manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Senior Compliance Manager resume experience can include:
- Significant regulatory, internal client and executive interactions, demonstrating strong professional presence, communication and decision-making skills
- Experience in executing Compliance related monitoring program test plans or an audit related background with this skill set and experience
- Proven analytical, problem solving and critical thinking skills
- Good communication skills in English and Chinese are essential
- Good inter-personal and coordination skills
- Has impeccable ethics. Demonstrates, or has proven abilities to demonstrate, Roche Values & Leadership Commitments
Education on a Senior Compliance Manager Resume
Make sure to make education a priority on your senior compliance manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your senior compliance manager 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 Senior Compliance Manager Resume
When listing skills on your senior compliance manager 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 senior compliance manager skills:
- Excellent communications skills and ability to communicate across technical and non-technical skills
- Shows strong leadership skills and has the ability to effectively coordinate and motivate stakeholders to manage compliance risks; results orientated
- Strong negotiation skills: can effectively drive discussions and decisions toward desired end-results
- Strong influencing and engagement skills
- Excellent communication, interpersonal and writing skills. Ability to communicate regulatory compliance issues to senior management
- Strong creative thinking skills, ability to work independently in fast paced, high pressure environment
List of Typical Experience For a Senior Compliance Manager Resume
1
Experience For Senior Compliance Manager, Asia Resume
- Proven analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions
- Demonstrated strength in project management, experience working on process improvement and ability to manage multiple, conflicting priorities
- Strong interpersonal relations, with the ability to effectively influence and collaborate with diverse teams
- Strong analytical, decision-making and communication skills and desire to work in collaboration with others
- Experience in a risk, regulatory, audit, controllership, or legal function, with strong preference for experience in medical devices or pharma industry
2
Experience For Senior Compliance Manager, Global Markets Resume
- Strong communications and presentation skills, with superb ability to drive change
- Working effectively with a small, experienced team
- Excellent report development and writing skills; organized
- Strong coaching and influence skills; and
- Strong communication, critical thinking, and relationship management skills
- Drivers. Strong project management skills and compliance mindset
- Strong leadership, organizational skills
- Customer focused with strong communication skills at all levels
- Develop and maintain detailed and high level reporting sufficient to effectively communicate compliance issues/risks to internal/external parties
3
Experience For Wealth Management Senior Compliance Manager Resume
- Strong experience working with 3P Labs for safety, regulatory and legal compliance
- Conduct targeted validations and reviews on controls over applicable regulations -Perform UDAAP validations and reviews
- Extensive technical skills – Excel, PowerPoint, etc
- Strong ability to manage priorities and projects to meet deadlines
- Experience with consumer product safety compliance program management and in-laboratory experience
- Strong demonstrated problem resolution, facilitation,
- Use influencing skills to help gain buy-in from business owners on new processes and procedures
- Strong experience with testing and monitoring manual and automated controls
- People management experience is a strong preference
4
Experience For Senior Compliance Manager RMA Resume
- Advanced analytical, interpretive, organizational and negotiations skills
- Extensive technical skills - excel, PowerPoint, etc
- Strong/proven knowledge of business processes and structure within an insurance environment
- Strong background working in Digital Technology or with teams and experience helping with digital transformations
- Prior Investment Banking and/or Research Compliance experience required
- Prior investment compliance experience
- Compliance experience; 5+ years of management experience
- Prioritise and handle urgent matters in a calm and effective manner
- Ideal experience is 5+ years' experience in Product safety Certification
5
Experience For Senior Compliance Manager, BMO Chicago Branch Resume
- Superior communication skills, written and spoken, for both one to one and larger audiences
- Experience within Banking, Financial Services, FinTech, Software, Big 4 Accounting or top-tier consulting companies
- Experience with risk assessment methodologies including interviewing, report writing and presentation of findings
- Develop a strong working relationship with sites across the business by developing a regular communication mechanism
- Establish strong connection and collaboration with business partners at the site, e.g. Quality Operations, Training, Manufacturing
- Streamline and manage reporting to establish effective reporting
- Demonstrates a proficient understanding of the SARL and ensures business conducted within the SARL complies with relevant laws and regulations including
- Knowledge and experience in preparing for or conducting SEC examination
- Demonstrated knowledge of securities regulation and processes, including SEC and FINRA
6
Experience For Gwim Senior Compliance Manager Resume
- Environmental compliance associated with air, water, oil handling, and solid and hazardous waste
