Compliance Manager / Senior Manager Resume Sample
Aglae Emmerich
810 Schneider Spurs,
New York,
NY
+1 (555) 805 5658
Work Experience
Senior Manager, Clinical Compliance
02/2016
-
PRESENT
San Francisco, CA
- Compliance Management and Team
- Corporate Audit, Legal and Risk
- U.S. P&C LOB Management
- Direct Compliance reporting on key projects to assist business line, global function or HTS in meeting project deadlines ensuring advice is relevant and accurate, succinct and easily understood
- Communicate key compliance concerns/issues to ensure timely resolution by business partners
- Create reporting on regulatory and FCC compliance roles, including monitoring and educational role to support management with their efforts to achieve compliance with government and self-regulatory organization rules and regulations, as well as with Group and Firm policies
- Ensure AML Compliance training is relevant, meets specific business needs, and is completed timely and on an annual basis
- Manage assigned general compliance functions for business groups typically of a large, complex nature. Ensure adherence to the Compliance Officer and Money Laundering Control Officer handbooks
- Identifies, assesses, monitors and reports consumer regulatory compliance risks related to lending
Senior Manager, SOX Compliance
09/2010
-
10/2015
Dallas, TX
- Develops and maintains current reporting regarding consumer loan compliance
- Works closely with the Compliance Testing area to determine the scope of their review for each review period
- Oversees the coordination of regulatory examinations related to consumer lending compliance, including working closely with regulators and internal teams to prepare for and administer compliance examinations
- Represents Consumer Compliance and leads preparation of responses in regard to audits related to consumer lending compliance examinations
- Analyzes new and pending laws and regulations which directly affect the Bank’s practices and operations
- Prepares status reports for senior management, summarizing new and revised interpretations of regulations affecting relevant work groups within the bank
- Works with management and staff in areas of the bank affected by alterations in business practices to ensure understanding and implementation of new policies and procedures
Senior Manager, Operational Compliance
11/2007
-
03/2010
Boston, MA
- Researches, develops, writes and maintains policies and procedures with emphasis on federal and state regulatory laws
- Acts as the compliance contact for all projects and product development related affecting consumer lending
- Provides specialized and targeted compliance training to the consumer lending lines of business, as needed
- Develops and/or revises appropriate policies, procedures, new product implementation, services, and systems, as assigned, to ensure Bank compliance with regulatory requirements
- Manages teams, including those responsible for consumer lending, mortgage lending, and HMDA and CRA Small Business/Small Farm data collection, verification and annual submission to appropriate regulatory agencies
- Actively assists lines of business with developing and implementing corrective action for deficiencies noted in internal and external reviews
- Demonstrated experience with BIMO Guideline
- Demonstrated experience in development of CAP A plans to address potential non-compliance
Education
Strayer University - Knoxville Campus
2002 - 2007
Bachelor's Degree in Accounting
Professional Skills
- Experience analyzing potential quality issues (e.g. root cause analysis, critical thinking skills, etc.)
- Excellent interpersonal skills to communicate with business units, distribution partners, and regulators
- Demonstrated skills in working independently and in a team environment
- Excellent communication skills and ability to work with people in all levels of the organization and externally
- Excellent communication skills and ability to work with people in all levels of the organization and
- Project planning, organizational, teamwork & interpersonal skills
- Experience in operational security and/or IT auditing experience required
How to write Compliance Manager / Senior Manager Resume
Compliance Manager / Senior Manager role is responsible for risk, compliance, inspections, training, regulatory, integration, finance, securities, database, procurement.
To write great resume for compliance manager / senior manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Manager / Senior Manager Resume
The section contact information is important in your compliance manager / senior 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 / Senior Manager Resume
The section work experience is an essential part of your compliance manager / senior 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 / senior 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 / senior 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 / Senior Manager resume experience can include:
- Strong organizational abilities, action oriented and strong communication skills
- Experience in leading requirements gathering, business process and change management for a major technology deployment within the clinical development area
- Responsible for managing the operations of the portfolio of Clinical Systems to ensure compliance with regulations and operational effectiveness
- Advanced experience in Trial Master File requirements and set up
- Guide the preparation of SOX risk assessments, scoping, and planning
- Responsible for creation and executing clinical systems training
Education on a Compliance Manager / Senior Manager Resume
Make sure to make education a priority on your compliance manager / senior 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 / senior 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 / Senior Manager Resume
When listing skills on your compliance manager / senior 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 / senior manager skills:
- Experience developing trending reports and analyzing potential quality issues (e.g. root cause analysis, critical thinking skills, etc.)
