Compliance Officer Corporate Compliance Resume Sample
Marquise Schuppe
77844 Emie Crossing,
Dallas,
TX
+1 (555) 107 3114
Work Experience
Corporate Compliance Officer, VP
09/2016
-
PRESENT
New York, NY
- Primary financing and invests in credit assets in secondary markets through its corporate and real estate lending business
- Specialized asset finance solutions across a range of industries and asset types, including aircraft, information technology, manufacturing and mining
- Distribution finance solutions across the supply chain
- Equipment trading services for semiconductor manufacturing equipment and other IT and capital equipment
- BMO Financial Corp. and BMO Harris Bank staff
- U.S. and Canada Compliance Management and Team
- Corporate Audit, Legal and Risk
Corporate Compliance Officer
03/2011
-
04/2016
Dallas, TX
- Manage the day-to-day operation of the Compliance Hotline and program to ensure compliance issues are being appropriately evaluated, investigated and resolved
- Design, implement and continuously improve compliance training for Heartland Dental employees and supported dentists to increase employee awareness and knowledge
- Partner with external resources to develop a compliance survey, program evaluation and risk assessment to identify potential areas of vulnerability and improve the compliance program’s effectiveness
- Develop, initiate, maintain and revise policies and procedures in accordance to federal and state laws for general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
- Creating reporting on a regular basis, and as directed and requested, to keep the Audit Committee of the Board of Directors and senior management informed of the operation and progress of the compliance program
- Collaborate and coordinate with the Employee Relations Department, corporate attorneys and other departments as appropriate to proactively identify compliance issues and direct compliance issues to appropriate channels for investigation and resolution
- Oversee compliance reviews or inquiries involving government agencies, legal entities or dental insurance carriers
- Support the company through special projects
- Advising and providing day-to-day compliance support to the Retail Bank
Assistant Corporate Compliance Officer
08/2005
-
01/2011
Phoenix, AZ
- Chair the Corporate Compliance Committee, and regularly reports to Telecare’s governing body and Corporate Compliance Committee on the Compliance and Ethics Program, assisting them in establishing methods to improve Telecare’s efficiency and quality of services, and reduce Telecare’s vulnerability to fraud, waste, and abuse and other organizational risks
- Periodically revise the Compliance and Ethics Program in light of changes in Telecare’s needs as well as changes in the law and policies of government and private payer health plans
- Coordinate with Telecare’s Human Resources department to ensure that the Office of the Inspector General’s list of Excluded Individuals/Entities has been checked with respect to all employees and contractors
- Independently investigate and act on matters related to compliance, including the flexibility to design and coordinate internal investigations and any resulting corrective actions with all facility and program departments, subcontracted providers, and healthcare providers under Telecare’s control
- Participate with Telecare’s legal counsel in the appropriate reporting of self-discovered violations of program requirements and documenting compliance investigations
- Stay abreast of significant legal and compliance-related legislative and regulatory changes impacting Telecare’s business operations
- Promote Telecare’s mission and business interests by actively participating in relevant professional organizations
- Install a strong commitment in yourself and others to uphold our mission, vision and core values while providing a world class customer service experience at every point of contact with offices, team members and vendors
- Act as a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution
Education
Dixie State University
2000 - 2005
Bachelor's Degree in Business Administration
Professional Skills
- Excellent inter-personal and partnering skills to facilitate effective working relationships. Develops open, considerate, effective and productive working relationships with customers, external contacts, and individuals throughout the organization
- Draws information and broad knowledge to make timely and logical decision that provides practical solutions for customers and others. Strong problem solving skills and ability to make swift, sound judgments
- Excellent leadership skills (motivating, communicating, team-building)
- Strong writing skills in Japanese and English
- Excellent inter-personal skill
- Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
- Experience as compliance manager in a globally operating company, ideally with broad international responsibility
How to write Compliance Officer Corporate Compliance Resume
Compliance Officer Corporate Compliance role is responsible for compliance, research, credit, government, trading, retail, finance, securities, training, integration.
