Compliance Leader Resume Sample
Tristin Gibson
27989 Mohamed Fields,
Houston,
TX
+1 (555) 237 9927
Work Experience
Compliance Leader
12/2016
-
PRESENT
San Francisco, CA
- Interact with a cross-jurisdictional multi-cultural team in the development and efficient and effective implementation of Capital’s Compliance program
- Lead and partner effectively across GE Capital’s Compliance team
- Support compliance risk assessment and RCSA processes, including supporting the AML-specific risk assessments and GE’s annual compliance review for IF within EMEA
- Lead or participate in audits and examinations by GE Capital Internal Audit and the firm’s external regulators, and assure effective remediation of recommendations and findings
- Help to ensure effective relationships with the GE Capital’s regulators
- In-depth knowledge of applicable regulatory and compliance requirements, including the U.S. Foreign Corrupt Practices Act, the False Claims Act and the Anti-Kickback Act, with an understanding of how these requirements apply to the organization’s daily operations
- Ensure that Compliance requirements such as employee on/off boarding, Data Privacy Education (especially linked to regulatory Compliance),Infrastructure Security Requirements are tracked and monitored
- Provide education and awareness to the account regarding any and all C&C Policies & procedures
- %:Execution of Registries and Late Phase Audit Plan
Global Functions TRS Compliance Leader
10/2009
-
08/2016
Detroit, MI
- Of Time: Counsel and provide leadership to business partners on compliance issues, including sitting on the BU LTs and/or PSTs as appropriate; work with other compliance personnel in U.S. and outside U.S., and with Legal department and other support functions in this regard
- Annual Compliance Plan – compilation, tracking and reporting
- Compliance Training – Develop training program based on results of risk assessments and ensure delivery of program, with regular reporting of progress
- Liaison with GE Capital and other GE divisions to ensure GECAS compliance with relevant compliance policies and procedures
- Responsible for leading the development and execution of reporting processes designed to provide management and senior leaders both within Compliance and in the wider GECAS business with the information necessary to oversee and govern the GECAS Compliance Program
- Close liaison with the Financial Crimes Compliance and International Trade Controls Compliance teams in GECAS
- Ensure oversight and governance of the GECAS Enterprise Compliance programs including systems, policies and procedures
Dealer Compliance Leader
05/2006
-
04/2009
Detroit, MI
- Ensure effective implementation of the GECC and GE Compliance Policy
- Compliance liaison to the business functions, legal and headquarters related to various compliance risks including: Privacy and Competition
- Ensure effective monitoring in place to detect compliance defects
- Work with business functions to ensure effective controls are in place to mitigate key compliance risks
- Review and update policies and procedure
- Develop an understanding of the core business objectives of GECAS and the functional areas within the company
- Manage compliance analysts assigned to the Enterprise Compliance team
Education
Everest University - Orlando Campus
2001 - 2006
Bachelor's Degree in Business Administration
Professional Skills
- Strong analytical, process management and implementation skills, sensitivity to issues, strong facilitation and problem solving skills
- Excellent interpersonal skills with the ability to discuss matters effectively with finance and non-financial associates at all levels of management
- Strong analytical, process management and implementation skills, sensitivity to issues, strong
- · Strong critical thinking, communication and problem solving skills
- Strong interpersonal skills with ability to interface with cross -functional teams, management and
- · Strategy - Ability to work across BUs and Regions to develop emissions compliance strategies that Self-starter with strong organizational skills
- Support Hydro O&M related to compliance activities. Demonstrated ability to effectively work with regulatory agencies, tribes, and public
How to write Compliance Leader Resume
Compliance Leader role is responsible for government, training, integration, database, auditing, security, reporting, design, research, travel.