- Strong understanding of study and site management and overall trial planning and execution
- Relevant work experience with a mix of private industry and public accounting or internal audit
- Strong Working knowledge with electronic document management systems, document archival systems (eTMF) and CTMS system
- Experience managing complex IT projects and/or IT Support Departments
- Sound judgment and a strong business acumen when considering courses of action
List of Typical Experience For a Compliance Manager / Senior Manager Resume
1
Experience For Senior Manager, Clinical Compliance Resume
- Strong organizational abilities, action oriented and strong communciation skills
- Manage development/delivery of SOX training content for an effective financial compliance training program for new and existing colleagues
- Strong understanding of ITGC and application control concepts, and common SaaS applications supporting financial business processes (e.g. NetSuite, Salesforce)
- Strong knowledge of global regulatory requirements and ICH/GCP guidelines
- Sets work priorities for the Information Security organization to manage information risk and ensure compliance
- Collaborates with Clinical Operations members on regular basis ensuring user expectations are met in providing day to day support
- Lead the Systems and Clinical document control efforts in preparing for and participating in an audit and/or regulatory inspection
2
Experience For Senior Manager, SOX Compliance Resume
- Lead the Systems and Clinical document control efforts in preparing for an participating in an audit and/or regulatory inspection
- Supports Clincial Compliance in providing measures of performance such as Metrics and KPI for continuous improvement
- Manage the archival, tracking and retrieval processes for completed TMFs stored on or off site
- Support internal and external audit including development and implementation of CAPA results activities
- Manages the transition of proprietary information for acquisitions, divestitures and licensing of compounds related to trial master file records
3
Experience For Senior Manager, Operational Compliance Resume
- Knowledge of DIA filing structure
- A successful track record driving the development and deployment of clinical trial technologies at the enterprise level
- Supports internal and external audit including development and implementation of CAPA results activities and
- Manages the transition of proprietary information for acquisitions, divestitures and licensing of compounds related to the trail master file records
- Inspire and influences others, including direct team and peers within DTSS
4
Experience For Senior Manager Loan Compliance Resume
- Proficient in process flow mapping and control documentations
- Provide financial crime training to Asia Digital business
- Provide second line assurance reporting to the Board and Management risk committees
- Exercise discretion and maintain confidentiality when dealing with sensitive issues
- Bring out other’s potential / talents
- Participate in the design of the Company’s global SOX compliance efforts for all ITGC and financial process controls
- Support and participate in control remediation activities
- Track and report status and results of SOX Compliance efforts to management
- Responsible for implementation and management of daily systems operations and support of key Clinical systems. Systems include but not limited to : eTMF, CTMS
5
Experience For Compliance Specialist Senior Manager Resume
- Leads the management of Clinical Study Records life cycle, including retention and disposition of records and associated audit trails in accordance with best business practices and corporate policies and procedures
- Responsible to ensure systems and operations are in compliance with all internal and regulatory requirements
- Establishes streamlined support process in partnership with IT and QA
- Stays abreast of corporate policies and infrastructure improvements
- Contributes to strategic vision and direction of the systems under management and helps to manage the delivery of the strategic objectives
- Maintain integrity of TMF storage area (room access, closure, etc.) and orchestrate off-site storage processes
6
Experience For Senior Manager, Contract Compliance Resume
- A firm understanding of the clinical development lifecycle and the technologies associated with the activation and management of clinical trials and study sites
- Able to carry out responsibilities with minimal to no supervision
- Responsible for implementation and management of daily systems operations and support of key Clinical systems. Systems include but not limited to eTMF, paper TMF, and CTMS
- Leads the management Clinical Study Records life cycle, including retention and disposition of records and associated audit trails in accordance with best business practices and corporate policies and procedures
- Collaborates with Clinical Operations members on a regular basis ensuring user expectations are met in providing day to day support
- Supports Clinical Compliance in providing measures of performance such as Metrics and KPI for continuous improvement
- Supports Clinical Operations by providing risk-based assessments for Jazz Clinical Trials as defined by ICH E6 (R2)
- Oversees the archival, tracking and retrieval processes for completed TMFs stored on or off site
7
Experience For Senior Manager, Risk Management & Compliance Resume
- Collaborates with Clinical Quality Assurance to support process improvement
- Contributes to strategic vision and direction of the systems under management and helps to manage the delivery of strategic objectives
- Oversees the integrity of TMF storage area (room access, closure, etc.)
