Compliance Advisory Resume Sample
Alicia McKenzie
4698 Klocko Estate,
Detroit,
MI
+1 (555) 882 3818
Work Experience
Compliance Advisory Manager
04/2016
-
PRESENT
Chicago, IL
- Monitor the TS businesses’ compliance with laws and regulations, identifying weaknesses and developing remedial programs
- Provide real time advice and counsel to the sales persons, traders, and investment bankers within the Municipal Banking and Markets Line of business with respect to compliance with applicable laws, rules, and regulations
- Maintain and communicate regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective procedures and controls so that their day to day activities operate in a compliant manner
- Engage other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide oversight of FLU and CF activities
- Conduct compliance risk assessments of Front Line Unit ("FLU") or Control Function ("CF")
- Contribute to monitoring and testing coverage plans and related metrics for Front Line Unit ("FLU") or Control Function ("CF")
- Monitor and test the effectiveness of the front line unit and control function compliance risk controls
- Identify aggregate, report and escalate compliance risks, issues and control enhancements
Compliance Advisory
04/2009
-
10/2015
Detroit, MI
- Identify compliance training needs, provide subject matter expertise to support development of training curriculum, and inspect FLU/CF and third party participation
- Assist business leaders in preparations for regulatory exams and audits for FLU/CF and related Enterprise Areas of Coverage
- Inspect that commitments made regarding actions in response to Matters Requiring Attention ("MRAs") and other actions are completed
- Escalate regulatory relations concerns to Compliance Executive
- Provide face to face training to bankers and AB’s where need for improvements in onboarding identified
- Extensive experience within financial services, ideally with a ‘buy-side’ asset manager and with a background in Compliance, Legal or other control function
- Experience within financial services, ideally with a ‘buy-side’ asset manager and with a background in Compliance, Legal or other control function
Operations Compliance Advisory
10/2002
-
02/2009
Philadelphia, PA
- Excellent organizational skills with ability to prioritize workloads and adhere to deadlines
- Maintain positive relationships with regulators, SRO’s, exchanges, counterparties, and clearing houses
- Compliance (or equivalent) experience obtained in a financial institution, including a broker-dealer (ideally within a financial conglomerate), regulator and/or other comparable environment)
- Excellent knowledge of relevant banking and securities laws related to products including: derivatives, equities, fixed income, and futures
- Partnership mentality across regions and the RBC enterprise as a whole
- Exceptional interpersonal skills and superior judgment
- Horizon Spotting: source and disseminate regulatory changes, and non-regulatory developments (such as industry best practice) regarding the Client Money and Asset regime within the UK and Ireland
Education
Trinity University
1997 - 2001
Bachelor's Degree in Economics
Professional Skills
- Have demonstrated strong business analytic skills and have a background in risk, compliance or assurance
- Strong (internal and external) relationship building and communication skills
- Meticulous with strong analytical skills and a high aptitude for numbers
- Displays well developed and effective negotiating skills
- Intellectual and analytical skills of a high order with a graduate qualification
- Demonstrate a strong risk focus
- Have a proven experience in managing relationships with business stakeholders and/or regulators
How to write Compliance Advisory Resume
Compliance Advisory role is responsible for compliance, analytical, business, languages, trading, regulatory, retail, finance, credit, securities.
