Compliance Executive Resume Sample
Stefan Klocko
5513 Parisian Branch,
San Francisco,
CA
+1 (555) 135 8455
Work Experience
Compliance Executive
06/2015
-
PRESENT
San Francisco, CA
- Assist with the development and implementation of the Group’s Sanctions Screening Programme at the global level, including supporting the Markets, Regions and Functions with identifying, assessing and appropriately mitigating business partnering risks
- Coordinate global initiative to collect and maintain the global third party suppliers and customers list to implement BAT’s third party screening policy for Sanctions, AML and ABC compliance
- Work with an external third-party service provider, liaison with end markets and run the screening exercise for identified suppliers for Sanctions, ABC and AML Compliance purpose
- Liaison with the third-party service during the data screening exercise and resolved day to day operational issues
- Liasion with Global master data team for SAP data
- Liaison and coordinate with more than 50 end market team (i.e. DSS and Non-SAP markets) for business partners’ data
- Prepares reports by collecting, analysing, and summarizing information from various end markets, regions and global functions
License Compliance Executive
10/2012
-
05/2015
Dallas, TX
- Coordinate resolution of identified compliance issues with end markets LEX and other functions
- Keep up to date global third parties master data for Sanctions, AML and ABC compliance purpose
- Analyse and assist resolution of any hits identified during manual screening exercise
- Develop BAT’s specialist screening knowledge and train identified internal stakeholders
- Support other Sanctions related activities including records management on a regular basis
- Liaison and coordinate with DSS and Non-SAP markets for the manual screening of business partners and resolve issues within stipulated time
- To ensure that effective monitoring and control systems are in place
Corporate Sector Compliance Executive Assistant
06/2006
-
04/2012
Phoenix, AZ
- Scope, implement and manage second line reviews, focussing on regulatory and conduct risk topics, as per the compliance monitoring plan
- Write compliance reports to present findings and any conduct risks to key stakeholders and senior management
- Monitor and summarise how effectively the business units maintain controls and procedures to ensure regulatory standards are met and good customer outcomes are achieved
- Track business unit actions to mitigate risk and support continuous improvement across the loans business
- To identify, communicate and advise on changes in FCA and other associated regulatory and legislative requirements, so that the business meets regulatory and associated industry standards
- Provide advice, guidance, direction and interpretation to the business
- Provide review and approval of financial promotions for the loans business, ensuring compliance with Consumer Credit regulations and CONC
Education
Hollins University
2001 - 2005
Bachelor's Degree in Business
Professional Skills
- Strong interpersonal skills including written/oral communication skills
- Works well under pressure, meets deadlines and manages both their own and the team’s workload through strong time management and prioritisation skills
- Results oriented, strong verbal and written communication skills, self-aware, strong business ethics
- Demonstrate good influencing, communications, interpersonal and organizational skills. – Mandatory
- Good knowledge of GMP and strong interpersonal and communication skills
- Use your sales skills to get the customer to commit to the software true-up management process as a key IT and financial priority
- Excellent attention to detail, with good communication and written skills
How to write Compliance Executive Resume
Compliance Executive role is responsible for software, interpersonal, english, communications, trading, finance, credit, securities, training, database.