- Provides compliance support for Notice of Events for all functional areas
- Collaborate across DTSS without limitation to facilitate delivery of projects, initiatives, and services
- Address queries and information requests from Compliance, Legal and Internal Audit partners related to marketing material practices within RBC GAM’s Individual business unit
- Connects team to the larger organization through awareness efforts and participation in teams, governing bodies, and cross functional efforts
- Participates with other senior leaders to define strategic plans and objectives for the organization
8
Experience For Senior Manager Corporate Compliance Forensic & Corporate Compliance Services Resume
- Directs and controls the activities for multiple functional areas and managers within the Information Security team
- Customer service champion within team to ensure the service delivered meets the needs of the organization and customers
- Manages the execution of technical controls in support of PCI, SOX, and other regulatory compliance requirements
- At least eight years work experience either in Consulting or within the Compliance/ Legal /Internal Audit Department of a Pharma / Life Sciences / medical devices company
- Knowledge and previous experience in the aforementioned fields
- Flexible and able to adapt to new situations
9
Experience For Senior Manager, Trust Compliance Resume
- In sales, sales programs, sales operations, sales systems, and/or business intelligence roles
- Exceptional problem solving skills and ability to identify complex concepts and problems and translate them into practical and material risk mitigation recommendations
- Superior organizational and relationship skills – effectively interact with people at every level of a large corporation
- Serve as the Compliance Officer, Bank Secrecy Act (BSA) and OFAC Officer for Delaware Trust
- Manage local policies and procedures to ensure they are commensurate to the compliance risks of the unit, and adhere to US regulatory requirements and expectations
10
Experience For Senior Manager Business Conduct & Anti Corruption Compliance Resume
- Lead the local implementation of Global Compliance strategies and policies; ensure local awareness and adoption of relevant RBC enterprise and Wealth Management wide policies and procedures to the business
- Supervise AML transaction monitoring program for the company, overseeing the Compliance Officer who reviews alerts and conducts investigations; determine when Suspicious Activity Reports (SARs) are required and ensure that timely and thorough SARs are filed as necessary
- Ensure compliance with the standards established in the Regulatory Compliance Management Framework and conduct applicable compliance oversight reviews; oversee Compliance Officer in execution of compliance monitoring & testing
- Track and resolve internal and external compliance issues; track resolution of all issues identified during examinations by the Delaware state regulator and provide input into various Global Compliance reports, prepare ongoing Board reports for the Delaware Trust Board reports and participate in local management and Board committee meetings
- Demonstrated experience in development of CAPA plans to address potential non-compliance
List of Typical Skills For a Compliance Manager / Senior Manager Resume
1
Skills For Senior Manager, Clinical Compliance Resume
- Communicates effectively to all levels of the organization
- Skilled in communicating both verbally and in writing with all levels, and sensitive to the diverse cultural make-up of the Bank’s employee population
- The flexibility to balance multiple accountabilities with at times competing priorities; and
- Strong foundation and understanding of SOX controls
- Experience of Procurement for the quality engineering industry
- American Express AML experience
- Attention to detail while not letting perfect be the enemy of good
- Critical thinker with very good attention to detail
2
Skills For Senior Manager, SOX Compliance Resume
- Experience in sales compliance, license compliance, channel compliance or related ethics, audit, legal, operations, finance functions
- Machine Learning specifically Modeling using Machine Learning Studio
- Support the onboarding and ongoing review process to ensure adherence to CIP/KYC/EDD requirements, through reviewing or overseeing new account process
- In administering, managing, creating channel and/or sales programs and incentives
- Contribute to compliant solutions for global transactional and accounting processing for on-going and project based activities
- Responsible for key department administrative functions including but not limited to financial planning and resource management
- Participate in continued development of financial risk management and control optimization reporting and tracking
- Contribute to the simplification of financial control processes by reducing complexity and increasing automated control procedures
- Meet business needs by translating business requirements into Hive/Spark/Python queries
3
Skills For Senior Manager, Operational Compliance Resume
- Meet business needs by translating business requirements into Teradata SQL queries
- Integrate changes in regulatory requirements or U.S. P&C operations into testing templates and procedures
- In the pharmaceutical industry with emphasis on controlled substance handling and compliance.