To write great resume for compliance officer corporate compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Officer Corporate Compliance Resume
The section contact information is important in your compliance officer corporate compliance 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 Officer Corporate Compliance Resume
The section work experience is an essential part of your compliance officer corporate compliance 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 officer corporate compliance 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 officer corporate compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Officer Corporate Compliance resume experience can include:
- Support the CCG Region Head in maintaining an effective regional CCG presence, reinforcing the significance of the
- Provide guidance to less experienced Compliance team members in developing and implementing solutions
- Related Retail Banking compliance work experience, within a $10B+ financial institution
- Business Acumen – Understands the business priorities and environment
- Identifying emerging compliance risks and assuring there is an individual assigned within the Business Unit who is responsible for remediation
- Assessing and reporting on compliance risk and performance within the Business Unit
Education on a Compliance Officer Corporate Compliance Resume
Make sure to make education a priority on your compliance officer corporate compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance officer corporate compliance 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 Officer Corporate Compliance Resume
When listing skills on your compliance officer corporate compliance 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 officer corporate compliance skills:
- Good computer skills with experience/knowledge in Viewpoint system as an advantage
- Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective
- Advising the business unit on maintaining an effective communication model and processes to archive, maintain, and communicate compliance reference materials
- Work Experience; at least 5 years in banking business and preferable in Corporate Banking business
- Strong working knowledge of the applicable regulatory rules applicable to Personal Account Dealing
- Used to work in a Matrix governance and can operate in complex environments (Dealing with Ambiguity, Solution Finding & Decision Quality)
List of Typical Experience For a Compliance Officer Corporate Compliance Resume
1
Experience For Corporate Compliance Officer Resume
- Escalating and supporting the remediation of material compliance risk issues
- Developing and implementing governance related to compliance change management for their assigned Business Unit
- Participating in Compliance Working Groups, as needed
- Providing periodic reports of aggregate compliance risk and performance to Senior Management, Business Unit Leadership and the Chief Compliance Officer
- Supporting due diligence for mergers and acquisitions
- Significant knowledge in consumer regulations
- Reviewing the adequacy and outcomes of compliance monitoring done within the Business Unit, and reviewing the results of compliance testing done by second line units, internal audits, compliance incident reporting, complaints, and change management status
- Working closely with Business Unit staff, including the Business Unit’s Compliance Leadership, to ensure that the Business Unit has an appropriate compliance program, standards, and procedures in place to effect compliance consistent with the requirements of HomeStreet’s Compliance Management System and Compliance Policy Statements
- Helps develop and recommend policies, procedures and programs to ensure compliance with existing security regulations and best practices affecting financial institutions
2
Experience For Corporate Compliance Officer, VP Resume
- Analyzes new and pending laws and regulations which directly affect the Security practices; develops or revises appropriate policies, procedures, and agreements to ensure compliance
- Works with the areas of Corporate Security and other Business Partners affected by changing laws, regulations, or policies to ensure that appropriate changes are implemented
- Serves as a subject matter expert on bank regulatory matters; represents the HR, ERM and Accounting departments at compliance committee meetings and provides feedback and recommendations to management relative to the organization’s extent of compliance
- Oversees the development and administration of the Bank’s Compliance Management and Program Policy in conjunction with the Chief Risk Officer and Consumer Compliance Officer
- Good knowledge of corporate secretarial law and familiar with Companies Ordinance, rules and regulations of regulatory bodies
3
Experience For Corporate Compliance Data Privacy Compliance Officer Resume
- Good command of both spoken and written English and Filipino
- Gather and disseminate information regarding regional and country regulatory requirements, execution of controls for
- Assist in the development, implementation, monitoring and reporting on internal compliance systems and processes designed to reasonably ensure compliance with applicable laws, regulations, and rules of self-regulatory agencies
- Conduct compliance reviews in regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings
- In consultation with manager, identify opportunities to conduct forensic testing where possible and use automation to increase efficiency and effectiveness