To write great resume for compliance executive job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Executive Resume
The section contact information is important in your compliance executive 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 Executive Resume
The section work experience is an essential part of your compliance executive 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 executive 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 executive position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Executive resume experience can include:
- Excellent oral communication and writing skills- Proficiency in English helpful (writing and reading, and conversation)
- Monitoring/audit skills ideal
- Participate in cross-functional training, and direct training of validation analysts by maintaining and improving validation SOPs, forms and training manual
- Proactive approach to work and judgement skills balancing regulatory guidelines and business needs
- Solid Oral Dosage processing experience is highly desirable
- Objective, timely and confident decision making skills
Education on a Compliance Executive Resume
Make sure to make education a priority on your compliance executive resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance executive 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 Executive Resume
When listing skills on your compliance executive 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 executive skills:
- Excellent influencing skills and an engaging communication style to deal with both internal and external stakeholders
- Good task/project management skills
- Prior experience designing, implementing and sustaining issues management and restitution/remediation teams in a large financial institution
- To assist and advise the validation of new/existing processes and equipment and liaise with production/scheduling departments on validation issues
- Demonstrated experience in leading business operations transformation and business transformation programmes of work
- Additional demonstrate a background of at least 10 years in IT at a senior level, and show a good understanding and application of IT Security - highly desired
List of Typical Experience For a Compliance Executive Resume
1
Experience For License Compliance Executive Resume
- Ensuring compliance with current industry regulations and guidelines relating to validation
- A Compliance, Accounting or Internal Audit background, with proven exposure to Compliance/Audit monitoring in the Asset Management industry
- Strong understanding of the Fund industry, including distribution on a cross border basis
- Detailed understanding of pharmaceutical solid dosage manufacturing processes
- Demonstrates executive level thought leadership, strategy development, and operational planning
- Demonstrates executive-level thought leadership, strategy development, and operational planning
- Previous experience dealing with principles, owners and executives in sales situations and/ or collections
- Strong understanding of the general Regulatory environment in Europe and internationally
2
Experience For Senior Compliance Executive Resume
- Some experience of the compliance monitoring process, ideally within the asset management sector
- Designing and ensuring delivery of all compliance monitoring for Dublin based activities
- Contributing to internal reporting on day to day activities
- Understanding of software licensing models, license agreements and contracts
- Understanding of FCA regulations for financial promotions, appropriate expertise to sign off advertising to the guidelines for financial promotions
- Maintaining an appropriate compliance framework for the regulated activities undertaken by Fidelity International in Dublin
- Ensuring delivery of a regular compliance audits for the Funds administered in Dublin
3
Experience For Corporate Sector Compliance Executive Assistant Resume
- Regularly review the policies and processes for identifying and assessing compliance risks and the management of those risks
- Administrative support to the Compliance function including regular reporting to boards of directors/management, maintenance of departmental procedure manual
- Analyse the data and prepare documentation to support substantial share-holding reporting to meet regulatory requirements
- Support the Senior Compliance Manager– Reporting as required
- Approve and sign off all relevant marketing and customer documentation material distributed on behalf of the Funds and Life Company
- Delivery and oversight of AML / KYC procedures, training and new business acceptance
- Applies subject matter expert functional knowledge to lead subordinate workers in producing work deliverables in support of departmental initiatives
- Perform reviews/tests as part of the compliance monitoring program
- Develop comprehensive enterprise compliance content for existing license compliance web site
4
Experience For Finance Compliance Executive Resume
- Maintain basic knowledge of Autodesk products, competition and industry trends along with understanding project delivery methods
- Commercially aware, proactive, forward looking, inquisitive and attention to detail
- Sound knowledge of lending industry and FCA regulation, particularly CONC & DISP requirements
- Sound knowledge of FCA & CCA regulation, including financial promotion approval
- Handle any Compliance queries that are generated by the organisation in a timely and accurate fashion
