Compliance Manager Resume Sample
Arno Hartmann
93971 David Vista,
Phoenix,
AZ
+1 (555) 373 2253
Work Experience
Compliance Manager
06/2016
-
PRESENT
Chicago, IL
- Collaborate with LOB Compliance Officers, and other related groups, to design unique responses to internal clients’ needs in accordance with our compliances practices framework
- Training & Awareness
- Advise business personnel on specific compliance rules / regulations and operational issues
- Develop strong working relationships with product and operations managers
- Advise the businesses with respect to applicable OCC , SEC, AML and fiduciary banking rules and regulations, including providing information on regulatory changes and Dodd-Frank
- Oversee periodic compliance risk assessments
- Participate in the design of a Compliance testing plan
Product Compliance Manager
01/2010
-
04/2016
Chicago, IL
- Lead meetings with regulators
- Review responses to regulatory inquiries, including data requests, investigations and audits
- Interface with external clients as necessary
- Support CF10 in management of regulatory relationships with the PRA and FCA and other regulators (eg OCC, Fed)
- Build relationships with individuals at key regulators
- Work with the business to respond to routine and ad hoc requests
- Liaise with the business assisting in preparation of and attending meetings, visits
- Co-ordination of overall PRA and FCA risk assessments and subsequent risk mitigation programme
Assistant Compliance Manager
12/2005
-
08/2009
Philadelphia, PA
- Establish links with line of business and risk and support functions to help ensure regulatory expectations are communicated appropriately including preparing and presenting briefings for management as required
- Coordinate presentations / briefings for regulators on merger, restructuring, acquisition activities or other major projects or incidents
- Apply for permissions, passports, waivers and make formal regulatory notifications as needed
- Advise on the approved persons / senior persons regime where appropriate
- Provides a leadership role in implementing policies, standards and procedures specific to the needs of the Business Unit aligned with the Bank’s Corporate Compliance program, including BSA/AML and OFAC programs Assists in defining and structuring the BSA program for the Group and partners with BUCO peers on periodic assessment of the program's effectiveness
- Provides a leadership role in implementing policies, standards and procedures specific to the needs of the Business Units aligned with the Bank’s Corporate Compliance program
- Supervises and/or performs periodic testing to determine effectiveness of unit’s compliance to regulatory requirements, internal policies, and best practices
Education
University of Phoenix - Utah Campus
1999 - 2004
Bachelor's Degree in Business
Professional Skills
- Multi-task; to work in a team environment and independently; prioritizing and ensuring the proper use of one’s own time, and the timely completion of all projects; and to work with time sensitive and confidential information
- Excellent communication skills, including strong negotiation skills. Demonstrated ability to interact and collaborate across all levels of the organization
- Strong project management skills including excellent time management and organizational skills, with an attention to detail
- Strong decision making skills, critical thinking, excellent problem-solving skills, and a positive can-do attitude
- Excellent written and oral communications skills, including English speaking/writing skills
- Excellent communication, collaboration, and facilitation skills including conflict resolution and negotiating skills
- Superior decision-making skills, moral/ethical standards, coordination, multi-tasking, detail orientation, and organization skills
How to write Compliance Manager Resume
Compliance Manager role is responsible for interpersonal, analytical, organizational, business, presentation, compliance, organization, leadership, microsoft, advanced.
