Compliance Operations Resume Sample
Virgil Kshlerin
77528 Kuphal Shoal,
Phoenix,
AZ
+1 (555) 389 4092
Work Experience
Compliance Operations Manager
11/2015
-
PRESENT
San Francisco, CA
- Provide verification of accounts using the firm’s back office system, and input data according to the verification
- Project manage key change initiatives to support the Company’s compliance with applicable rules and regulations
- Support technical implementation of compliance processes and procedures
- Liaise with other corporate departments such as Engineering, Product, Information Systems
- Coordinate with vendors and other stakeholders to implement technology to support Compliance operations
- Provide other miscellaneous support to Compliance function
- Assists manager in launch of client teams
- Creation of Compliance Business Rules Documents
Compliance Operations Analyst
02/2010
-
10/2015
Chicago, IL
- Participates in anti-bribery anti-corruption projects globally
- Assists in the investigations and remediation to ensure completion
- Up to 30% travel, both domestic and international
- Job related experience
- People skills, i.e. diplomacy, supervisory, leadership
- Performs the day to day operations of Medicaid or Medicare Business Unit compliance processes to ensure that policy documentation is maintained and external communications adhere to extensive body of contractual, regulatory, statutory and company standards that of the Medicaid or Medicare Business Unit
- Assists in the preparation of materials for major compliance initiatives including external audits, site reviews, accreditations and required submissions to regulatory or oversight bodies
- Maintains knowledge of compliance operations tracking tools and databases, and assists in the production of reports and data analysis to regularly monitor the teams service level standards
- Assists in the development of and delivers stakeholder training and education on compliance operations for the Medicaid or Medicare Business Unit
Internship, Compliance Operations
05/2007
-
08/2009
New York, NY
- Create Training and Business Rules Modules
- Participate in Weekly Workstream status meetings (internal) and assist in updating Workstream slides
- Business Meals Guide and Roster
- Assist with Vendor Credentialing
- Acts as Project Assistant for department projects
- Supports the investigations, aggregate spend and review & monitoring Compliance functions
- Participate with the execution of the Annual Compliance Operations Project Plan
Education
East Texas Baptist University
2002 - 2006
Bachelor's Degree in Business
Professional Skills
- Possess strong communication writing, analytical and organizational skills
- Strong structured report writing skills
- Strong investigative skills, including familiarity with public record research and database tools
- Experience: One to three years' general business experience. Previous analytical experience required.
- Strong Microsoft Office skills with proficiency in Excel, Word, PowerPoint and Visio
- Strong communication skills (oral and written) and ability to communicate in a manner appropriate for audience
- Possess strong interpersonal skills with the ability to interact upwardly and downwardly in the organization
How to write Compliance Operations Resume
Compliance Operations role is responsible for powerpoint, research, microsoft, interpersonal, analytical, intermediate, customer, visio, reporting, analysis.
To write great resume for compliance operations job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Operations Resume
The section contact information is important in your compliance operations 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 Operations Resume
The section work experience is an essential part of your compliance operations 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 operations 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 operations position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Operations resume experience can include:
- Researches stakeholder issues and questions related to the Medicaid or Medicare Business Units policy library, external communication review, and other issues as assigned
- Mandatory Detail oriented, advance worksheet skills, presentation skills, familiarity with Google systems and technology
- Highly organized individual with a proven track record for high level of project management and project planning skills
- Strong Microsoft Office skills with proficiency in Excel, Word, PowerPoint
- Demonstrated transaction analysis skills that apply across numerous financial products and services in complex scenarios
- People Leadership experience including coaching, influencing, conflict resolution, team/individual goal setting, and effective performance management
Education on a Compliance Operations Resume
Make sure to make education a priority on your compliance operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance operations 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 Operations Resume
When listing skills on your compliance operations 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 operations skills:
- Excellent interpersonal skills and the ability to work effectively in a team-based and cross-functional environment
- )Excellent customer relationship skills
- Manage multiple, high priority tasks and adjust to shifting priorities while meeting deadlines
- Strong skill set in the use of the following software applications: Microsoft Excel, Word, PowerPoint, Outlook
- Proven experience in people management and leading a team
- )Superior written and verbal communication skills