- To provide compliance input into Group developments, including product launches, distribution and systems developments, to pre-empt any changes to regulations and legislation to enable the business to react quickly and effectively
- Check that adequate policies, procedures and controls are in place to ensure that all parts of Fidelity’s business comply with relevant regulations
- Liaise and build relationships with the fund Depositary
5
Experience For GIR Compliance Executive Director Resume
- Support the adherence to the FIL Code of Ethics
- Oversight of the MiFID branch activities
- Directly manages individual contributors and/or people managers within a subfunctional team
- Leads broad functional projects
- Develops functional policies, procedures and guidelines
- Identifies opportunities and facilitates major improvements to processes and systems
- Performs highly complex tasks under minimal supervision and has discretion to deviate from established procedures and guidelines
- Serves in an executive leadership capacity and has responsibility for performance management and professional development activities for subordinate workers
- Directly manages individual contributors and/or people managers within a sub-functional team
6
Experience For Product & Ingredient Compliance Executive Resume
- Promote a culture of compliance and ensure the identification, escalation and timely mitigation of compliance risks
- Establish and support the various departments’ strategic direction, vision and mission in alignment with the Company’s strategy. Responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments
- Ensure customers are in compliance with PayPal Policy as defined in PayPal’s terms of Use
- Strive to become a ‘trusted advisor’ to the assigned customers and/or industry vertical clients and CSC General Manager. In this way position GSS as a ‘thought leader’ in this space
- Provide input to the client’s security strategy and technical roadmap through the Account Security Manager
- Empathise with clients, adjusters and customers
7
Experience For Junior Compliance Executive Resume
- Third level qualification, Insurance exams or a compliance qualification
- Maintain the firm’s Senior Manager structure and records; including coordination of key Senior Manager activities such as induction, training, and handover arrangements across all in-scope legal entities and regular review and update of Statements of Responsibilities and Management Responsibilities Maps
- Management of the department’s physical archiving and record keeping needs
- Lead the firm’s response to any regulatory changes related to the UK IAR - and implement measures to comply with these changes
- To undertake Strategic and Continuous monitoring reviews (to include risk assessment, planning, fieldwork and report production) in Henley, London, overseas group offices and at third parties as required to ensure company functions are adhering to company policies, procedures and regulatory requirements
- GCSE’s or equivalent qualifications / equivalent experience required
8
Experience For Compliance, Executive Office Compliance, VP Resume
- Ideally be ACA qualified but not necessary
- Work on own initiative as well as within a larger team
- Develop and maintain relevant policies to ensure they reflect regulatory requirements
- Advise and direct front line units and control functions 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
- Direct the engagement of other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide holistic oversight of FLU and CF activities
- Apply judgment and experience to determine monitoring and testing coverage plans and related metrics
- Identify, aggregate, report and escalate compliance risks, issues and control enhancements
- Advise FLU/CF in preparations for and participate in regulatory exams and audits for FLU/CF and related Enterprise Areas of Coverage
- Escalate regulatory relations concerns to Regulatory Relations
9
Experience For Risk & Compliance Executive Resume
- Ensure Compliance “owned” issues (i.e., Internal Audit, Regulator and Self Identified issues) are addressed appropriately and timely
- Ideally come from a Big Four trained background, either within Regulatory or Internal Audit function
- ACA qualification would be an advantage but not necessary
- Provide advice on compliance, regulatory, policy and reputational issues as well as on new business initiatives and significant business changes affecting the firm
- Regulatory Matters: Helping to manage the division’s responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR
- Pro-actively identify, document and assess the compliance risks associated with the firm’s business, including development of new products and business practices, new types of business or customer relationships, or material changes
10
Experience For Logistics Compliance Executive Resume
- Establish and support the department’s strategic direction, vision and mission in alignment with the Company’s strategy. Responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments
- Some experience of Store Operations or store experience
- To review and evaluate FAT/FMEA/FS/URS/SDS/HDS/MR documents and report to ensure a good design basis is established for all validation studies
- Relevant experience- (i.e. Sales Support, License Compliance, Inside Sales or Maintenance / Service Renewals experience is all highly relevant.)