To write great resume for compliance manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Manager Resume
The section contact information is important in your compliance manager 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 Manager Resume
The section work experience is an essential part of your compliance manager 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 manager 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 manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Manager resume experience can include:
- Effective verbal and written communication skills – being able to engage at several organizational levels to provide training, re-assign complaints and obtain stakeholders’ buy-in
- Provides a leadership role in implementing policies, standards and procedures specific to the needs of the assigned business group and aligned with the Bank’s Corporate Compliance program
- Input to the Compliance Risk Assessments in accordance with Global Risk policies for each function ensuring the active participation of senior management and Global Functions Compliance
- Excellent critical thinking skills that enable highly effective design of compliance strategy and ability to align its priorities with those of the business
- Proven organizational skills, attention to detail and analytical skills
- Excellent verbal, written, and interpersonal communication skills and analytical skills; attention to detail; courage and conviction
Education on a Compliance Manager Resume
Make sure to make education a priority on your compliance manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance manager 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 Manager Resume
When listing skills on your compliance manager 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 manager skills:
- A key competency for this role is strong communication skills, including report writing, presentation skills, listening skills and influencing skills
- Proven people management experience or leadership skills. International exposure, and strong business acumen
- Strong written skills including experience with creation of policies and procedures and training the business in such policies
- Excellent IT skills – experience of using PowerPoint, Excel, Outlook and Visio
- Strong verbal, written and interpersonal communication skills. Successful experience working with management, business partners, and legal partners
- Effective organizational skills, detail-oriented and the ability to manage multiple tasks/competing priorities
List of Typical Experience For a Compliance Manager Resume
1
Experience For Product Compliance Manager Resume
- Excellent verbal and interpersonal communication skills and analytical skills – needs to be able to work on a trading floor and present professionally
- Strong analytical skills with demonstrated ability to interpret laws and regulations, analyze process, determine gaps and oversee resolution required
- Strong interpersonal skills to be able to build effective relationships within the team, business and externally
- Good communication and interpersonal skills and ability to maintain strong and trusting relationships with all colleagues
- Detail oriented, capable of effectively prioritizing among competing objectives, and meeting accelerated deadlines
- Strong analytical and assessment skills in assessing regulatory risks, including mitigating controls
2
Experience For SOX Compliance Manager Resume
- Strong analytical, data gathering and data interpretation skills including proficiency in applications such as Microsoft Excel and Access
- Strong risk assessment skills, including risk identification, mitigation strategy, and control testing
- Strong partnering, and strategic influencing skills
- Strong problem solving and implementation planning skills
- Investigative experience and skilled at obtaining and preserving evidence and the management of technical sources of information
- Strong oral presentation skills and the ability to administer training classes to groups and individuals
3
Experience For Assistant Compliance Manager Resume
- Proven analytical, problem-solving, collaboration, and communication skills
- Well-developed English language skills, both verbal and written, possessing good attention to detail attributes
- Strong judgment, analytical/problem solving skills
- Demonstrated compliance experience withextensive relevant experience with investment funds
- Demonstrates ability to conduct research and present information clearly and effectively at all levels, particularly project work
- Experience in compliance risk management, at least 3 years of experience in legal, or at least 3 years of experience in audit
- Multi-task and prioritize effectively and efficiently
4
Experience For EAC Compliance Manager Resume
- Analytical with good organisational skills
- Strong organization skills for documentation and other aspects of position
- Communicating effectively through clear written and verbal communications and actively listening
- Compelling influencing and negotiation skills
- Understanding/experience in working with financial systems (SAP, consolidations, etc.)
- Experience leading teams and planning in a consulting or audit role, or related experience
- Strong understanding and proven track record in marketing, business development and advertising compliance
- Demonstrates strong working knowledge and understanding of banking industry
- Input to the planning and scoping of individual reviews to ensure all key compliance risks are tested effectively
5
Experience For Commercial Compliance Manager Resume
- Relevant work experience in compliance and risk, and experience working with regulators and understanding of regulator expectations
- In-depth experience in Banking and/or Financial Services Industry (including supervision agency experience)
- Interpersonal, influencing, and listening skills
- Prior international experience studying and/or working overseas (European exposure would be an advantage)
- Proven record of problem solving anddelivering effective solutions
- Solid experience in corporate and commercial banking compliance and general compliance in banking sector