To write great resume for compliance leader job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Leader Resume
The section contact information is important in your compliance leader 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 Leader Resume
The section work experience is an essential part of your compliance leader 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 leader 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 leader position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Leader resume experience can include:
- Strong knowledge of applicable federal securities laws, including ERISA
- Experience working in a regulated industry
- Good knowledge of retail and logistics processes, tools and working methods
- Partnering with the Institutional Wealth and Careers Consulting Leadership team to deliver outstanding client/customer outcomes
- Scanning and filing of excursion docs and client related batch docs to support batch release
- Interacting & consulting with the regional compliance counsels on country specific issues and legal requirements
Education on a Compliance Leader Resume
Make sure to make education a priority on your compliance leader resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance leader 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 Leader Resume
When listing skills on your compliance leader 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 leader skills:
- Strong interpersonal skills with ability to interface with cross -functional teams, management and front-line associates
- Strong people / management skills
- · Ability to effectively and clearly communicate verbally and in writing
- A significant part of the work experience needs to be demonstrated either in a legal, compliance or risk function or within a risk consulting environment
- Experience in leading and handling critical investigations including implementation of corrective
- Experience using computerized maintenance management programs and reporting tools
List of Typical Experience For a Compliance Leader Resume
1
Experience For Global Functions TRS Compliance Leader Resume
- Work together with business teams to evaluate compliance performance of each contract dealers, analyze channel management and risk control, identify potential compliance risk areas, and update them with the company management team through direct manager and business leaders
- Daily communicate with related GE staffs from business frontlines and supporting functions to educate and drive them to execute company compliance policies, especially ITP policies
- Responsible for review of equipment validation protocols and report
- Supporting, development and maintenance of product approval/clearance/licensing documentation and notifications as required by global regulatory agencies
- Monitor and periodically audit the approved ITP’ execution of company compliance policies
2
Experience For Risk & Compliance Leader Resume
- Prepare and review legal documents in connection with ITP, provide legal/compliance opinions to internal and external customers, and give necessary support to compliance counsels/legal counsels in cases in connection with ITPs
- Facilitate and deliver compliance training/roadshows to ITPs and GE internal commercial staffs
- Investigate compliance issues, and work together with compliance counsels/legal counsels on disciplinary actions to GE staffs/ITPs
- Collect and analyze ITP data and matrix, and prepare and draft DRB review related documents
- Regular communicate with corporate, global and other region’s ITP, compliance and legal teams
- Work with business leaders, HR, channel managers and direct manager to evaluate G&O accomplishment of each dealer support/dealer manager and other dealer related commercial staffs
- Support direct manager to give all necessary assistance/trainings to junior compliance specialist as mentor, to manage certain projects on internal & external compliance control, and to drive the operational excellence of ITP compliance team
- Other tasks assigned by direct manager, chief compliance counsel and general counsel
- Communicates and implements a strategy to ensure compliance
3
Experience For Dealer Compliance Leader Resume
- Responsible for review of batch records in support of disposition of bulk drug substance
- Raw material and solution release
- Review of raw material specifications and solution docs
- Release of single use disposable product to include label reconciliation
- Review of temp. charts and docs or temp related excursions
- Review and update label issuance and reconciliation process
- Develops process improvement plans using a variety of quality and continuous process improvement tools, including but not limited to Six Sigma, Lean Manufacturing, SS, SPC, engineering studies, DOE Gauge R&R, etc
- Develop and use knowledge and experience of IKEA operations, including the IKEA tools and expertise of logistics colleagues, to achieve quality and safety standards in meeting all visitors and co-workers
4
Experience For IT Compliance Leader Resume
- Contribute to highest possible quality perception for visitors and customers by correct execution of the goods flow process, keeping customer-perceived availability in focus
- Be the first point of contact in the store for supply chain partners in regards to quality-related topics (e.g. Quality Support Centre (QSC), DS, transport) and challenge back in a cooperative approach
- Ensure daily operational inspections and maintenance procedures to secure that all handling equipment fulfills local legal standards and IKEA standards
- Secure competence development and completion of mandatory trainings and education related to health, safety and quality on a regular basis
- Contribute that the actual warehouse racking structure is alligned with the configuration in the IT system (e.g. Fire Classification) and that daily and weekly racking checks are performed, documented and needed actions initiated and followed up
5
Experience For M Health Care Quality Compliance Leader Resume
- Contribute that logistics team works in compliance with Global Risk Manual, IKEA internal regulations and local legislation relating to quality, health, safety and environment