- Previous experience in a compliance focused position ideally within Retail/FMCG/Logistics would be highly beneficial
- To report and update the Quality Department in Validation Compliance Activities across the plant as and when required
List of Typical Skills For a Compliance Executive Resume
1
Skills For License Compliance Executive Resume
- Maintaining/Improving the validation system within the company
- Experience preparing and/or delivering on initiatives accountable to Executive Council and other senior leadership
- Ideally experience within store operations and commercial awareness of trading, or be in trading with an interest of store operations
- Organised with experience of setting up and maintaining trackers
- CFD, Financial Spread betting, futures or equities experience
- Previous Compliance monitoring and surveillance experience
- Experience working in the Insurance industry and in compliance
- Strong thinking and rationalization capabilities, able to explain/articulate and present ideas well
2
Skills For Senior Compliance Executive Resume
- Co-ordination of site validation activities including
- Retail financial services experience
- Excellent knowledge of IT and advance knowledge of Excel
- Financial services experience in a control/compliance role
- Compliance or relevant experience in risk management
- Experience in a compliance role within the Funds Industry
- Experience of funds operations (fund administration/transfer agency) an advantage
- A good understanding of the FCA rules and guidelines
3
Skills For Corporate Sector Compliance Executive Assistant Resume
- A strong technical understanding of processes, equipment and computer systems
- Strong working knowledge of FCA regulatory requirements. European regulatory environment exposure in the asset management sector would also be an advantage
- Working experience in Compliance related operations
- Attention to detail – previous compliance monitoring/audit experience preferable
- Ales/License Compliance related experiences
- Preferably experience within car finance market
4
Skills For Finance Compliance Executive Resume
- Verification, validation and qualification of License Compliance Cases
- Large Banking or Financial Services experience
- Knowledge of OCC/Fed regulations and experience managing regulatory interactions
- Experience in a similar role
- Proven success in Sales/License Compliance
- A’ levels or equivalent qualifications / equivalent experience required
- Diploma qualifications with at least 2 years of compliance experience, preferably in the asset management/financial service industry in Singapore
- Processing queue items such as KYC, KYB, SAR, PEP, WLM, and Transaction Monitoring in a timely manner as measured against communicated departmental targets
5
Skills For GIR Compliance Executive Director Resume
- Monitoring of the firm’s social media presence and advising the business as they expand their brand architecture
- Understanding internal controls design, implementation and testing
- Dealing with regulators (FCA or European) on a direct basis
- Understanding of MAR and MiFID I and II compliance requirements, issues and their management, particularly in relation to order execution
- Reporting to License Compliance Manager – India
- Reporting – produce internal reports for Boards/committees review
6
Skills For Product & Ingredient Compliance Executive Resume
- Representing Group Compliance in projects and other business meetings/committees
- Understanding of terms and conditions within business contracts and their implications
- Willing to work under high pressure
- Commercial understanding of trading / Buying and contractual obligations highly beneficial
- Provide feedback to management regarding necessary changes and updates; including policies, upgrades, and potential workflow
7
Skills For Junior Compliance Executive Resume
- Daily monitoring of ESMA’s Short Selling Regulations (SSR) to ensure compliance with the UK/EMEA regulatory requirements
- Ensure implementation and reporting of required compliance training for all employees
- Assist in developing and implementing compliance programs, policies and procedures
- Responsible for booking flights/hotels for overseas travel and ensuring travel approval has been obtained
- Documentation & reporting of case details
- Conduct forensic, periodic, and transactional testing to ensure compliance of our investment managers, with all applicable regulatory requirements
- Have an understanding of the regulatory requirements in UK/EMEA regions and take action steps to meet all the compliance SLA’s
- Counsel management and employees on questions about Zurich Basics or other company's compliance training
- Assist and support training needs assessments, development, coordination and delivery
8
Skills For Compliance, Executive Office Compliance, VP Resume
- Assist in the identification and managing of regulatory risk
- For compliance oversight establish and maintain locally a log on each of the items subject to reporting
- Conduct regular reviews of the firm’s requirements under the SMR, including Senior Manager structure and governance arrangements