- Previous investment company accounting or financial reporting experience or equivalent amount of investment operations experience
- Prior experience in banking operations and banking systems
- Well-developed relationship-building, communication and influencing skills
6
Experience For Marketing Compliance Manager Resume
- Highly developed problem solving skills with an ability to identify creative solutions while operating in a restrictive regulatory framework
- Strong management experience—including the ability to delegate responsibilities and develop a team for vitality and succession planning
- Prior experience in the field of license compliance necessary, both working through third party audit firms and directly auditing customer
- Good experience monitoring and compliance risk reporting
- Demonstrable Compliance monitoring skills obtained from working in an FCA authorised and regulated firm
- Manage complex assignments independently while also working effectively as part of the team
- Proven track record of successful selling experience above annual quota in similar positions
- Take action to validate any non-conforming result prior to notification of Waste Management personnel
7
Experience For Group Compliance Manager Resume
- Proven cultural transformation experience in leading a change across an organization through influence and collaboration, leadership and people management
- Advanced MS Office skills including Word, Excel, and PowerPoint
- Prior work experience in a corporate equity, compliance, or finance/auditing function
- Experience in managing international relationships, remote/virtual organizations, global BPO experience and vendor relationship management
- Financial services background with prior financial planning experience
8
Experience For Mutual Fund Compliance Manager Resume
- Experience in a compliance, auditing, or finance role at a regulated company, or equivalent combination of education and experience
- Experience supporting firm with global business/regulatory experience
- Intermediate or greater MS Office skills including PowerPoint, Excel and Access
- Experience in the banking industry with a primary focus on compliance, or related experience within the within the finance or related field
- People management experience and experience working across diverse business groups and teams
9
Experience For VAT Compliance Manager Resume
- A personal commitment to success and great problem solving skills
- Possess the proven ability to prioritise a demanding and varied workload yet work in an organised and accurate manner
- Excellent knowledge of HKMA and SFC regulations, and experience of managing the relationship with the Regulatory bodies
- Policy writing skills
- Prior experience testing broker-dealer supervision or similar audit function
- Experience managing project management resources and programs with strong technology requirements/dependencies
10
Experience For Data Compliance Manager Resume
- Demonstrated experience leading cross- business programs with interdependencies
- Prior compliance, audit, accounting, and/or operational risk management experience
- Significant procurement experience, with demonstrable experience in the engineering and construction industry
- Problem solving/issue resolution and project management skills required to manage compliance issues
- Good experience in handing enquiries from regulators
- Proven experience in implementing solutions to address CASS regulatory requirements
List of Typical Skills For a Compliance Manager Resume
1
Skills For Product Compliance Manager Resume
- Excellent project management skills; experience managing both small and large projects effectively
- Strong collaboration and influence management skills to partner effectively with Sector functions and across Operating Units
- Strong collaboration skills and ability to work effectively in small groups and teams
- Excellent research skills, interpersonal skills
- Personal computing skills including word processing and spreadsheet applications. Advanced skills using Microsoft Office and other analytical tools
- People skills including the ability to influence, gain commitment and effectively handle conflict
- Strong organization, planning and project management skills; ability to prioritize tasks for both self and team to meet business requirements and deadlines.
- Develop effective relationships by building trust and credibility through strong interpersonal skills, communications, and actions
- Demonstrates strong organizational skills with ability to maintain a complex annual review calendar
2
Skills For SOX Compliance Manager Resume
- Attention to detail and strong organizational and prioritization skills
- Experienced communicator and excellent written skills and attention to detail
- Project management experience recommended, with excellent time management skills required
- Strong analytical and organizational skills; ability to prioritize projects
- Strong project management abilities as well as excellent interpersonal and professional communication skills, both verbal and written
- Strong interpersonal and communication skills, both oral and written; with excellent attention to detail
- Strong organizational skills and ability to prioritize and manage multiple projects simultaneously
3
Skills For Assistant Compliance Manager Resume
- Outstanding interpersonal skills and proven ability to communicate and work with all areas of the organisation, including field personnel
- Experience dealing with business management; prior experience implementing and executing a compliance program
- Skilled in working with and communicating effectively both orally and in writing with other project functional groups, suppliers and government officials
- Analytical: Exceptional research and analytical skills, with experience in collecting, analyzing, and synthesizing information on various subjects
- Excellent systems thinking skills that result in the design and documentation of streamlined measurement, tracking, and reporting processes
- Strong problem solving, decision making, and reporting skills
4
Skills For EAC Compliance Manager Resume
