Business Compliance Resume Sample
Faustino Sawayn
40804 Claudia Ports,
Phoenix,
AZ
+1 (555) 172 3929
Work Experience
Business Compliance Manager
02/2017
-
PRESENT
Chicago, IL
- Providing advice and training to Product Safety & Regulatory staff on the policies and procedures required to implement business compliance with Syngenta and legal requirements
- Providing a high quality, consistent and credible service that meets business deadlines
- Designing and implementing tools, procedures and standards that maximize effectiveness of Product Safety & Regulatory operations
- Managing the performance, discipline, training and development of team members to ensure that they perform effectively in their roles
- Ensuring an inspection programme of organisations carrying out all of the regulatory work outsourced by Product Safety from Jealott’s Hill
- Drive Monitoring activities for J&J Medical Device GB/Ire
- Develop strategies to achieve compliance where required
Business Compliance
02/2012
-
09/2016
Dallas, TX
- Ensure Corporate Auditing & Testing MAP response and MAP items closure
- Maintain high quality of Corporate data in view of ensuring high Corporate reporting standard
- Lead and direct timely completion and implementation of compliance projects
- Lead SOP development, training and implementation
- Work closely with CII’s CCO and in support of the development and maintenance of the firm’s 206 (4)-7 compliance program
- Develops, documents, implements and monitors business compliance processes and reporting, including activity related to state insurance investment and SEC regulations and audits, derivatives and custody compliance, and process management for KYC and internal borrow/lend documentation and reporting
- Works closely with CIM investment functions and business partners, including IT, Finance, Legal, Enterprise Compliance, and Accounting, to implement operational compliance processes efficiently and effectively
Grp Mgr, Business Compliance
02/2007
-
09/2011
Houston, TX
- Assists with assessment of impact of changes in regulations and CIM investment and business practices
- Assists with additional process development, improvement and analysis projects related to CIM operations functions as needed
- Builds and maintains relationships with clients, service providers, outside counsel, regulatory agencies, and professional organizations to support compliance and business activities
- BA/BS in business, finance, or other relevant field
- Strong investment markets and asset class knowledge base
- Relevant investment compliance and operations experience
- Organizational agility and interpersonal and influence skills
- Flexibility, ability to manage time and juggle multiple priorities
Education
University of Phoenix - Minneapolis / St. Paul Campus
2003 - 2007
Bachelor's Degree in Business
Professional Skills
- Demonstrates high level administration skills
- Essential Facilitation & Training Skills
- Exceptional interpersonal skills with ability to influence and build consensus amongst different functions and geographies
- Experience conducting compliance/advertising review of broker dealer marketing materials
- Highly motivated individual with proven track record in delivering results
- Experience in managing regulatory change, particularly MiFID and Dodd-Frank
- Conduct due diligence checks on client prior to proceeding with client requests
How to write Business Compliance Resume
Business Compliance role is responsible for compliance, architecture, procurement, database, technical, finance, training, integration, logistics, auditing.
To write great resume for business compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Business Compliance Resume
The section contact information is important in your business 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 Business Compliance Resume
The section work experience is an essential part of your business 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 business 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 business compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Business Compliance resume experience can include:
- Strong project management skills, with the ability to synthesize relevant details within complex situations
- Superior organization skills required
- A collaborative personality who enjoys and is able to work effectively in a team-oriented environment
- Work experience in SW and/or mobility sales, operations, marketing
- Obtain in-depth knowledge of TTS products with strong emphasis on all cross-border cash products
- Relevant experience
Education on a Business Compliance Resume
Make sure to make education a priority on your business compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your business 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 Business Compliance Resume
When listing skills on your business 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 business compliance skills:
- Deals well with ambiguity and demonstrates strong organizational, process and interpersonal skills
- Work well between functions and across all levels of the business and effective time management skills are essential
- Interfaces effectively with employees at all levels in Business Compliance related admin topics
- Consolidating all regional reports, including liaising and partnering with multiple HCCOs (region-wide)
- Consolidating region-wide communication both from management to HCCOs and HCCOs to management
- Finance or accounting experience is required
List of Typical Experience For a Business Compliance Resume
1
Experience For Business Compliance Manager Resume
- Attend Monthly HCC Central Team Operating Group meetings/conference calls
- Translate Corporate Strategy into Local Operating Company Implementation
- Proactively engage with stakeholders to innovate simplify and help drive compliant growth strengthen global compliance aspect within business
- Become the TTS Business expert on SWIFT Analytics.