To write great resume for compliance advisory job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Advisory Resume
The section contact information is important in your compliance advisory 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 Compliance Advisory Resume
The section work experience is an essential part of your compliance advisory 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 compliance advisory responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance advisory position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Advisory resume experience can include:
- Making a strong contribution to the team’s provision of Compliance advisory support and oversight for Italy business lines
- Making a strong contribution to the team’s provision of Compliance advisory support and oversight for The Netherlands business lines
- Experience and an interest in funds (including alternatives), structured products and broader compliance and regulatory matters
- Experience in related Compliance area
- Drafting and reviewing policies and procedures resulting from regulatory developments
- Overseeing certain advertising and marketing campaigns
Education on a Compliance Advisory Resume
Make sure to make education a priority on your compliance advisory resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance advisory 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 Compliance Advisory Resume
When listing skills on your compliance advisory 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 compliance advisory skills:
- Meticulous with strong analytical skills and a high aptitude for numbers and Excel proficiency
- Strong written/oral communication, organisational, and interpersonal skills
- Related working experience, preferably in established accounting firms
- Experience working in Compliance at a major investment servicing firm would be of benefit
- Driven by the skilled and empowered individuals in Compliance who are focused on doing the right thing
- Act as culture carrier to less experienced colleagues and support others to develop their understanding of Compliance and our role
List of Typical Experience For a Compliance Advisory Resume
1
Experience For Compliance Advisory Manager Resume
- Experience/knowledge of financial markers and the current regulatory structure in Europe
- Member of working groups and committees that relate to CASS
- Sound knowledge of China banking regulations and other related industry rules
- Be a FCA CASS ‘centre of excellence’ within Legal and Compliance
- Support compliance in overseas jurisdictions on Client Money and Assets
2
Experience For AML Compliance Advisory Manager Resume
- Maintain Client Money and Asset policies, procedures and other documentation for which compliance is responsible
- Provide high quality and timely regulatory advice and support on Client Money and Assets and related issues to the CF10a and business
- Involvement in key business projects that relate to Client Money and Assets
- Sound knowledge of Markets products, services, policies & procedures
- Working with the EMEA head of the team, the global head of Fixed Income Advisory and colleagues across the America’s and Asian Pacific region, provide qualitative compliance advice and support to the Private Credit business and their respective support functions and ensuring that regulatory issues are properly escalated
- Detailed working knowledge of a number of the following areas, credit hedge funds, middle market debt direct lending, Whole Loan Mortgage Strategies CLO’s and / or securitizations
- Reviewing GCG marketing material and Client communications for compliance with Markets in Financial Instrument Directive (MiFID), other regulatory requirements and the Bank’s policies and standards for communications and marketing material
- The ability to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of Legal and Regulatory provisions
- The ability to analyse legal, regulatory and reputational risk and where necessary escalate matters to the appropriate management level
3
Experience For United Kingdom Passive Asset Management Compliance Advisory Resume
- Represent Compliance at the regular board and committee meetings of UK legal entities as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge
- Assist with the maintenance of compliance policies and procedures for the business. This includes maintaining and updating the Risk & Compliance Policy and Procedures manual on a monthly basis and ensuring that any changes are reflected accordingly
- Making a strong contribution to the team’s provision of Compliance advisory support and oversight for EII businesses, Product Development and index portfolio teams
- Manage a team who supports AML Advisory Governance
- Support AML Advisory Program through expert advice, influence adjustments to the processes, procedures
- Assist the AML Advisory Program in the development and maintenance of the Compliance Program documentation standards
- Identify industry AML trends in data and proactively provide resources on those identified external and internal risks
- Review inquiries from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
4
Experience For Operations Compliance Advisory Resume
- Identify trends in data and proactively advise on identified external and internal risks
- Experience in Compliance, or at least 5 years of experience in Legal, or a least 5 years of experience in Audit, or at least 5years of experience in Risk Management
- Plan, design and manage project plans, design, solution and implementation of risk issues and remediation
- Identify issues, process improvements, and solutions