- Direct experience leading Notified Body/FDA audits is required
- Prepare a compliance report for presentation to the UK Board in a timely manner for circulation prior to the Board meeting
- Exceptional ability to manage or otherwise support multiple programs in a fast-paced environment with changing priorities and significant time pressures
- Maintain close working relationships with regulatory subject matter experts in jurisdictions where the organization operates
7
Experience For Senior Compliance Manager Great China Resume
- Prepare second-line statistical reporting from CORE on the effectiveness of WM’s Compliance Program
- Extensive experience for successful partnering with areas outside own department
- Experience working within an Investment Adviser and/or securities regulators
- Experience in the futures industry, preferably in a regulatory compliance role
- Strong knowledge of futures industry regulatory practices and regulations
8
Experience For Senior Compliance Manager Finance Resume
- Develop and maintain appropriate procedures and controls to ensure the consistency and effectiveness of the account establishment team’s functions
- Solid knowledge of regulations, and regulatory requirements
- Audit or Internal Control experience also an advantage
- Manage the Compliance Team to ensure that it operates efficiently and provides the appropriate services in a timely manner to the business
- Demonstrated ability to influence and collaborate with peers, senior management, business leaders, and executives to accomplish shared goals
- Experience with payments and payroll systems, ITGCs, business processes and data analytics
- Efficiently multi-task, think outside the box and operate with ambiguity and change
9
Experience For Senior Compliance Manager Operations Resume
- Knowledge and experience with regulatory compliance for women’s and men’s apparel, shoes, and accessories
- Strong knowledge of FDA and EU regulatory compliance is required
- Demonstrated knowledge of interpretation and application of QSR, MDD, ISO 13485, ISO 14971, and other applicable international standards is required
- Balance of strategic thinking and strong execution
- Design and develop solutions to measure progress and effectiveness of the compliance program, including metrics, analytics, dashboards, etc
10
Experience For Senior Compliance Manager, EGM Resume
- Experience creating and overseeing compliance monitoring programs, including privet assets programs
- To review and validate RMAR reports before FCA submission
- Lead, in partnership with the CCO, WM, ECP-related effective challenge activities
- Provide ongoing effective challenge to the First Line
- Provide compliance support and oversight with respect to business strategic priorities
- Maintain the team work load to support project priorities and resources flex in accordance with business needs as projects hit key milestones
List of Typical Skills For a Senior Compliance Manager Resume
1
Skills For Senior Compliance Manager, Asia Resume
- Consultative Value Added Advisor to Employee (the “coach/mentor”): Strong interpersonal and communications skills; influencing ability
- Excellent report development and writing skills
- Commercial awareness coupled with strong influencing and communication skills
- Well developed team player experience and skills, operating with a global mindset
- Experience identifying, assessing and prioritizing risks
- A proven track record of delivering strong and sustained performance and improving operational control and risk culture
2
Skills For Senior Compliance Manager, Global Markets Resume
- Extensive ability to resolve issues/conflict and negotiate and facilitate with project groups with proven experience driving group to successful completion
- Well-rounded and progressive banking experience. 5 years of experience as a manager
- Good people management experience, with ability to develop and motivate others to meet demanding schedules
- Strong team player – effective in achieving results
- Strong people management experience and project management
- Superior verbal and written communication skills with senior management, peers and regulators
- Office 365 suite, Adobe, PowerPoint, Tableau (or equivalent presentation software) and SharePoint skills
- Effective compliance risk management program through strong oversight
3
Skills For Wealth Management Senior Compliance Manager Resume
- Experience managing and influencing stakeholders with a record of building collaborative working relationships across reporting lines
- Experience leading, designing, implementing and supporting significant operational initiatives
- Proven track record of implementing/creating a proactive compliance culture while working with line management to move the business forward
- Experience analyzing legislation, identifying and operationalizing requirement
- Extensive experience in conducting and managing Ethics & Compliance / HR investigations
- Extensive experience with regulatory compliance (e.g. (EU/US/UN) trade sanctions), AML / ABC programs, including program design, training and/or audit
4
Skills For Senior Compliance Manager RMA Resume
- Execution experience assessing and supporting product and services development
- Experience in managing a team of direct reports, coaching and development is required
- Demonstrated knowledge of risk management measures, controls and related operational issues applying to banking
- Good knowledge and understanding of the Risk operating environment, associated policies, procedures and protocols
- Experience preparing mutual fund board materials
5
Skills For Senior Compliance Manager, BMO Chicago Branch Resume
- Relevant experience in compliance or a related position (including legal, regulatory or law enforcement)
- Experience working within an Investment Adviser and/or securities regulators