- Obtain in-depth knowledge of the Financial Institutions sector; its products and services as well as the regulatory environment in which it operates across countries
2
Experience For Senior Manager, Line of Business Compliance Resume
- Significant international exposure and management across geographical regions
- In coordination with the General Counsel’s Office, ensuring that all legal requirements associated with business area(s) are identified and documented within the Legal Inventory
- Engage with our Customer Care team to ensure the customer’s concerns are directly addressed
- Partner with the HCC Officer and Corporate HCC Central Team
- Establish and execute required compliance standards in J&J Medical Devices GB/Ire as define by cluster HCC Officer
- Connect and partner with the Medical Devices leadership team UK&I
- Define compliance strategy and metrics and deliver through Business Compliance Manager/Specialists accordingly
3
Experience For Business Compliance Specialist Resume
- Lead team of compliance professionals for J&J Medical Devices GB/Ire
- Develop a talent strategy for compliance team
- Recruit, attract and retain Compliance team
- Serve as the central point of contact for internal and external audits. Participate and advise in the resolution of non-compliance or audit findings
- Conduct and provide data reports and analytics, workflows and metrics across department functions. Prepare, review and maintain records and other documentation related to compliance, proper authorizations, etc
- Advise, manage, test and maintain information on process controls
- Maintain a current awareness of regulatory compliance policies and processes. Provide policy and procedure feedback on changes to existing processes or the implementation of new policies or procedures
- Develop system user expertise and serve as a liaison between function user and technical systems groups. Assist with system implementations and operations supporting functional users. Document system implementations and/or process enhancements within the department
- Organize and managea tracking system to provide internal reporting regarding the progress of individual and all complaints
4
Experience For Business & Compliance Analyst Resume
- Participate or conduct special projects as need to support the business operation
- Maintain working knowledge and provide backup support for Assets, Purchasing, Payables, PCard Insurance and Assets departments as needed. Make Purchasing decisions, release purchase orders, edit and release contracts, make payments as needed to support backup positions
- Conduct detailed analysisof each case to identify any potential risk exposure
- Engagewith our Customer Care team to ensure the customer’s concerns are directly addressed
- Interface and manage the relationshipdirectly with the third party agency as their sole point of contact within the company
- Proactively provide consistent updatesinternally and to outside counsel
- Creates and maintains spreadsheets, documents and reports in HCC related Trainings. (for compliance data, provides routine and non-routine reports as requested, and keeps listings current)
- Maintains and disseminates health care compliance information with reconciliation of all value transfers in Health Care Professional and Government Official related activities
- Preferably experience in Compliance
5
Experience For Grp Mgr, Business Compliance Resume
- Provides some administrative support (document preparation, file management, scheduling) to HCC department
- Stimulating and contributing to innovative approaches towards HCPs and GOs consistent with the HCC/HCBI guidelines and framework carrying out day-to-day tasks such as data collection, analysis and reporting,
- Supporting TMEA regional HCCO for regional project
- Make things happen through handling a broad set of Credo based values
- Establish discussion platforms to get general business buy-in and impact analysis
- Understands the J&J Credo based culture
- Work independently and in a detailed manner
- Work well in teams as well as independently achieve required outcomes
6
Experience For Senior Business Compliance Analyst Resume
- Provide administrative support to the designated UK/IRE Business Compliance Specialist to ensure all activities within the business take place compliantly and have all the required documents and approvals in place prior to the activity going ahead
- Innovative thinking, with enthusiasm, energy and drive
- Provide guidance, and first level reviews for One MD UK/IRE activities in accordance with the HCC Programme
- Process and review such requests for approval via the on-line approvals process
- Engage with and support the business as a trusted compliance contact and offer necessary support
- Report issues and escalate to Specialist if necessary