- Manage a team who owns or supports processes within AML Advisory
- Review inquiries from lines of business and Advisors and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
- Engage in Audit, Regulatory, and other reviews of the AML program
- Assist Advisors in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
5
Experience For Compliance Advisory, Associate Resume
- Support Advisors through expert advice, influence adjustments to the processes, procedures, and controls
- Provide compliance advice, representation and guidance to the following committees/business areas: EMEA Pricing Committee, Risk and Quantitative Analysis and Retail Sub-Advisory Funds business (this includes UCITS & Alternative investment fund (‘AIF’) mandates)
- Reviewing marketing material and client communications for compliance with MiFID, other regulatory requirements and the Bank’s policies and standards for communications and marketing material
- At least three years’ experience within a control function within the asset management industry, ideally within Compliance, Legal or investment guideline oversight role
- Experience within an asset management or financial services environment, preferably in a control function
- Providing advice to ASL staff regarding applicable laws, rules, regulations and Deutsche Bank policies and procedures on a timely basis
6
Experience For Global Thresholds Compliance Advisory Lead-director Resume
- Reviewing and opining on new business initiatives and transactions
- Manage key business relationships to ensure that business units are aware of new regulations impacting the business and developments in the regulatory environment
- Maintain a comprehensive knowledge of AIB processes and organisational structure
- Have a proven experience of Compliance and Risk Management in a Banking environment and associated risks, clear understanding and knowledge of risk management methodologies
- Understand and apply all relevant regulations and policies (including client asset protection; outsourcing and fiduciary and payments rules and regulations)
- Proactively provide accurate and timely technical advice and guidance to the Investments Services Businesses in relation to regulatory compliance issues including in the context of proposed new or expanded business activities and locations
- Identify and analyse emerging Compliance risks and trends. Provide feedback and recommendations to other Compliance and Business colleagues on how to mitigate these risks
- Represent Compliance in connection with business driven projects. Provide constructive challenge to help ensure that BNY Mellon’s regulatory obligations are taken into account
- Where required act as liaison between the Business and the Firm’s Regulators, in particular the FCA and PRA. Ensure that internal colleagues are appropriately prepared for discussions with the Regulators
7
Experience For Compliance Advisory, VP Resume
- Represent BNY Mellon at relevant industry events/forums as required and provide timely feedback to internal Business and Control Function colleagues
- Participate in internal business line related /legal entity governance meetings as required. Ensure that any Compliance reports required for those meetings are provided in a timely manner and are focused and relevant to the particular meeting. Provide constructive Compliance challenge at such meetings
- Deputise for the Head of Advisory Compliance where required
- Where required participate in periodic Compliance Monitoring (testing) reviews. This is likely to involve sharing information with Compliance Monitoring colleagues in relation to the business lines and/or regulatory themes they are planning to review
- Work with Regulatory Change colleagues to advise on impact and implementation of any new regulatory requirements relevant to the Investment Services Businesses
- Approval of financial promotions for Netherlands business lines
- Pragmatism and ability to use initiative
- Work on team projects and also work autonomously
- Provide compliance advice and guidance to the Risk department
8
Experience For Senior Analyst, Compliance, Advisory Resume
- Train the various RISQ Teams (i.e. ERM, Credit Risk, Market Risk, etc…) on relevant rules and regulations
- Update Compliance policies and procedures to address current rules, regulations and business model as applicable to the Risk department
- Work closely with Risk personnel on the implementation of regulatory initiatives
- Assist Head of Taxes, South East Asia, on tax advisory matters for Singapore and tax compliance matters for South East Asia
- Contributes to the development of projects and programs to improve compliance and enhance the control environment
- Contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY Mellon businesses
- Providing support on projects involving BNYMEL where regulatory change requires focused attention from the business to ensure that all regulatory change is fully understood, and that operational procedures and controls are compliant
9
Experience For Compliance Advisory Director Resume
- To support the reporting of significant matters concerning regulatory risk to the Board and any Committees within BNYM as appropriate, and presenting to clients as and when required. This involves the preparation of internal and external reports
- To assist in the oversight of any and all outsourcing activities, providing guidance on relevant regulations, support and management of regulatory interaction on the matter
- To lead and support the Firm’s response to any regulatory queries, ensuring all relevant stakeholder replies are included as appropriate, in a professional and prompt manner