- Simultaneously handle diverse and pressing assignments as well as sensitive and adversarial situations
- Entrepreneurial thinking and customer orientated
4
Skills For Senior Manager Loan Compliance Resume
- Identify control attribute changes for the supporting Controls Database
- Use SharePoint to improve efficiency and standardization of control tracking
- Independently test and debug big data code
- Maintaining existing processes to support the anti-bribery compliance program, including the mandatory anti-corruption due diligence processes applicable to mergers & acquisitions, political and charitable donations, and engaging third party agents, lawyers, lobbyists, consultants, etc.
- Assisting the Director in developing and implementing global risk-assessment and monitoring and testing strategies and processes for the Bank’s anti-bribery and anti-corruption compliance program and its ethics and business conduct program
- Participate in vendor FIS user on line sessions and address Scotia’s questions/concerns in the forum
5
Skills For Compliance Specialist Senior Manager Resume
- Continually acquire and enhance knowledge of both the Bank’s and the Division’s compliance needs/strategies and be able to provide effective business solutions to those needs
- Position ‘Risk & Compliance’ as a 2nd line function and critical friend to support the building of a sustainable Aviva Brand
- Proficiency with MS Office (e.g. Word, Excel, PowerPoint, Outlook, Visio)
- Work closely with business leaders and other Aviva entities to provide strategic and functional leadership on risk and compliance programs
- Provide timely review and challenge to the EXCO and 1st line on all major projects, business proposals and key strategic compliance & financial crime risks that face the business
- Champions the mandatory and consistent use of common tools developed to enhance performance monitoring, reporting and documentation of the Global Compliance team’s mandate increasing process efficiency and effectiveness
6
Skills For Senior Manager, Contract Compliance Resume
- Able to work independently and meet tight deadlines
- Independently test and debug Teradata SQL code
- Aid in the development, implementation, and maintenance of testing methodologies and plans for the U.S. P&C Compliance Risk Management program. Monitor the ongoing cycle of compliance reviews to ensure that compliance testing occurs on a consistent basis and provides adequate coverage of U.S. P&C business groups
- Review testing standards on a regular basis to ensure that they reflect the most recent developments in regulatory requirements, as well as changes in U.S. P&C operating policies, procedures and processes
- In accordance with the approved Regulatory Compliance Testing schedule, initiate planning activities for upcoming Regulatory Compliance Testing reviews. Determine scope, understand current risk assessment for relevant U.S. P&C business group, and develop appropriate project plans and timelines
- Lead the execution of regulatory compliance testing activities. Apply thorough knowledge of U.S. P&C operations and applicable regulatory requirements in testing efforts to ensure thorough, accurate and independent evaluation of risk controls
- Maintain accountability for adherence to established workpaper standards for consistent and detailed documentation
- Communicate the discovery of any non-compliance to senior management in Compliance and U.S. P&C. Follow-up to support and verify appropriate response to issues identified before remediation begins
7
Skills For Senior Manager, Risk Management & Compliance Resume
- Summarize findings and report on the adequacy and effectiveness of risk controls for the U.S. P&C LOB. Ensure that reports provide thorough, concise information for U.S. Compliance and U.S. P&C LOB management
- Experience in project management of large IT initiatives
- The ability to work independently and at times to tight deadlines, and to quickly adapt to unforeseen changes in priorities and initiatives,
- ACAMs Accreditation ( Nice to have)
- Project Management Accreditation (Nice to have)
- Proven experience in partnering successfully with IT on delivering system solutions and enhancements5+ years’ experience in organizational programs, project management or related area
- Experience working in a clinical compliance group, QA Quality Management/Quality Risk Management function, or Clinical Development with expertise and/or transferrable skills in Good Clinical Practice and Regulatory Inspections
- BA in Finance/Business Administration, Accounting, or similar required
- Knowledge of GAAP, COSO internal control framework, data analytics and process improvement
8
Skills For Senior Manager Corporate Compliance Forensic & Corporate Compliance Services Resume
- Intermediate to advanced knowledge of Teradata SQL
- Intermediate to advanced knowledge of Big Data tools and the Cornerstone environment
- Some knowledge of Perl
- In a the pharmaceutical industry, criminal justice, chemistry, inventory management or related fields
- Drive strategy and implement actions required to maintain appropriate compliance with customer agreements in current environment as well as design of future state