- Conduct due diligence check on dealers and other types of ITPs, and complete ITPs company approval and authorization process pursuant to company compliance policies and ITP compliance specialist handbook
- Experience in working in a retail and/or logistics role, with previous experience of leading others
- Key to this role is the relationship with broader global stakeholders and the ability to operate within a matrix structure
- Work through others, set priorities, delegate responsibility and give open and honest feedback
- Identify need for and drive change in ways of working
- Ensures the business runs in a compliant way according to all applicable IKEA policies and local and state laws
6
Experience For Hydro Power License Compliance Leader Resume
- Completes site safety, security and compliance audits, and trainings as required while maintaining accurate records
- Collect and analyze ITP data and matrix, and prepare and draft CRB and COR review related documents
- This role is directly accountable for leading, linking and delivering risk management capability within these business units in accordance with any Board agreed strategies and risk appetite requirements
- The role is accountable for the provision of commercial and risk technical advice to all parts of these businesses with respect to investment clients; investment funds (MMFs), mergers and acquisitions, and consulting engagements
- A broader responsibility of this role is the ability to provide critical and innovative thinking in the risk management environment (industry) as it relates to proven practices in investment management, product development, custodianship and consulting
7
Experience For Asset Compliance Leader Resume
- Lead regulatory change within the business units including ensuring all controls and business processes are aligned to governing laws
- Secures and ensures the business runs in a compliant way, according to applicable IKEA Group Policies,Standards and in alignment with national and local applicable laws and regulatory requirements
- Develop and use knowledge and experience of IKEA operations, to achieve quality and safety standards in meeting all visitors and co-workers
- Manages Risk & Compliance Team to minimize theft and fraud
- Contribute that the actual warehouse racking structure is aligned with the configuration in the IT system (e.g. Fire Classification) and that daily and weekly racking checks are performed, documented and needed actions initiated and followed up
- Ensure daily operational inspections and maintenance procedures to secure that all handling equipment fulfils local legal standards and IKEA standards
8
Experience For Enterprise Compliance Leader Resume
- Follow up and report on progress made in the areas of quality, health and safety to the store management team
- Business-minded with a clear customer focus
- Meet agreed budgets and goals, and work on plans
- Leads all co-workers within the location to establish a risk aware culture in IKEA
- Minimizes internal and external theft and fraud
- Oversees internal investigations process with accuracy, security, and confidentiality
9
Experience For Global Controls & Compliance Leader Global Emerging Markets Resume
- Facilitates implementation of data privacy and information security
- Partners with Facilities Leader to maintain vendor relationships to ensure all local and national laws are complied with in regards to risk and compliance
- Responds to and coordinates emergency situations in areas such as burglar alarms, fire alarms, active shooter, and other emergency events
- Visionary finance leader
- Training & Communication - Provide training support to the business on GE’s Spirit & Letter, other regional and business policies, regulatory excellence and other compliance initiatives and issues, including, for example, coordinating with the global team compliance team to manage the business’ third parties, including due diligence, on-boarding, training and auditing
List of Typical Skills For a Compliance Leader Resume
1
Skills For Global Functions TRS Compliance Leader Resume
- Experience in compliance role
- Demonstrated ability to research and apply equipment performance and process issues without guidance
- Demonstrated exp. and proficiency with MS Office, word processing, spreadsheet(Excel), presentation and database applications
- · Demonstrated capability and cultural savvy to manage global relationships, ability to influence and motivate others
- Experience in an IT Security function
- Meeting or exceeding objectives
- Evaluating the efficiency of controls, tools and processes, and improve them continuously per business needs
- Lead based on performing and delivering while learning and developing
2
Skills For Risk & Compliance Leader Resume
- AMS Compliance Training – Develop training program based on results of risk assessments and ensure delivery of program, with regular reporting of progress
- Annual AMS Compliance Plan – compilation, tracking and reporting
- Manage an indirect team of people during SOX management testing cycles (twice year/quarterly/annually)
- Work through people by creating understanding and commitment
- Partners with all service lines in CBS Accounting services to identify risk areas and provide control and accounting guidance
- Responsible for ensuring processes are in place and are being followed by distributor personnel related to compliance in the distributor region
- · BS/BA in Business, Engineering or equivalent required
3
Skills For Dealer Compliance Leader Resume
- Maintain business partnership with the Industrial Segment leadership and supporting functional leaders
- Thorough understanding of network security technologies and the ability to align those with business objectives and system requirements
- Work during early and late hours of the day
- Provides training and guidance to distributor personnel on compliance processes, requirements and issues
- Acts as contact person for all cross functional groups at multiple levels (including EBU, DBU, PC&C and others) related to compliance for the distributor