- Experience preparing SOX documents
- Has a solid grounding in compliance issues in the healthcare sector
- Demonstrates professional demeanor and developing executive presence
- Perceived as highly competent with developing business acumen and good judgment
- Validate that issues identified through compliance monitoring and review processes are promptly addressed
- Extensive experience, and working knowledge, of PCI, GDPR, and other privacy and regulatory compliance requirements
- Maintain close working relationships with Volcker Rule Metrics subject matter experts in jurisdictions where the organization operates
6
Skills For Gwim Senior Compliance Manager Resume
- Experience in managing compliance teams
- Experience operating in a fast pace, rapid change environment where collaboration and partnership are the norm
- Experience within consulting or industry
- Experience of working in a global / multi-site, matrix environment
- Strong customer service orientation; applies consultative approach when interacting with peers and customers
- Financial services industry experience and familiarity with banking laws and regulations is required
- Build and sustain solid working relationships
- Supervise more junior members of staff, willing to share information and develop less experienced staff
- Experience in risk-based monitoring in a regulated environment
7
Skills For Senior Compliance Manager Great China Resume
- Attention to detail – previous compliance monitoring/review experience preferable
- Good knowledge and understanding of relevant financial services regulations and risk management principles
- Experience in a compliance-related role
- Experience in a SEC Rule 38a-1 or 206(4)-7 related role
- Management experience which is needed for organising team members both internally and to achieve the objectives of the compliance work plan
- Broad business and compliance experience especially with IIROC
- Previous Compliance experience at a senior level
- Demonstrate enthusiasm and drive and be personable, yet robust, where required
8
Skills For Senior Compliance Manager Finance Resume
- Extensive knowledge of the Life Insurance industry, with at least 10 years related Insurance and/or Compliance experience
- Experience in a global business
- SEC advisory examination experience
- Knowledge of and experience in South or Latin American securities regulation
- Experience with Charles River or Aladdin order management systems
- Demonstrable experience in information security compliance assessment
- Resolve divergent interests and make quick, effective decisions
- Demonstrates well-developed ability to anticipate impact and proactively take initiative to engage others within business
- Quickly identifies critical priorities and eliminates roadblocks
9
Skills For Senior Compliance Manager Operations Resume
- Assisting with the review and processing of core functions during high-volume periods and vacations
- Performing BAU and quality assurance testing for various functions performed by onshore and offshore teams
- Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
- Engendering positive relationships and trust
- Focusing on internal and external Clients
- Being part of a Team
- Understanding of contract law and company operations
10
Skills For Senior Compliance Manager, EGM Resume
- Monitoring volumes and turn-around times for core functions
- Providing metrics and status reports to management
- Coordinating responses to internal and external inquiries; and
- Providing guidance and education to staff and field as needed
- Reporting of I&C metrics for assigned business(es)
List of Typical Responsibilities For a Senior Compliance Manager Resume
1
Responsibilities For Senior Compliance Manager, Asia Resume
- Excellent written and verbal communication skills, including ability to communicate effectively to senior management and business partners
- Excellent project management skills: can prioritize multiple tasks and goals to ensure timely, on-target and within-budget accomplishment of such
- Proven ability to effectively interact with all levels of staff and management, as well as with the Board of Trustees
- Strong business acumen: understands how the business “works” and demonstrates consistently effective “navigation” across the organization
- Highly developed people management skills with proven ability to lead, manage and motivate
- Solid communication skills, both oral and written, are necessary
2
Responsibilities For Senior Compliance Manager, Global Markets Resume
- Excellent communication skills with proficiency in English and Cantonese; Mandarin an advantage
- Good communication skills and proficiency in written English and Chinese
- Prior experience in project management or leading significant projects required
- Proven experience working independently and on teams
- Thinks “outside of the box” for solutions. Applies creative problem-solving and appropriate business solutions to effectively address compliance risk
- Expert organization skills for documentation and other aspects of position
- Proven experience in audit/compliance/risk role, preferably in Global Markets compliance advisory
- Leadership skills for promotion of team spirit
3
Responsibilities For Wealth Management Senior Compliance Manager Resume
- Strong problem-solving ability and attention to details
- Maintain and manage an effective compliance program covering domestic and international data inquiries
- At least seven years of compliance experience with an entity regulated by the Securities and Futures Commission of Hong Kong or Monetary Authority of Singapore
- Team player with demonstrated ability to influence and collaborate with peers and business leaders
- Work with Franchise Compliance to identify, prioritize and ensure implementation of new and revised regulatory requirements and expectations
4