- Align with internal and external teams to ensure end to end coverage of customer financial risk through customer negotiation support, self-reviews, ad-hoc analytics, dispute resolution and formal external customer audits
- Comply with and support accounting policies, financial statement audits, internal audits, SOX requirements and communicate openly and timely with Controllership function
9
Skills For Senior Manager, Trust Compliance Resume
- Coordinate and collaborate with Technology Solutions team regarding analytical tools and improvements - optimize efficiency and quality within compliance organization. Drive new tool adoption through compliance org and internal customers, as appropriate
- Liaison with executive management of Legal, Sales, Account Management, Finance, Accounting, Shared Services, and Pricing to share information and obtain support for solutions to customer trends and changes in a fast-paced and challenging environment
- Inspire and direct a team of 6, with 3 direct reports including developmental and succession planning responsibilities
- Investigate and formally present results of ad-hoc issues and proposals to CFO, CAO, Controller and Finance teams including data analytics, results, risks/opportunities, and cross-functional business efficiencies
- Advanced in MS Excel & Intermediate MS Access
10
Skills For Senior Manager Business Conduct & Anti Corruption Compliance Resume
- Six to eight years’ experience working in public accounting or Internal Audit or other risk or control related functions, preferably within a large healthcare company with working knowledge of healthcare accounting
- Extensive knowledge of financial crime (including AML/CFT) and sanctions requirements
- Work directly with key stakeholders in program execution and/or support the leadership team with managing key programs or initiatives
- Support the Head of Risk and Compliance in broad regional compliance oversight impacting digital business in Asia, not limited to Asia Digital
- Responsible for compliance training programs to business
- Provide financial crime management due diligence and enhanced due diligence collaborating with other Aviva entities where appropriate
List of Typical Responsibilities For a Compliance Manager / Senior Manager Resume
1
Responsibilities For Senior Manager, Clinical Compliance Resume
- Sets work priorities for the Information Security organization to manage information risk and ensure regulatory compliance with PCI and SOX
- Prepare SOX related supporting documentation and analysis and SOX control mapping
- Develop new or revise existing business processes, or provide substantial support or technical guidance, for same
- Manage all aspects of PCI program management globally to include: assisting each property with documenting their scope, provide recommendations on PCI controls, assisting each property’s project team with documenting all of their controls in a standard framework, and provide cost effective remediation plans
- Drive annual plans and activities that meets the company’s financial objectives
- Manage and lead annual and quarterly SOX initiatives across Crocs’ global operations
- Manage SOX program coordination, meetings and section 404 deliverables with external and internal audit
- Manage the design and definition of controls with global business owners to support organizational, system, process, legal entity and/or accounting policy changes
- Bachelors with at least 6 years of relevant industry experience
2
Responsibilities For Senior Manager, SOX Compliance Resume
- Manage currency of the SOX narratives for operational and control changes
- Identify and design risk remediation/mitigations required for control areas
- Responsible for SOX integration for newly acquired acquisitions
- Provide SOX Audit readiness and controls optimization support
- Experience working in a clinical compliance group, QA Quality Management/Quality Risk Management function, or Clinical Development with expertise and/or transferrable skills in Good Clinical Practice and Regulatory Inspections
- Monitoring legal and regulatory developments and working with Legal & Compliance management team and other department stakeholders to determine how best to operationalize them across the business
- Acting as a core stakeholder when developing organizational policies and procedures with a focus on compliance objectives without unnecessarily limiting operational flexibility for business units
3
Responsibilities For Senior Manager, Operational Compliance Resume
- Collaborating with diverse departments including Legal, Program Operations, Marketing, Admissions, Enrollment Services, Post-Enrollment Services, and Technology to understand business needs and operational process
- Serving as a subject matter expert in developing and delivering corporate compliance education and training in coordination with Human Resources and the Learning & Development departments
- Excellent verbal and written communication skills and the ability to communicate in a courteous, tactful, and concise manner
- Demonstrated ability to conceptualize, manage, prioritize and complete complex concurrent projects