- Finding and hiring a compliance team to support the function on an international basis (initially 3-6 team members)
- Composite construction testing: new; closed; existing; non- discretionary; migrated; and drop out testing
- Definition of key compliance processes (reporting, audits, case tracking)
- Arranges funds transfer for clients’ companies and liaise with bankers ensuring payments are effected on a timely basis
4
Experience For Corporate Compliance Employee Compliance Officer Resume
- Roll-out of compliance training program in cooperation with Legal, HR and other functions as applicable
- Maintain and update as necessary compliance and supervisory manuals and internal Compliance Department policies and procedures
- In consultation with manager, develop and recommend workable action plans for correcting material weaknesses identified in testing of compliance policies and procedures
- Monitors the renewal of license fees for clients’ companies
- Maintains statutory records for clients’ companies
- Assessment of status quo and definition of future organization and processes
5
Experience For Corporate Secretarial & Compliance Officer Resume
- Perform compliance risk assessment and creation of risk map
- Assume responsibility for compliance investigations
- Verify whether ICMA-RC has complied with all the composite construction requirements of the GIPS standards ; verify ICMA-RC policies and procedures are designed to calculate and present performance in compliance with the GIPS standards
- Responsible for a detailed examination of a specific composite's compliant presentation
- Examination procedures - sample selection; materiality; AUM; attribution; testing the reasonability of market value; accrual of dividend and interest income; contributions and withdrawals; annual vs. benchmark ROR; outlier analysis; overall conclusion analytics (evaluation of client's policies and procedures vs. the GIPS Standards)
- Performance measurement calculations - monthly account returns; monthly mutual fund returns; monthly composite returns; annual composite returns; standard deviation; composite and benchmark three (3 )year annualized ex-post standard deviation
6
Experience For Jpn-cjl-corporate Banking Compliance Officer Resume
- Assist in the development, implementation, monitoring and reporting on internal compliance systems and processes designed to reasonably ensure compliance with applicable securities laws and rules of self-regulatory agencies
- Under the direction of senior members of the Compliance Department, conduct compliance reviews in regulated entities as necessary to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings
- Maintain and update as necessary compliance and supervisory manuals and internal Compliance Department policies and procedures. Keep abreast of changes and new developments in the financial services industry and the impacts these changes have on compliance policies and procedures
- Relevant experience related to corporate secretarial functions and dealings with government agencies such as PEZA, IPO, FDA, BoC, BoI, BSP, etc
- Doing the right thing for the right reasons in the right work environment
- Putting our Supported Doctors’ and Offices’ success first
- Acting with honesty, integrity and transparency in all that we do; and
7
Experience For Corporate Security Compliance Officer Resume
- Partner with stakeholders and legal counsel to ensure compliance across all aspects of the system, including technology, marketing, billing, etc
- Assists the department in providing services specializing in the above stated government agencies, whichever is applicable to our clients
- Liaises with the government agencies on matters pertaining to regulatory activities, licenses and permits
- Establish collaborative relationships with the Legal, Employee Relations and Operations functions
- Establish personal and professional credibility and trust, gain respect and build confidence within and outside of the organization
8
Experience For Senior Corporate Secretarial & Compliance Officer Resume
- Evaluate the current compliance program and establish a 3-5 year Compliance Roadmap in consultation with external resources
- Develop, implement, and manage a robust risk and compliance program
- Work with third party vendors, payers, and other partners to ensure that our privacy, security, and compliance standards translate to all our vendors and partners
- Assists the department in providing services specializing in company registrations and managing corporate structures, work permits, and visa processing
- Develop programs to promote and enforce compliance across the entire system, including team member and partner trainings and awareness campaigns
- Work cross-functionally as a partner to clinicians, legal counsel, technology, billing, public affairs, and other key players
- Lead identification and response to potential compliance violations and risk vulnerabilities
9
Experience For Compliance Officer, Corporate & Asset Finance Resume
- Facilitates applications with the government agencies
- Prepares documents and ensures the same complies with relevant legislations, rules and regulations
- Liaises with the government agencies on matters pertaining to company registrations and deregistrations, managing corporate structures, work permits, and visa processing
- Good knowledge of applicable rules and regulations of regulatory bodies
- Makes regular updates on laws and regulations but not limited to new circulars, administrative orders, memorandums issued by various government agencies