- Work in a fast paced, deadline driven matrix environment
- Close cooperation with business functional groups and Internal Audit during the controls testing and audits of all locations whenever Industrial Segment functions are represented (Manufacturing Operations in Ahmedabad, Naroda and the Sahibabad Industrial area – Commercial functions in Gurgaon DLF Cyber City)
- High level of internal and external customer responsiveness
4
Skills For IT Compliance Leader Resume
- Build trust and communicate in a clear and targeted way with different people in various situations
- Make things happen with flexibility, speed and simplicity
- CISSP or equivalent certification (CISM, CRISC, etc.) required
- Demonstrated understanding or aptitude to understand drug or Pharma QMS requirements and regulatory requirements including but not limited to FDA, CFR 21 210 and 211
- · Communication insure business success through environmental leadership
5
Skills For M Health Care Quality Compliance Leader Resume
- · Emissions Certification and Compliance - Knowledge of emission regulations, guidance, and advisories required for the certification and compliance of CI and SI engines. Ability to read, comprehend and follow complex requirements for certification and compliance
- Working in investment management and/or investment consulting
- · Exhaust Emissions - Awareness of regulated exhaust emissions (NOx, PM, HC and CO and GHG)
- Can apply risk assessments on a portfolio basis across one or more risk classes
- Determine and highlight areas of genuine risk and impact
- Build & maintain rules, processes & tools to address global corporate hospitality requests
- Manage and coordinates escheatment process and serves as a liaison with our external consultants
- Manages all local audits with internal audit, BPA and PwC
- Prepare and managed quarterly QROR and MRL process
6
Skills For Hydro Power License Compliance Leader Resume
- Acts as a contact for all emissions compliance issues for the region with specific focus on California
- Addresses issues at the local level or escalate them appropriately for resolution
- Identifies improvement opportunities and drive solutions to address these opportunities for the region
- Ensures all areas are informed of their respective compliance aspects; coordinate communication to each location (including branches) on compliance related messages
- Engages as appropriate the Compliance Manager and Emission Compliance Officer on compliance issues and provide regional visibility to compliance aspects
7
Skills For Asset Compliance Leader Resume
- Base Salary commensurate with experience. Additional benefits vary between locations and include options such as our 401(k) Retirement Savings Plan, Cash Balance Pension Plan, Medical/Dental/Life Insurance, Health Savings Account, Domestic Partners Coverage and a full complement of personal and professional benefits
- Ensure that appropriate training is provided to staff as well as GLP training to all Research personnel
- Deep knowledge of the Global Risk Manual and standards relating to quality, health, safety and environment
- Conduct focused training as necessary
- Knowledge of cost factors and Key Performance Indicators (KPIs) used to plan and follow up
- Knowledge and active use of IKEA manuals, particularly In-store Logistics the IKEA Way manual
- Knowledge of the total value chain and roles and responsibilities of all partners in that chain
- Liaise with various internal R&D functions and external stakeholders including vendors and contract auditors, ensuring a high level of quality and consistency across the studies,
- Contribute to the Master Audit Plan and assist project teams in implementing corrective and preventive actions, as required,
8
Skills For Enterprise Compliance Leader Resume
- Enable project team to be inspection ready and support a culture of sustainable compliance,
- Active engagement with clinical teams and activities for assigned programs,
- Assume complex assignments on issues or studies where there is no precedent
- Fluency in English and ideally in at least one other language
- Establish and maintain a periodic review system to assure compliance with Procedural Documents and GLP regulations
- Direct and administer programs for measuring compliance by establishing metrics on critical quality endpoints and provide periodic reports to management with recommendations for continuous quality improvements
- Experience in Information Security Compliance
- Experience in Audit Management
- Training & Communication - Provide training support to the business on GE’s Spirit & Letter, other
9
Skills For Global Controls & Compliance Leader Global Emerging Markets Resume
- Ensure that appropriate training is provided to staff as well as GLP and OECD GLP (as applicable) training to all Research personnel
- Lead a team of tester’s across India during SOX management testing cycles (twice a year/quarterly/annually)
- Assist in ensuring 100 percent quality and regulatory compliance in accordance with documented procedures for all aspects of functional responsibility
- General compliance quality systems management support for the following areas
- Issuance of batch records and issuance and tracking of log books, lab notebooks and SOP binders
- Be responsible for certificate expertise to drive efficient market entry & win new deals
- Proactively educate the PLL (Product Line Leader) team on regional permits & certificate requirements
10
Skills For Quality & Safety Compliance Leader Resume
- Own product compliance for respective region
- Be the primary interface with government agencies
- Partner with government relations team to influence policy on product compliance
- Deep market knowledge; and
- Institutional investments, retirement plans, private funds
- Serve as the functional TRS Subject Matter Expert and Mentor function representatives on problems and RCA’s
- Attend GCO as compliance expert to review and approve necessary risk areas of the company
- Draft and update GCO related compliance policies, especially ITP compliance and management policies
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