- Conducting incident investigations, documenting findings and participating in briefing corporate leadership on results of investigations
4
Responsibilities For Senior Manager Loan Compliance Resume
- Assisting with the structure and management of operational audit activities. This would include prospect or applicant lifecycle reporting (e.g., contact volume analysis), and issue incident and root cause analyses relying on back-end databases and systems
- Tracking, with Legal, contract changes that impact the types of communication 2U has with prospects or applicants (e.g., calls, emails, SMS), or the ways in which 2U shares prospect information with multiple programs
- Reviewing program content on third party portals and escalating issues as necessary
- Knowledge of state and federal laws, rules and regulations that impact higher education and experience interpreting or administering legal and/or regulatory standards
- Complete SOX risk assessments, materiality assessments and conclude on the scope, including significant accounts and processes
- Act as Subject Matter Expert and partner with the business process owners during design, modification, or streamlining of process and controls. Continuously perform control rationalization and automation review
5
Responsibilities For Compliance Specialist Senior Manager Resume
- Ownership of the management SOX control testing phases
- Coordinate and perform controls walkthroughs and SOX testing both internally with process owners and externally with auditors. Provide direct assistance to the process owners as needed (eg. PBC request, walkthroughs)
- Assess the results of the SOX testing, including the assessment of identified control deficiencies, and work with the process owners on ensuring timely remediation
- Strong communication skills and ability to influence key stakeholders
- The ability to articulate effectively the importance of compliance activities and motivate engagement from diverse stakeholders
- Maintain and update the Company’s SOX compliance application
6
Responsibilities For Senior Manager, Contract Compliance Resume
- Work in partnership with external auditors and manage co-source partners to plan and implement a comprehensive audit of the company's internal controls over financial reporting
- Mentor and educate internal customers companywide in regard to internal controls and SOX compliance
- Hands-on experience and extensive knowledge the COSO 2013 framework and SEC/PCAOB regulations, as well as the demonstrated ability to design and monitor an effective global risk-based internal control environment
- Oversees all compliance matters relating to eBusiness delivery channels. Acts as a liaison to other LCO’s in respect of eBusiness delivery subject matter expertise
- Quality Assurance - Manages Quality Assurance audits and serves as insurance liaison for banking exams, system testing and implementation. Coordinates implementation of training material for sales and new products. Participates in strategic planning of the business unit’s compliance function
- Prepare and lead GMP audits across multiple internal sites and third parties. Both domestic and international
7
Responsibilities For Senior Manager, Risk Management & Compliance Resume
- Represent the department as a technical expert in their field and provide advice that supports compliant solutions in support of business goals
- Identify compliance risks and develop sound rationale for observations against current regulatory requirements and standards
- Responsible for compliance framework in Asia Digital
- Responsible and drive quality and timely advices on SFA, FAA, IA related regulations, and Aviva compliance related standards
- Responsible for compliance engagement and relationship management with digital projects and initiatives
- Responsible for compliance engagement with digital projects and initiatives
8
Responsibilities For Senior Manager Corporate Compliance Forensic & Corporate Compliance Services Resume
- Lead in cross-Aviva Group compliance inputs in digital projects together with UKD Compliance
- Drive regulatory relationship and engagement with the MAS
- Willingness to travel (approximately 15%)
- Extensive knowledge of SFA and FAA regulatory requirements in Singapore
- Knowledge of IA regulatory requirements in Singapore
- Knowledge of risk management for capital markets, insurance, financial risk, operational risk, regulatory & financial crime risk
- Knowledge of insurance regulatory requirements in Singapore
9
Responsibilities For Senior Manager, Trust Compliance Resume
- Adequate knowledge of digital initiatives, and risk & compliance implications
- Adequate knowledge of investment concepts, asset classes, products and derivatives in equity, fixed income and foreign exchange
- Completion of CSC/IFIC Investment Funds Course
- Post-secondary/industry specific education
- Travel requirement: 5-10%
- Specific subject matter expertise and a solid business understanding of Compliance Program management, consumer regulatory requirements, and a solid business understanding of consumer banking products and services. Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
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