- Acts as custodian of confidential registration documents for proper reference and easy access of authorised personnel
- Issues invoices and follow up on payment
10
Experience For Compliance Officer, Corporate Compliance Resume
- Prepares documents and ensures the same complies with regulations for submission
- Acts as custodian of confidential regulatory documents for proper reference and easy access of authorised personnel
- Peer Relationship - Ability to balance interests but drives own targets, team player and cooperative, gains trust
- Certification from the Compliance Certification Board and/or the Health Care Compliance Association (HCCA)
- Redirect clients’ mails
- Relevant experience related to corporate secretarial functions and dealings with government agencies such as Securities and Exchange Commission, Bureau of Internal Revenue, Local Government Units, Social Security System, Philippine Health Insurance Corporation, Home Mutual Development Fund, Department of Labor and Employment, Central Bank of the Philippines, Bureau of Immigration, etc
- Conduct research of individual regulatory matters, identify and communicate regulatory compliance deficiencies or potential problems, and provide guidance in the development of alternative solutions of corrective action. Provide response to inquiries, supporting analysis, conclusions and recommendations upon well-investigated and documented research
- Develop and maintain a Compliance Training Program that effectively addresses the requirements of applicable regulations, the credit union’s related policies and procedures and employee responsibilities. Coordinate with the appropriate departments, assist, or conduct compliance training for all applicable new and existing employees on an ongoing basis
List of Typical Skills For a Compliance Officer Corporate Compliance Resume
1
Skills For Corporate Compliance Officer Resume
- Good understanding of typical issues and cultural challenges in specific regions
- Monitoring and proactive issue identification
- Ensure that reviews of all advertising and marketing materials for compliance are completed in a professional and timely manner
- Develop and execute a program to, analyze and prepare written response and comment to proposed new regulations and/or amendments to existing regulations
- Supervise and direct compliance staff to ensure adherence to regulations / laws relating to consumer and business service offerings
- Direct staff in the performance of comprehensive Compliance Reviews to ensure ongoing regulatory compliance
- Familiar with compliance software
2
Skills For Corporate Compliance Officer, VP Resume
- Structure and conceptionalize
- Willingness to take responsibility, make decisions and drive matters
- Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls. Continually challenge Corporate Service Areas staff through ongoing dialogue and discussion to identify opportunities to implement more effective compliance-related policies and procedures
- Elevate high profile or high risk cases to the Compliance and Corporate Service Areas management to ensure visibility and prompt resolution
- Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Identify observations of trends and recommendations to optimize data
- Execute appropriate testing and analyze key performance indicators to ensure requirements of the Corporate Service Areas policies and programs are maintained at a level commensurate with regulatory expectations. Support root cause analysis in response to material control failures in line(s) of business
3
Skills For Corporate Compliance Data Privacy Compliance Officer Resume
- Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to Compliance and Corporate Service Areas management and provide timely follow-up on outstanding issues
- Validate that issues identified through compliance monitoring and review processes are promptly addressed. Ensure that management remediation plans are adequate
- Helps develop, revise and recommend policies and procedures throughout the enterprise to establish and maintain an enhanced compliance program under the Volcker Rule
- Implements Volcker Rule enhanced compliance program, including maintenance of internal controls to comply with the rule
- Analyzes changes to the Volcker Rule and associated guidance and interpretations and modify the enhanced compliance program accordingly
- Works with the business units on implementation of the enhanced compliance program
- Plan and administer a program to keep abreast of, monitor, and analyze developing trends and changes in regulatory compliance laws, rules and regulations. Advise management of the operational impact of such trends and changes
- Review and provide recommendations for new and proposed changes to credit union policies and procedures as they affect PSECU’s compliance with applicable regulatory and consumer/public interest laws, rules and regulations
4
Skills For Corporate Compliance Employee Compliance Officer Resume
- Ensure that a comprehensive Compliance Management System is developed and maintained and, compliance reviews and risk assessments are conducted in accordance with established standards and practices
- Lead and motivate cross-functional team members in strategy development and implementation of compliance solutions. Utilize advanced leadership and collaborative skills in interacting with compliance stakeholders or regulatory agencies
- Develop/design and deliver compliance strategies to management; negotiates solutions with management. Develop and deliver all types of messages effectively