Responsibilities For Senior Compliance Manager RMA Resume
- Possess at least four years compliance or Supervisory Principal work experience in a SEC/FINRA regulated environment
- Establish strong process for regulatory engagement, exams, building confidence in our ability to manage and comply with licensing requirements. Includes
- Possesses solid knowledge of Abbott’s businesses and knowledge of the broader business impact
- Work experience in legal, compliance, policy, auditing, training, communications or related discipline in the bio/pharma industry
- Communicate detailed requirements to line of business, validate solution approach and monitor status
5
Responsibilities For Senior Compliance Manager, BMO Chicago Branch Resume
- Strong attention to detail & meticulous
- Experience in a corporate compliance role in a multi-national company in the healthcare and pharmaceutical sector
- Strong Fluency in written and spoken English is required
- Good team player, but able to work under own initiative
- Work under pressure, prioritise and work to tight deadlines
- To understand and operate to the principals of TCF and conduct risk management
- Work experience as a compliance officer in PRC capital market
6
Responsibilities For Gwim Senior Compliance Manager Resume
- Prioritise and focus on key tasks
- Significant functional knowledge in compliance with proven ability to interface with subject matter experts
- Proven ability to collaborate with team members, and with business partners to influence decisions and effectuate change
- Proven ability to initiate and implement Quality System changes as a result of Compliance
- Strong knowledge of U.S. securities rules and regulations; particularly SEC and FINRA
- Strong LIHTC knowledge
- Ignificant securities/insurance compliance experience
- Experience in risk assessment, policy/procedure development, and programmatic implementation in a regulated environment
- Compliance audit and investigations experience
7
Responsibilities For Senior Compliance Manager Great China Resume
- Excellent judgement, ability to make critical, time-sensitive decisions
- Demonstrate a general knowledge of applicable laws and regulations, industry trends, and Risk Solutions’ products and services
- Highly organized, ability to work autonomously with little supervision, and ability to manage multiple tasks and priorities
- Financial services experience, preferably in compliance, risk management, and/or audit roles
- Significant experience in compliance and/or risk functions in the health care industry
- Strong attention to detail as well as the ability to provide a more strategic overview of a regulatory issue to non-Compliance staff
8
Responsibilities For Senior Compliance Manager Finance Resume
- Strong interest to understand business needs and address conflicts
- Regulators/Examiners liaison experience is Required
- Strong ability to develop and lead a small team
- Attention to detail – previous compliance Policy/Advisory experience preferable
- Strong ability to build open relationships and gain consensus with all stakeholders
- Third party agency such as TUV, Nemko, UL, etc… engagement experience
- Reviewing advertising and other communications with the public
- Building guidance on government compliance website relative to non-US requirements
- Handling FCM registration matters
9
Responsibilities For Senior Compliance Manager Operations Resume
- Understanding of GE compliance processes (or their equivalent)
- Working knowledge of the Arabic language
- Preparing personnel for exam interactions, and leading meetings involving personnel and examiners
- Managing exam documentation gathering, review, retention and dissemination
- Managing tracking of exam requests and contact personnel as needed
10
Responsibilities For Senior Compliance Manager, EGM Resume
- Reviewing requests and advising internal stakeholders
- Providing guidance to business and compliance partners on exam request responses
- Coordinating with cross-functional teams to source data and other requirements to fulfill examiner requests
- Maintaining exam physical and electronic files
- Reporting and remediating compliance issues
- Assessing and implementing regulatory changes
Related to Senior Compliance Manager Resume Samples
Compliance Manager / Senior Manager Resume Sample
Work Experience
• Compliance Management and Team
• Corporate Audit, Legal and Risk
• U.S. P&C LOB Management
• Direct Compliance reporting on key projects to assist business line, global function or HTS in meeting project deadlines ensuring advice is relevant and acc...
Professional Skills
• Experience analyzing potential quality iss...
• Excellent interpersonal skills to communic...
• Demonstrated skills in working independent...
Compliance Manager Senior Resume Sample
Work Experience
• Manage assigned specialized compliance functions for major financial services business groups of the largest and most complex nature. Ensure adherence to the Compliance Officer and Money Laundering
• Control Officer handbooks
• Identify and report all significant regulatory c...
Professional Skills
• Strong oral/written communication and nego...
• Strong writing and editing skills, includi...
• Excellent critical thinking, problem solvi...
Safety & Compliance Manager Resume Sample
Work Experience
• Experience within safety, security and compliance
• Health, dental and vision care insurance
• Hold IOSH/NEBOSH Diploma in Occupational Health and Safety
• Over 5 years’ experience working in Manufacturing to a senior management position
•&n...
Professional Skills
• Demonstrated ability to prioritize and man...
• Strong communication skills as demonstrate...
• Excellent verbal and written communication...
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...
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...
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 ...