- Analytical and quantitative skills, including effective data analysis and investigative problem solving
- Proven experience in overseeing and managing a highly effective regional Financial Crime Compliance function across geographies; and
- Proven experience in audit/compliance/ banking role, preferably with exposure on corporate/wholesale banking business and broad-based compliance experience
- Good listening, communication skills & influencing people
- Strong working knowledge of Microsoft office skills, including Microsoft Project, Power Point, Excel and Visio
- Demonstrates ability to interact effectively with a variety of contacts including senior management and support group
- Strong PC skills including Word, Excel and Access
- Excellent independent judgment and decision-making skills
5
Skills For Commercial Compliance Manager Resume
- Effective communication skills with all levels of the organization, including senior management
- Exceptional stakeholder management skills, and experience of providing influence and challenge to senior stakeholders
- Strong verbal skills including the ability to interface with internal and external business partners
- Strong communication, presentation, written and influencing skills
- Excellent problem-solving and analytical skills to identify opportunities for improvement
- Customer centric with excellent communication skills and comfortable working at a senior level
- Excellent time management skills including the ability to set and work towards deadlines
- Critical thinking with excellent research and analytical skills
6
Skills For Marketing Compliance Manager Resume
- Excellent communication skills and ability to interact, influence and challenge stakeholders at varying levels of seniority
- Strong PC Skills including MS Office (Outlook/Word/Excel/Access/PowerPoint), as well as relevant investigations search tools and methodologies
- Critical thinking, strong analytical and organizational skills with high attention to detail
- Excellent report writing skills needed
- Strong interpersonal, supervisory and team building skills
7
Skills For Group Compliance Manager Resume
- Strong negotiating skills with the ability to negotiate within Dollar General's guidelines for the task at hand
- Experience with Oracle ERP or equivalent accounting systems. Advanced Microsoft Excel skills required
- Prior demonstrated experience in leading complex, cross-functional initiatives to improve business results (minimal 3-5 years)
- Excellent analytical skills including ability to learn new legal frameworks quickly and make decisions and respond to issues promptly under pressure
- Strong influencing skills and ability to build relationships with a range of internal customers
8
Skills For Mutual Fund Compliance Manager Resume
- Extensive analytical and problem solving skills and experience
- Strong ability to resolve issues/conflict and negotiate and facilitate with project groups with proven experience driving group to successful completion
- Excellent interpersonal and relationship building skills across business groups internally and outside the organization
- Strong organizational and problem solving skills, and ability to drive change
- Proven program management skills, inclusive of strategic planning
9
Skills For VAT Compliance Manager Resume
- Has strong communication and writing skills in English and Russian
- Effectively manage a variety of concurrent and high priority Inquiries and Investigations related to billing, clinical, and IT Compliance risks
- Proven ability to work effectively with multiple competing deadlines
- Advanced computer skills required, including good working knowledge of Microsoft Word and Excel
- Experience in an internal control function at a financial services company demonstrating project management skills
- Strong leadership and relationship management skills, including the ability to interact and influence multiple levels of business management,
10
Skills For Data Compliance Manager Resume
- Strong interpersonal, multi-tasking skills
- Self motivated with strong communication, analytical and project management skills
- Good interpersonal skills, ability to work independently and in a team
- Good presentation skills and ability to write and communicate verbally clearly and concisely
- Strong communication skills in English and Mandarin; both written and spoken
List of Typical Responsibilities For a Compliance Manager Resume
1
Responsibilities For Product Compliance Manager Resume
- Exercises good judgment; possesses effective collaborative capabilities; demonstrates good communication skills and project management capabilities
- Excellent skills communication and presentation skills
- Proven data & analytical skills and a strong focus on accuracy and an eye for details
- Well-developed relationship-building skills and communication / influencing skills
- Strong computer skills, including competence with Excel and Word
- Strong written and verbal communication skills with a service approach
- Good coordination skills for a variety of tasks
2
Responsibilities For SOX Compliance Manager Resume
- Good written and verbal communication skills and the ability to work well with other parts for the business
- Energetic individual with a positive attitude and proven leadership skills
- Influencing skills including the ability to promote continuous improvement for processes at all levels and across all areas of the organisation
- Superior compliance research, drafting, writing and organizational skills
- 3 – 5 years supervisory experience (experience in managing employees) is required
- Prior experience with relevant security standards and best practices such as PCI DSS, ISO/IEC 27000-series, and SSAE16/SAS 70/SOC1 & 2
- Good knowledge of FCA rules (e.g. PRIN, SYSC, APER, COBS, BIPRU, SUP, DTR). A strong knowledge of COLL or the CBI’s UCITS Notices is essential
- Experience that relates to brokerage compliance or bond market experience could also be useful
3
Responsibilities For Assistant Compliance Manager Resume
- Exhibit superior time management skills (measured by deadlines and quality of progress and projects completed.)
