Compliance Head Resume Sample
Godfrey Boehm
3925 Kerluke Glens,
Dallas,
TX
+1 (555) 949 8934
Work Experience
Compliance Head
09/2017
-
PRESENT
Dallas, TX
- Recommend changes to performance measurements to accurately assess regulatory compliance
- Deploy resources as appropriate to meet business goals and objectives
- Recommend project activity/actions, including cessation of project because of significant compliance risk exposure
- Approve the control of confidential customer information, employee data and line of business financial information
- Senior management within P&C Product Operations
- US PO Leadership Team on a regular basis in the delivery of key strategies and initiatives
- Internal business partners to consult/advise/ service in the delivery of key accountabilities
Compliance Head Mexico
11/2011
-
03/2017
New York, NY
- Governance areas such as Compliance and Legal regarding regulatory changes, exam management and remediation
- Other CSA areas such as Operations Risk Mgmt, Enterprise Supplier Governance, Business Continuity, etc relating to compliance or risk related topics
- Ensuring the consistency of Citi compliance policies with the country’s requirements
- Ensuring effective operation of Citigroup’s controls against financial crime
- Nurture and develop relationships of trust and respect with Regional ICG Business Seniors, including their respective CAOs/BUM’s in order to become their trusted advisor on all regulatory matters
- This role's key responsibility is to facilitate compliance of the entity with applicable banking and securities laws, regulations, and internal guidelines regarding Markets Compliance, AML, Anti-Fraud and Sanctions
- Strong language capabilities in English in both writing and speaking
- Liaise and oversee development of the AB&C policy implementation, including total responsibility for approve the AB&C cases, also provide advisory, do the communication strategy, and design and provide training, as well as propose and execute process’ enhancements. Early identification and assessment of AB&C risks. Define controls for its mitigation
- Participate in the MCA’s Annual Risk Assessments of the covered GCB businesses in order to contribute in the identification of critical risks in their processes
Compliance Head of Compliance for Italy VP
09/2008
-
09/2011
Detroit, MI
- Monitors development of regulatory agency expectations in GMP compliance to integrate into the GMP compliance strategy
- Comments on draft regulatory guidance related to GMP compliance
- Keeps the sites informed on regulatory and Sanofi expectations concerning
- Establish compliance standards based on internal policies and guidelines / implementing procedures (CoC, BPO, Anti-Bribery [AB] and P3’s) and on applicable local laws and regulations incl. industry code, where applicable [ P3s include SP3, NP4, etc.]. Align local standards with global minimal standards and ensure that in all cases the most stringent is applied
- Establish processes and SOPs for relevant policies
- Support the CH in the assessment of Compliance coverage, skills and resources
- Assure Citigroup’s compliance risks are adequately identified, assessed, controlled, monitored, tested and reported
Education
American Liberty University
2002 - 2007
Bachelor's Degree in Business Administration
Professional Skills
- Good leadership, managerial and organizational skills
- Good leadership and entrepreneurial skills
- Demonstrable experience of leading the dialogue with regulators
- Experience in drafting operational policies and procedures in line with regulatory needs
- Assess team skill-sets and maximize effectiveness of resources
- Understanding of cash management operations, correspondent banking services, trade products and financing
- Understanding of secondary markets functioning and products across fixed income, foreign exchange and related derivatives
How to write Compliance Head Resume
Compliance Head role is responsible for design, securities, credit, compliance, regulatory, italian, english, administration, cash, excel.