- The jobholder of this role is deemed to be performing a Pre-Approval Controlled Function (“PCF”) as defined in the Central Bank Reform Act 2010 and the job holder is required to meet and maintain the Standards of Fitness and Probity outlined in the code issued by the Central Bank of Ireland pursuant to section 50 of the Act
- Around 7 years of experience in a compliance and/or regulatory advisory in a Corporate Banking environment
- Good knowledge and awareness of current regulatory landscape in Italy and Europe, in particular MIFID and UCITS regulations
10
Experience For Singapore & South East Asia Tax Compliance & Advisory Resume
- Overseeing advertising and marketing campaigns
- Developing and leading department training, as appropriate
- Reviewing and approving financial promotions for Italian business lines
- Knowledge of the Banking Act, Securities and Futures Act, Financial Advisers Act and corresponding regulations and guidelines
- Report to BNYMEL Operating Committee, BNYMEL Board of Directors, and any other relevant governance forum
List of Typical Skills For a Compliance Advisory Resume
1
Skills For Compliance Advisory Manager Resume
- Excellent verbal and written communication skills, with attention to detail and an ability to grasp core issues quickly
- Good compliance capabilities, a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy
- Experience in project, or at least 3 years of experience in business process management
- Strong understanding of Singapore tax law / practice
- Build strong relationships and mutual trust with all stakeholders as their Trusted Advisor
- An ability to provide effective and constructive challenge
- Experienced senior tax professional with the credibility / maturity to interact with management, senior business unit personnel and employees at all levels
- Previous conflicts management experience
- Thrives on tight deadlines and demonstrates attention to detail
2
Skills For AML Compliance Advisory Manager Resume
- Good knowledge of AML and CFT for transactional banking
- Create and/or validate processes associated within AML Advisory
- Design and produce reports/forms/metrics used to support department efficiency and effectiveness
- Provide constructive and effective challenge to help ensure that BNY Mellon’s regulatory obligations are taken account of and met
- Good knowledge and awareness of current regulatory landscape in The Netherlands
- Reporting directly into the board and being a role model for the banking industry
- Providing advisory support in relation to The Netherlands regulatory framework, taking into account EU rules and legislation
- Drafting policy and process documents and keep existing documentation up to date
- Assisting in responding to regulatory requests from AFM and DNB
3
Skills For United Kingdom Passive Asset Management Compliance Advisory Resume
- Managing Singapore corporate tax (both direct and indirect) compliance, tax planning and tax risk management for the JPM Group
- Assisting in Singapore and South East Asia corporate tax (both direct and indirect) compliance, tax planning and tax risk management for the JPM Group
- Providing advisory support in relation to Italian regulatory framework, taking into account EU rules and legislation
- Assisting in responding to regulatory requests from the Italian regulators
- Understanding of the bank’s policies and procedures
- Working very closely with the markets business to provide compliance and regulatory advice for FICC products
- Managing FICC compliance projects
- Assisting the Regional Head of Compliance with compliance framework
4
Skills For Operations Compliance Advisory Resume
- Ensuring regulatory framework is in line with company and global policies
- Being an independent control for the bank
- Being a world class global compliance function
- Partnering with Sanctions advisory to ensure Sanctions requirements are adhered to
- Working as part of a global team responsible for BlackRock’s information barriers, policies and procedures and restricted list processes
- Ongoing support for processes and systems
- Escalating transactions and issues to management where appropriate
5
Skills For Compliance Advisory, Associate Resume
- Supporting overall BlackRock Netherlands BV oversight responsibilities and Netherlands’ policies framework oversight
- Supporting overall BlackRock Italy Branch oversight responsibilities and Italy’s policies framework oversight
- Providing guidance on line of business specific training
- Providing guidance on business policies, standards, and procedures
- Partnering with first line to ensure AML requirements are appropriate and adhered to
- Managing the implementation of a Group Tax strategy from a planning, compliance and risk management perspective
- Advising the business on the establishment, improvement and documentation of their controls
- Assist in capturing, maintaining, and analyzing capacity resources data within the AML Advisory programs, interpreting it to ensure consistency and adequate
6
Skills For Global Thresholds Compliance Advisory Lead-director Resume
- Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
- Helps prepare risk based reviews of existing and emerging regulatory requirements, concerning issues and control gaps
- A deep understanding of the regulatory and business reporting requirements
- Completion of advisory team tasks and handling associated queries from the business including but not limited to
- Assist the Businesses in tracking to completion of corrective action plans arising from external regulatory exam/internal audit findings
7