- Flexible and willing to adapt to new clients and business requirements
- Knowledge of international financial reporting standards is an advantage
- Monitor regulatory environment and participate in industry forums to identify areas of focus and conduct benchmarking
9
Skills For Risk & Compliance Executive Resume
- Maintain a regulatory inventory, communicate regulatory changes to and engage the FLU/CF in assessing impacts of regulatory changes
- Assist in post-authorization matters for SFC-authorized investment products and other regulatory reporting
- Provide assistance and organizes luncheons/meeting for any group meetings with related parties or business associates
- Keep abreast of regulatory development/changes and update policy to ensure ongoing compliance by various business units
- Develop training/awareness initiatives to inculcate organizational compliance mindset
- Assist in coordinating global/regional compliance and internal/external./ISAE audit requests
- Understand legal compliance framework and exercising high level judgement, develop a sales approach and strategy to reconcile customer accounts
- To assist the Engineering Manager in the coordination, implementation and active participation in TIL Compliance Procedures across the TIL plant
- Relevant financial services qualifications
10
Skills For Logistics Compliance Executive Resume
- Knowledge of Best Execution regulation
- Open to adhoc international travel
- Has a considered, diplomatic approach with excellent relationship and communication skills with their team, line manager, across the business and with external parties
- Voices sensible and well thought through opinions and contributes towards department discussions and decisions
- Self-motivated team player who is diligent, organised, flexible, open to change and has an attention to detail
- Credibility and ability to engage and influence senior internal and external stakeholders
- Instruct external third party service provider
List of Typical Responsibilities For a Compliance Executive Resume
1
Responsibilities For License Compliance Executive Resume
- Dealing with customer with flexible skills to handle complicate situation
- Demonstrated at least 5 years’ experience as an ASM or senior security manager on significant/major accounts - highly desired
- Demonstrated financial control as a budget holder or other financial experience at a senior level - desired
- Experience in experience in Compliance, within the asset management or financial services, preferably in the Advisory function
- Relevant experience- (i.e. Sales Support, License Compliance, Inside Sales or Maintenance / Service Renewals experience is all highly relevant)
- Foster awareness of a good compliance culture and customer outcomes, and effective conflicts of interest management
2
Responsibilities For Senior Compliance Executive Resume
- Strong understanding of the laws and Regulations relevant to UCITS funds, with particular emphasis on management company responsibilities in Ireland/Luxembourg
- Strong desire to be in License sales
- Liaise with vendors, external consultants & TIL departments on validation issues
- To conduct Audits on vendors were deemed necessary by the validation committee
- Regulatory Reporting – review and validate RMAR reports, produce internal reports for Boards/committees
3
Responsibilities For Corporate Sector Compliance Executive Assistant Resume
- Maintain all documentation within a central evidence suite
- Willing to work under high pressure, embrace self-challenge
- Review Business partner activity incorporating; Incentives, Training and the output of any line 1 reviews
- Perform periodic evaluation of customers placed on Watch List and coordinate the compilation of data according to established policies and procedures
- Manage queries relating to KYC review and issues from internal stakeholders
4
Responsibilities For Finance Compliance Executive Resume
- Promote a positive compliance culture and awareness through the development of appropriate training for staff
- Identify new and emerging legislation and ensure business awareness of requirements
- Support Named Account or Territory account LC by closely working with Industry Sales Team and channel partners
- To continue to drive excellence, proactive engagement and challenge and reassess work output and relationships with a view to building continuous improvement
- Conduct a sample check of the line 1 call monitoring activity to ensure consistency of outcomes
5
Responsibilities For GIR Compliance Executive Director Resume
- Conduct a monthly review of line 1 complaint assessments and testing
- Provide support to the Compliance Team to ensure compliance with all applicable laws and regulations
- Prepare other periodic or ad hoc reports and presentation materials as required
- Expense claims and arrange payment of regulatory fees
- Other ad hoc projects and tasks as requested
- To maintain a detailed awareness of, report on and assist in the management of compliance and conduct risk, including with respect to market abuse, best execution and other conduct issues