- Act as an advisor to senior management for interpreting, analysing, using and effectively responding to compliance information
- Collaborates effectively and on an ongoing basis with all constituents involved in IT General Controls
- Manage and organise work loads effectively, to meet deadlines
- Experience in commercial law and experience with commercial leasing
4
Responsibilities For EAC Compliance Manager Resume
- Establish relationships internally and externally and work effectively with peers and business partners across the enterprise
- Maintaining good relationship with key regulators who have great impact on TB business and lobby with regulators where necessary
- Demonstrating that the delivery of compliance advice is built around not only compliance risks but also the Bank's commitment to Here for good
- Assessing effectiveness of compliance processes and the compliance management program
- Completing the logging, monitoring and validation of recommended actions
5
Responsibilities For Commercial Compliance Manager Resume
- Investigating individual compliance cases, gathering evidence and contacting the offender
- Engaging with the relevant Group IS SMEs and SLT members to agree practical and effective remedial actions where issues are identified
- More than 8 years of working experience in auditing, internal control or managing compliance activities
- ...most up-to-date and known to all employees by communicating in a clear and effective manner both through formal training to Marketing..
- Experience in risk/compliance/banking role, preferably with exposure on corporate banking business
- Ensure Supplier Quality is maintained through assessment, audit management and building effective and improving relationships
- Establish strong connection and collaboration with business partners at the site, e.g. Quality Operations, Training, and Manufacturing
- Experience in understanding and interpreting new regulations and their impact across diversified businesses
6
Responsibilities For Marketing Compliance Manager Resume
- Floor-based compliance experience relating to fixed income, credit, interest rate and currency related products and activities
- Good understanding of Investment Businesses
- Good understanding of the relevant FCA rules (e.g. Systems and Controls) and all other relevant legislation and guidance,
- Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services
- Set clear expectations with business partners, manage competing priorities and escalate when necessary
- Relevant compliance experience within banking and financial services sector
7
Responsibilities For Group Compliance Manager Resume
- Strong knowledge of the payment processing industry and card business
- Validation of guideline coding in CRD
- In an information security, lead audit or compliance role with progressive experience in the following areas
- Quality Assurance/Quality Auditing experience desirable
- Experience working within a high net worth compliance environment desirable
- Experience working within an influential regulatory compliance function
8
Responsibilities For Mutual Fund Compliance Manager Resume
- Project management experience, preferable
- Assess effectiveness of Capital One’s control environment
- Good communication with stakeholders
- Previous experience selling and negotiating at CXO level
- Very good understanding in selling to end customers
- Strong knowledge of environmental regulations with an emphasis on those concerning the management of universal waste and hazardous waste
- Experience working in a 1st or 2nd Line of Defence Compliance capacity desirable
- Interface between internal teams and external consultants to achieve an effective compliance program that is balanced with the Company’s risk profile
- Excellent proficiency with Microsoft Office products (i.e. Excel, Word, PowerPoint, Outlook)
9
Responsibilities For VAT Compliance Manager Resume
- Solid knowledge of SOX, FCPA and local internal control regulations, familiar with PRC GAAP, US GAAP and CAS
- Extensive experience interacting with federal and state regulators as well as Law Enforcement agencies
- Proven ability to successfully interact with senior management
- Strong background in the investment management industry
- Evaluate business operations process and their effectiveness,
- Build continuous strong relationship with business partners
- Strong knowledge of fixed income securities, equities and derivatives is required
10
Responsibilities For Data Compliance Manager Resume
- Experience in one or more of the following professional settings, in order of preference
- Flexibility and ability to prioritize while maintaining urgency when necessary
- Utilize sound judgment to identify and assess risk, materiality, and adequacy of audit evidence, compensating controls, and significance of findings
- Insurance industry experience is highly desirable (Property & Casualty, Reinsurance are ideal
- Coaches, trains and mentors less experienced Compliance Specialists
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