Skills For Compliance Advisory, VP Resume
- Investment banking products e.g. ECM and DCM
- CRCM (Certified Regulatory Compliance Manager) certification, or ACAMS (Association of Certified Anti Money Laundering Specialists)
- In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc)
- Sound understanding of the control and compliance
- Sound understanding of products and their immediate impact to the business
- Provide training and support to more junior members of the team to assist with their personal development
- Maintain understanding of Compliance Risk Management Framework and applicable laws and regulations
- Lead a team of Compliance professionals responsible for providing advice to key business stakeholders on a range of Regulations
- Promote Compliance awareness and participate in/ lead the delivery of Compliance related training
8
Skills For Senior Analyst, Compliance, Advisory Resume
- Contribution to the creation of management reporting and communication on Compliance matters to senior management and BlackRock business stakeholders
- Assist in the response of regulatory inquiries and regulatory examinations involving RISQ processes
- Monitor activities within the Risk Department and engage in active dialog with Risk personnel regarding compliance impacts of their activities
- Assist in the development, enhancement and implementation of new and existing Risk processes, procedures, etc… to ensure compliance with applicable regulations
- Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management
9
Skills For Compliance Advisory Director Resume
- Assist Singapore Tax Manager on tax advisory matters for Singapore and tax compliance matters for South East Asia and Private Banking
- Comprehensive knowledge of Citi Global AML Policies and Control standards and policies, as well as the relevant Global CPB AML Program and policies
- Understand the needs of stakeholders in first line of defence roles to help them make informed decisions
- Identify opportunities to expand your network both internal and externally to help deliver Compliance’s strategy
- Utilizes sophisticated leadership and collaborative skills in interacting with compliance stakeholders or regulatory agencies. Shows adaptability and fosters cooperation across team and organizational units. Builds consensus and morale through understanding of underlying team dynamics and by coaching and promoting development of team relationships
- Leads and positively motivates cross functional team members in strategy development and implementation of compliance solutions. Identify issues and potential solutions, and leads cross functional teams through the problem resolution process
- Fosters open communication, and manages conflict, while negotiating solutions with and influencing senior leadership. Develops and delivers all types of messages effectively and with impact
10
Skills For Singapore & South East Asia Tax Compliance & Advisory Resume
- Demonstrates awareness of personal leadership style and works to achieve quality results by engaging, motivating and inspiring highly skilled team of compliance professionals. Builds processes and establishes trusting relationships that facilitate productive teamwork
- Customer Relationship Management – Takes personal responsibility for delivering a level of service that often exceeds customer expectations
- Results Focus – Is tenacious in pursuing stretch goals and moves quickly to take advantage of opportunities. Is proactive, determined and energetic in tackling obstacles and delivering results
- Compliance – Identification, assessment, advice, monitoring and reporting on the “conduct of business” regulatory Codes, Laws and Regulations, while maintaining the highest ethical standards, to prevent the risk of Legal or regulatory sanctions, financial loss or loss of reputation to the Bank
- Regulation (EMIR) and the FCA code of Market Conduct
List of Typical Responsibilities For a Compliance Advisory Resume
1
Responsibilities For Compliance Advisory Manager Resume
- Notify management and/or the Country Compliance Officer, and/or the Head of EMEA Markets and Treasury Compliance immediately on discovery of any material regulatory breach
- Relevant investments services/wholesale banking experience would be a distinct advantage
- Excellent working knowledge of the FCA’s CASS regime and how it applies in practice to an asset manager and custodians
- Experience within an asset management or financial services environment, preferably in a control function
- Assist in managing of Singapore tax audits / examinations and support similar reviews in other non-regional jurisdictions (including US)
- CRCM (Certified Regulatory Compliance Manager) certification, or ACAMS (Association of Certified Anti Money Laundering Specialists) certification
2
Responsibilities For AML Compliance Advisory Manager Resume
- Communicate confidently with internal/external stakeholders, including global senior management
- Be responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments
- Coverage includes all Singapore and South East Asia entities and business units
- Leading participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice
- Analysing tax incentive requirements/tax law changes and assist to identify opportunities to optimize the tax positions of the Singapore entities, including renewal of tax incentives
- Review of current tax compliance, tax provision process and supervise tax balances on general ledger, including deferred tax and FIN48 balances
- Ensure all documents are collected on a central database and handle requests for information