- Ensure appropriate post event documentation is provided in relation to all activities that the business undertake in line with audit requirements
7
Experience For Business Compliance Analyst Resume
- Assist with HCP/GO payments in a timely manner in line with J & J payment terms
- Willingness to travel, and attend meetings as required
- Provides analytical support of the Business and Compliance Analytics capability (primarily in respect of data residing in GRAPSQA’s system estate, but also data from non-GRAPSQA sources)
- Provides expertise and resource for the design, development, implementation and continuous improvement, of a global portfolio of GRAPSQA analytics/reports and the reporting environment/platform
- Development of data integration workflows using technical platforms such as Talend/Informatica
- Development of complex SQL (preferably Oracle) and PL/SQL scripts to respond to business analytical requirements
- Integrates and presents complex data sets in response to business questions, often requiring a deep understanding of regulatory/pharmacovigilance procedures, systems and data (e.g. license information)
8
Experience For Business & Compliance Manager Resume
- Supports the existing portfolio of reports/dashboards across various technical platforms (Spotfire, Oracle APEX, Excel VBA), providing continuous improvement and customer support
- Provides analytical input where required to KPIs, internal and external benchmarks, compliance and data quality issues
- Supports the delivery of a business and compliance analytics strategy for GRAPSQA that is aligned with global strategic priorities and the prioritized needs of the GRAPSQA business, its customers and partners
- Extensive experience working within a regulatory environment with an understanding of regulatory processes and systems, including experience of RIM (Regulatory Information Management Systems), and Document Management systems (Documentum)
- Understanding of the procedures, processes and standards governing the submission and exchange of electronic information (documents and data) with health authorities worldwide, including familiarity with regulatory data-driven initiatives such as EVMPD and IDMP
9
Experience For Business Compliance Service Manager Resume
- Highly developed conceptual and analytical thinking, with ability to understand multiple, complex business needs and ability to work independently to solve complex problems, often while working with uncertain assumptions
- Proven ability to interpret and integrate complex data sets and to communicate them effectively
- Strong desire to move into a technical data/analytics role
- Administration experience advantageous
- To support the Business Compliance Function to ensure all activities within the UK/IRE One Medical Device business take place compliantly
- Ensure compliant business growth across the assigned business unit(s)
- Travel up to 5-10%
10
Experience For Business Compliance & Risk Resume
- Proficient in MS office applications/ World check / Factiva
- Proficiency in MS office applications / World check / Factiva
- Multi-task and work under stress
- Deal with flexible work load and type is essential
- Work within company policies and procedures
- Have the ability to quickly integrate into the organization and understand the Bank’s culture
List of Typical Skills For a Business Compliance Resume
1
Skills For Business Compliance Manager Resume
- Technical skills in the following areas – Excel (incl. VBA), SQL, visual analytics (Tibco Spotfire or similar)
- Experience of data integration using tools such as Talend/Informatica
- In-depth knowledge of SQL, preferably in an Oracle environment (PL/SQL), including experience of Oracle APEX (Application Express)
- Strong people leader with track record for execution
- Experience in FMCG as sales finance or auditor or other finance roles with exposure to internal control, sales operational and sales system is an advantage
- Strong knowledge of capital markets products and processes
2
Skills For Senior Manager, Line of Business Compliance Resume
- Seven to ten years of experience in supervisory, compliance or audit roles
- Knowledge of local regulatory guidelines, KYC/AML guidelines and good awareness of bank controls and operations risk
- Has demonstrated change leadership
- Endure and make timely, sometimes difficult and unpopular, decisions and convey the HCC message in a strong manner
- Ensure activities operate within Healthcare Compliance (HCC) and Foreign Corrupt Practices Act (FCPA) requirements as outlined by the One MD HCC Officer
3
Skills For Business Compliance Specialist Resume
- Relevant experience in health care sector
- Experience in a project management, analytical, or customer-facing role (or similar)
- Operates to support Health Care Compliance management software and programs (like HCC Life approval systems).