To write great resume for compliance head job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Head Resume
The section contact information is important in your compliance head 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 Head Resume
The section work experience is an essential part of your compliance head 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 head 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 head position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Head resume experience can include:
- Coordinate and monitor day-to-day compliance with applicable money laundering laws, rules and regulations; Citigroup’s Global Anti-Money Laundering Policy (the “Policy”); practices, procedures and controls implemented by the business
- Ensure Compliance Self-Assessment infrastructure and processes are robust and effective
- Understanding of EU, UK and US regulatory environments
- Understanding of capital markets products across equity and debt asset classes
- Working knowledge of MS Word, Excel outlook and Power Point is mandatory
- Grow capabilities of direct reports by providing coaching and guidance to develop, implement and monitor career and/or development plans
Education on a Compliance Head Resume
Make sure to make education a priority on your compliance head resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance head 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 Head Resume
When listing skills on your compliance head 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 head skills:
- Strong English and Italian language skills required
- Flexible to changing priorities and challenging timelines
- Good sense of responsibility, accurate and independent work style, and organizational talent
- Good compliance and regulatory knowledge for FICC products
- Understanding of bond markets (Govies, Corporate and Emerging Markets), credit derivatives and securitizations
- Outstanding team developer and coach
List of Typical Skills For a Compliance Head Resume
1
Skills For Compliance Head Mexico Resume
- Work in delivering a common objective with cross function team sets
- Resilient and ability to persuade by thinking broadly and strategically
- Provide planning, leadership and direction to the BUCO team in order to align tasks and assignments to meet goals and objectives
- Work in cross-functional, inter-departmental working groups in a worldwide environment
- Multi-task to tight deadlines
2
Skills For Corporate Compliance Head of Treasury Services Executive Director Resume
- Credibility at Global management level
- To raise AML compliance standards across the business and implement compliance best practices across and in line with Citigroup’s raised compliance bar
- Provide leadership and oversight in the recruitment, selection, retention, rewarding and development of Compliance Ops staff. Ensure staff is equipped to act as subject matter experts for compliance related topics in their area of focus. Ensure fair administration of human resource policies and procedures
- Apply the Bank’s performance management system to subordinates, including establishing goals and objectives, assessing skills and knowledge gaps, allocating resources to achieve objectives and close gaps, and assessing personal effectiveness
- Develop and manage the business unit’s financial plan, meet financial challenges, and contribute to the successful achievement of financial goals
3
Skills For Compliance Head of Compliance for Italy VP Resume
- Recruit, lead, manage and develop a team of business unit compliance officers who support multiple and diverse Assessable Units with Product Operations
- Knowledgeable in the area of Pharmacovigilance (5 to 8 years’ experience, ideally), including the interpretation and application of pharmaceutical regulations
- Handle a number of numerous projects simultaneously is essential
- Work under time pressure and high commitment
- Motivation and proactive management style
4
Skills For Injectables GMP Compliance Head Resume
- Establish compliance standards based on internal policies and guidelines / implementing procedures (CoC, BPO, Anti-Bribery [AB] and P3’s) and on applicable local laws and regulations incl. industry code, where applicable [ P3s include NP4, SP3, AP3 etc]
- Align local standards with global minimal standards and ensure that in all cases the most stringent is applied
- Enable and drive the design and implementation of an appropriate Compliance Organization and Program at country level across divisions
- Ensure overall coordination and harmonization of Compliance efforts and activities in the country (if and as required) across divisions
- Establish processes and SOPs for relevant policies. Support the Country Executive Committee (CEC) in the assessment of Compliance coverage, skills and resources
- Influencing & Impact including negotiation
5
Skills For Latam Compliance Head Resume
- Detailed understanding of the Italian regulatory environment
- Detailed knowledge of the Italian Decree 231 control model functioning and management of the Surveillance Committee
- Work in partnership with other Control Functions
- Strong written/verbal communication, solid research, high volume processing and analytical skills with the ability to work independently on multiple assignments in a deadline driven regulatory environment
- Business insight and risk awareness
- Ensure that the compliance risks in the 22 countries in the Latin American region are adequately managed/mitigated
- In coordination with Group Compliance, complete the annual compliance risk assessment and develop the annual Regional compliance plans that articulate the Regional compliance risks, objectives and initiatives for the coming year serving as the model for country/business Compliance plans
6
Skills For PV System & Compliance Head Resume
- Drive completion of sector and region compliance strategy and plans
- Proactively anticipate and help the business plan for changes in the compliance and regulatory environment
- Provide hands on guidance to the country/business Compliance Directors through the review of their plans
- Serve as the Regional representative and catalyst for implementation and support of all Citigroup Global Compliance and Sector Compliance initiatives, working closely with and supporting all Shared Utilities
- Responsible for setting Regional Compliance standards in conjunction with Corporate and Group requirements and industry best practices
- Responsible for cross country/business and team coordination on common risk issues and initiative
7
Skills For Regional ICG Product Compliance Head Resume
- Build and maintain strong relationships with other functional heads, working closely with Legal, Control and ARR to create a supportive and seamless compliance/control environment and culture
- Coordinate across sectors at the region level to assure that franchise issues are appropriately raised, and that those with franchise accountability, within Citigroup and with regulators, are provided with sufficient information and support to fulfill their responsibilities
- Min. 5 years’ experience in the pharmaceutical industry or other highly regulated industry in a relevant field such as compliance, legal, quality assurance, registration, clinical development
- Greater than 2 years’ experience of; Manage I&C project in a leadership capacity; Work with Global or regional organizations; Compliance program operation; Communication / Training; Related Functions; Industry Association / Professional Organization
- Greater than 2 years’ experience of develop, coach and lead people to deliver results; Manage change through leadership; Lead projects to a successful conclusion; Manage project resources and budgets effectively; Deal with complex project and manage issues; Experience different approaches and ways of working
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