- Experience in Compliance management, or at least 3 years of experience in Legal management, or at least 3 years of experience in Audit management, or at least 3 years of experience in Risk Management
- Relevant compliance (or risk/legal) experience
3
Responsibilities For United Kingdom Passive Asset Management Compliance Advisory Resume
- Business Process Management, Lean Certification, Project Management Certification, Six Sigma Certification
- Work independently and collaborate with others in a fast paced environment
- Influence and communicate with senior stakeholders
- Adapt a proactive approach to solutions
- Relevant technical knowledge of UK/EMEA prudential and conduct regulatory framework (e.g. CRD IV, MIFID II, PSD II, CSDR, COBS, CASS, SYSC, COLL, SMCR, Conduct Risk Agenda)
4
Responsibilities For Operations Compliance Advisory Resume
- Excellent knowledge of the local regulatory environment, ongoing regulatory initiatives which impact the business lines. Previous experience with a Regulator would be an advantage
- An ability to provide leadership within the immediate team and wider Compliance group
- Strong analytical skills, detail focussed; ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex scenarios
- Experience dealing with regulations within the asset management industry or working in financial services
- Demonstrated history of taking initiative
- Capable of handling multiple, simultaneous, and various ad-hoc requests
5
Responsibilities For Compliance Advisory, Associate Resume
- Strong interpersonal effectiveness: is self aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings
- Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience
- Significant experience within a Compliance role in a MiFID Financial Institution, preferably at a senior level
- Substantial experience in Compliance, within the asset management or financial services, specifically in the Advisory function
- Leadership: create an inspiring vision, set direction and motivate others to follow that direction and reach that vision
- Resolves issues by escalation or decision, as appropriate
6
Responsibilities For Global Thresholds Compliance Advisory Lead-director Resume
- Is clear, articulate, credible and persuasive in all communications
- Maintains high standards for written and verbal presentations
- Provide policy expertise and challenge in the development business procedures/standards, including through the formal New Product Approval processes, Design Authority etc
- Develop and maintain the AML Advisory Program document repository and management
- Assist Head of Taxes, South East Asia and Singapore tax team in managing Singapore corporate taxes (both direct and indirect) compliance including but not limited to internal and external tax reporting, transfer pricing documentations, response to tax queries and tax incentives obligations
- Assist in setting up a Tax Operating Model to streamline workflow process including how Tax works with other internal teams (Controllers, Accounts Payable, etc.), and taking ownership of tax compliance, tax accounting and tax documentation for the JPM Group
- Promote and enhance the compliance culture throughout IAML and the firm by building and focusing on our partnership with our investment teams through continuous demonstration of the Invesco core competencies
7
Responsibilities For Compliance Advisory, VP Resume
- Actively lead or participate in committee meetings, working groups, projects with a view to establishing global best practices
- Establish and support the department’s strategic direction, vision and mission in alignment with the Company’s strategy
- Provide due diligence representation and presentations as required to clients, internal and regulatory reviews
- Assist South East Asia and Singapore tax team in managing corporate taxes (both direct and indirect) compliance including but not limited to internal and external tax reporting, transfer pricing documentations, response to tax queries and tax incentives obligations
- Assist South East Asia and Singapore tax team in providing direct and indirect tax advisory support to Singapore business units and on tax compliance matters for South East Asia
- Support South East Asia and Singapore tax team in research, planning and transactions/projects
- Collaborate across teams/functions and work autonomously to own/progress issues with minimal supervision
8
Responsibilities For Senior Analyst, Compliance, Advisory Resume
- Sound Knowledge of banks systems and operational process
- Where appropriate, identify risks and themes for Verification Checks (VC’s) and support completion where needed
- Demonstrate strong personal communication skills in order to participate in and support challenging engagements with senior business stakeholders up to Managing Director level
- Understand and analyze complex regulatory and business issues
- Liaising with portfolio managers, dealers and other investment staff on regulatory matters including the eligibility of instruments within portfolios and the application of BlackRock’s compliance policies, e.g. error correction, fair allocation, best execution, inside information and wall-crossings, MiFID I transaction reporting, short selling and EMIR
- Maintains strong working relationships with outside regulators, government officials and senior business unit managers in order ensure the timely delivery of information and increase the likelihood of favourable conditions for compliance activities. Uses strong partnerships with managers in the assigned business unit to respond to reports issued by regulatory agencies or audit
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