- Operate within the UK/IRE HCC policies and procedures
- Attending the Strategic Capabilities (SC) leadership team meetings and engaging on wider SC discussions
- Organizing and administratively supporting all Web-ex team meetings
4
Skills For Business & Compliance Analyst Resume
- Maintaining and updating the region wide database (Sharepoints)
- Maintaining records and documentation related to region-wide HCC requirements
- Providing and coordinating appropriate guidance and regular communications on HCC to all covered employee
- Bring powerful financial analysis to insights by using logic and intuition in decision making
- Develop training materials, coordinate campus training on related department requirements, and maintain training records
- Contribute to developing and ensuring a compliant culture within the business users
- Liaise with customers on agent bank / customer screening queries on telegraphic transfer transactions and screening hits
- Sales & Marketing staff: providing them with HCC support and guidance
5
Skills For Grp Mgr, Business Compliance Resume
- Assist and support HCC testing and monitoring documentation and activities
- Draft Consulting and Educational Grant agreements with Healthcare Professionals/Government Officials (HCP/GOs) using a legally approved template
- Extend business and product knowledge by attending Professional Education events, product training and field visits when required
- Delivers data modelling expertise, specifically with a view to integrating data across regulatory/pharmacovigilance systems
- Self-motivated, working with little day-to-day supervision
- Broad understanding of the Medical Devices companies
- Understand and working knowledge of the internal controls
- Help business and prof-ed employees and support them by serving as a key point of contact for HCC Life processes HCC Policies and procedures
- Review of the hits generated by monthly customer screening
6
Skills For Senior Business Compliance Analyst Resume
- Work with Compliance on the accounts triggered by monitoring surveillance system
- Provide advice on regulatory issues relating to AML
- Perform transaction monitoring and sanctions review
- Assist with regular senior management reporting
- Assessment of name screening hits
- Liaise with customers on agent bank / customer screening queries on telegraphic transfer transactions
- Perform triggering event review of customer accounts
- Perform various type of triggering event review of customer accounts
7
Skills For Business Compliance Analyst Resume
- A track record of integrity and ethical decision making
- MBA graduate and/or MS Computer Science/SW with minor in business administration, finance, accounting
- Manage and oversee the daily operations of the accounting department/Project
- Help business and profed employees and support them by serving as a key point of contact for HCC Life processes HCC Policies and procedures
- Enhance business contacts and work relationships across TTS, Compliance, Risk and Banking
- Regular, reliable attendance in the office interacting with others required
- Provides support in coordinating various projects and assignments as requested
- Deliver ad-hoc training and provide support on HCC approvals systems to staff if required
- Assist in co-ordinating preparations for Corporate Internal Audits
8
Skills For Business & Compliance Manager Resume
- Rapid development of tactical solutions to solve acute business problems, such as data quality or compliance, using Oracle Apex (Application Express)
- Can influence and drive results at all levels of an organisation
- Know, understand, incorporate and comply with all applicable laws and regulations relating to GB/Ire activities and Policies and Procedures of the HCBI Program and Trade Association Code of Conduct
- Demonstrated capability to drive compliance improvement through data collection, review & intervention
- Proven track record of successful engagement with business leadership team members
- Develop talent and manage poor performance
- Inspire and create team spirit
- Awareness of market access trends & challenges
9
Skills For Business Compliance Service Manager Resume
- See bigger picture, provides new perspective and clarity
- Proactively engage with stakeholders to innovate. Simplify and help drive compliant growth strengthen global compliance aspect within business
- Work with legal department to set Privacy Regulations among the company
- TPI’s contract and operations process management
- ICD system applications and operations management
- Digest complex information, summarize clearly and communicate confidently with front office, compliance and infrastructure stakeholders
10
Skills For Business Compliance & Risk Resume
- Perform annual review of high risk customers
- Perform investigation in relation to suspicious transactions
- Interface with relevant units and the business in regards to compliance reviews, investigation, as well as other ad-hoc projects
- Work closely with business users and project team members on problem resolution, project initiation, implementation and post implementation support
- File STRs and recommend relationship strategy
- Conduct research via available Bank systems and commercial databases as well as internet
- Perform annual review of customers
- Liaise with customers to obtain updated information
List of Typical Responsibilities For a Business Compliance Resume
1
Responsibilities For Business Compliance Manager Resume
- Business Compliance Specialist for support and guidance
- HCC Team for corporate HCC advice
- Establish efficient Methodology on statutes, precedents, regulations and rulings and
- Proactively manages workload
- Professional Education Team
- Erving as a business analyst or compliance representative with a financial institution. Prior experience with IT compliance related activities. Strong verbal and written communication skills and the ability to interact professionally with a global group of managers, stakeholders, developers, and subject matter experts. Strong understanding of risks and their impact
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