- Participate in new product development and provide input regarding compliance concerns relevant to proposed and current products and services offered by the credit union, including electronic delivery services
- Prepare drafts of regulatory-related documentation and policy statements requiring adoption by the Board or periodic Board review and approval
- Develop and maintain compliance resources and provide information assistance as needed
5
Skills For Corporate Secretarial & Compliance Officer Resume
- Report as appropriate, regulatory matters, concerns and the overall compliance condition of applicable departments, operations or functions within the credit union to ERM management
- Participate in the development of policies and procedures to ensure ethical behavior is understood, documented, addressed and treated as an essential part of each employee's responsibilities
- Collaborate closely with ERM management and related departments such as Human Resources, Loss Prevention & Security and Corporate Legal to ensure appropriate development, and implementation of ethics processes and procedures including an effective ethics training program for new employees as well as ongoing training for all employees and managers
- Provide for an internal review of corporate policies to ensure corporate consistency and integration with the corporation’s ethics philosophies
- Perform initial and periodic compliance risk assessments and conduct related ongoing compliance monitoring activities in coordination with the entity’s other compliance and operational assessment functions
- Participate in the development, implementation, and ongoing compliance monitoring of all third party agreements, to ensure all compliance concerns, requirements, and responsibilities are addressed
6
Skills For Jpn-cjl-corporate Banking Compliance Officer Resume
- Participate in corporate taskforce, project meetings, etc. at the direction of the Director, Risk and Compliance to ensure compliance objectives are properly identified, evaluated and acted upon
- PC Skills: (Required - Word, EXCEL, Power Point, Preferable - Access)
- Flexible in solving issues with wide range of business experience
- Good coordination capability to handle different opinions
- Eight to Ten (8-10) years’ experience in a related role in a healthcare organization
- Significant experience in an in-house compliance or legal function
7
Skills For Corporate Security Compliance Officer Resume
- Having a backbone and being a true Business Partner
- Understanding of healthcare coding, reimbursement systems, risk management, and performance improvement
- Conduct annual Board level training on compliance related subjects
- Works constructively with peers and higher managers (Listening, Conflict Management, Comfort Around Higher Management & Peer Relationships)
- Attend senior level management and Board of Directors meetings as required
8
Skills For Senior Corporate Secretarial & Compliance Officer Resume
- Serve as project manager on compliance projects and provide guidance to cross-functional team members to ensure goal achievement and team success
- Assist the organization in maintaining a fair and non-biased election process by reviewing prospective candidates for the Board of Directors, Credit Committee and Affiliate governance positions
- Conduct annual reviews of all candidates both elected and appointed for positions on the Board of Directors, Credit Committee and Affiliates governance positions
- Maintain all earned professional certifications by participating in nationally established CPE requirements
- Represent the credit union as a member of local and national compliance associations
- Foster a positive, engaging, and productive work environment for each team member by promoting skill development, coaching for improvement and growth, inspiring others through your words and actions, ensuring positive employee morale throughout the credit union
9
Skills For Compliance Officer, Corporate & Asset Finance Resume
- Responsible for the adequate care of furniture and equipment to keep them in a condition suitable for effective performance of unit functions
- 7-10 yrs combined Compliance/ IT Audit/ Risk Management experience
- Proficient knowledge of risk and applicable U.S. regulatory requirements
- Good industry knowledge, including knowledge and understanding of the financial services’ regulatory environment and or internal/external audit working knowledge
- English Communication: (TOEIC : 850 )
- Person with proactive, positive and teamwork-oriented personality
- Execute multiple projects at the same time and to work under pressure
- Broad and profound knowledge about financial industry in Japan or with potential for it
10
Skills For Compliance Officer, Corporate Compliance Resume
- Preferable – JSDA License (I, II and Internal Control Officer)
- Flexible team player who is professional and service-oriented at all times
- Collaborate well with colleagues and attorneys
- Proactively identify and analyze potential compliance issues, and to develop creative and business focused advice and solutions
- Travel within the U.S., as needed (occasional to moderate travel)
- Proactive leader with a passion to drive change
- Proven track record in achieving results, "Getting things done", positive hands-on attitude - pro-active, pushes self and others for results è be a bar raiser (role model for the team)
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