- Influences sales to get leads; collaborates with sales to drive incremental business in targeted accounts to meet quarterly and annual revenue expectation
6
Responsibilities For Product & Ingredient Compliance Executive Resume
- Collaborates on best practices and drives License Compliance strategies with other geographies; recognize cultural sensitivity and adjust programs to local culture
- Influence and leverage anti-piracy initiatives i.e., collaborate with Autodesk authorized channel to evangelize Autodesk’s anti-piracy program; identify opportunities and roll out anti-piracy programs for participation by the authorized channel
- Review, analyse and perform case-level investigations of potential suspicious activity
- High level of initiative, commitment and able to work within tight dealine
- Provide regulatory compliance advice to businesses and related support function to facilitate new business, products and services
7
Responsibilities For Junior Compliance Executive Resume
- Analyze and disseminate information on regulatory changes to business and support function
- Maintain the library of regulations and its relevance to the various business function
- Manage regulator’s requests for information with business and support functions
- Closing License Compliance deals, primarily with the Industry and increasing sales and average deal sizes by help customer fully realize the importance of being license compliance or risks of illegal usage of Autodesk software
- Demonstrated sales experience consistently exceeding quota in a structured, disciplined, License Compliance sales environment that includes high transactional volume and collaborative/team selling
- Provide guidance to the business and review due diligence/related documentation pertaining to outsourcing regulations, policies and procedures
- Conduct investment compliance/guideline monitoring to ensure that the mandates/funds managed by the company comply with relevant client and regulatory investment restrictions, including pre/post trade monitoring and coding of rules in Bloomberg
- Conduct AML qualitative assessments/Bridger reviews
- Manage regulatory/compliance projects as assigned
8
Responsibilities For Compliance, Executive Office Compliance, VP Resume
- Meticulous, articulate and ability to work independently
- Drive, develop, execute and monitor License Compliance Campaign strategy to meet and exceed revenue plan
- Develop and communicate both written and oral messages in selling and persuading customers to purchase software license and presenting liability problems if remain under licensed
- Develop pipeline of enterprise compliance targets to meet revenue expectations
- Qualification of utilities and facilities
- Preparation, review and execution of validation plans, CN/RA/DQ/IQ/OQ/PQ/PV/CQ protocols/reports and associated deviations/NCRs for equipment, facility, utility, process, cleaning & computerised systems
- Statistical review of validation data
- Assist in the maintenance of TIL production, engineering and quality systems and to ensure that the compliance group projects/activities are executed in a timely manner and in compliance with the overall TIL Quality Management System
9
Responsibilities For Risk & Compliance Executive Resume
- To develop/manage and maintain Compliance oversight KPIs
- Apply critical thinking skills to apply ADSK licensing rules to various customers’ software deployments and ability to explain to customers why they are non-compliant
- Conducts outbound calls on compliance targets
- Follows up to close business on leads generated from targeted campaigns
- Engage customers to participate in a compliance self-audit process to develop compliance opportunities
- Present self-audit findings and sets timelines for resolution with customers
- Highly involved in customer negotiations on compliance deals
10
Responsibilities For Logistics Compliance Executive Resume
- Handle unpopular / impassioned discussions and negotiations around non-compliance matters
- Pro-actively establish collaborative relationships with vertical sales teams and partners engaging them with compliance customers to assemble alternate proposals to resolve compliance issues
- Proficient in all Microsoft Office Products (Excel/Word/Power point)
- Proficient in CRM tools (SFDC), database (Siebel) and collaboration tools (Zoom and SharePoint)
- Use ADSK LC analytics tools and databases to search for and investigate LC prospects
- Use SFDC to track lead, opportunities, activities and results; updates field sales on results and generates visibility on call activity and lead tracking for sales and marketing effectiveness reports
- Relevant experience- (i.e. Sales, License Compliance, Inside Sales or Maintenance / Service Renewals experience is all highly relevant.)
- Influences channel to get leads; collaborates with sales to drive incremental business in targeted accounts to meet quarterly and annual revenue expectation
- Partner with Autodesk sales ecosystem to develop a core set of targets
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