List of Typical Experience For a Compliance Operations Resume
1
Experience For Compliance Operations Analyst Resume
- Excellent communication skills – Verbal and Written to include strong documentation skills with the ability to clearly
- Strong interpersonal skills – ability to work well in a team and be able to communicate effectively with colleagues,
- Experience in Financial Services, Operations, Compliance, AML/KYC functions, Project Management or relevant industry experience
- Proven ability to execute assigned tasks, start to finish, in a timely and effective manner
- Experience in financial services (superannuation experience preferable but not necessary)
- Intermediate Microsoft Office skills with proficiency in Excel, Word, PowerPoint and Visio
- Significant experience leading and/or managing a team
- Derivatives – Knowledge of various structures (e.g. futures, options OTC), and experience with related regulations and compliance testing requirements
2
Experience For Compliance Operations Manager Resume
- Liquidity – Knowledge and experience with regulations and testing requirements
- Commodity Pools – Knowledge and experience with regulations and testing requirements
- Valuation – Experience with pricing vendor oversight and due diligence
- Familiarity with components of compliance programs; specific experience in training, communications and/or business process development
- Forge strong working relationships with employees in different disciplines and at all levels of the organization
3
Experience For Compliance Operations Specialist Resume
- 2-4years’ experience in retail, lending, or compliance with exposure to applicable regulations
- Experience working for companies in healthcare and/or other highly-regulated industries, and in the key functional areas above
- Proven ability to establish positive working relationships with internal (international territories) and external constituencies
- Related experience, preferably in television environment
- Experience within Operations
- Project management courses and experience desired
- Experience in financial services industry
- Provide metrics on compliance operations that demonstrate the level of effort and completeness of this team’s activity
- Previous experience in an account analysis or research role
4
Experience For Pipeline Safety Compliance Operations Analyst Resume
- Excellent listener; capacity to take threads of information from multiple sources and distill into fact base
- Assisting with risk assessment activities (including for third party due diligence activities) and related internal monitoring and auditing activities
- Partnering with Operating Company business partners to review Global Trade Compliance assessments and develop training and compliance improvement plan goals
- Conducting daily review of nonsufficient funds (NSF) items for attorney-client trust accounts and notifying the State Bar, if applicable
- Assisting with the logging, review and disposition of conflicts of interest disclosures
- Leading the Compliance Champion program, consisting of compliance volunteers from across the HMS enterprise
- Working knowledge of Microsoft Office (Access, Excel, PowerPoint, Visio, etc.)
- Training staff on regulatory requirements and regulatory updates
- Designing, managing, and executing the field compliance program for agricultural biotechnology products and the biological pipeline across the US
5
Experience For Compliance Operations Lead Resume
- Working with members of the Field Compliance and Regulatory Affairs teams to support required reporting requirements for field trials to regulatory agencies
- Working with cross functional teams to secure required approvals to conduct confined field trials and contained environment studies for pipeline products
- Serve as a key resource for the various Haven Life teams by leading, facilitating, coordinating and providing operational regulatory guidance and support
- Provides monitoring for Compliance Training completion - Live and Learning Management System
- Adept at translating regulatory requirements and helping the business to implement them
- Strategic planning, execution and Project support
6
Experience For Associate Know Your Customer Compliance Operations Resume
- Develop and lead programs to ensure compliance with Firm’s Policies, Procedures & Standards including Oversight & Control
- Arrange FCA/PRA Approvals for the CF1-29 Significant Influence Functions (SIF’s) liaising with internal governance and with the office of the secretary for the relevant approval
- Manage and provide expertise to assist auditors during the fieldwork process and work paper analysis
- Coordinate the post-audit analysis process, identify and summarize audit exposure and issues. Place an emphasis on maintaining a detailed audit trail with a high level of data integrity
- Collect, collation and reconciliation of employees documents required for brokerage account disclosures and personal trading activity
7
Experience For Compliance & Operations Coordinator Resume
- Self-motivated and committed to providing an extraordinary level of service
- Partner with the Compliance Business Partner group to develop and implement a global compliance training and communication platform
- Assist with compiling operational metrics that relate to all functional groups throughout DDO & AAR.
- Ensure external vendors are properly managed per the firm’s TPO requirements; ensure all internal service providers are delivering per the agreed SLAs
- Assist Product and State Relations with filing inquiries & objections from departments of insurance
- Completion or pursuit of one or more of the following professional designations; AIS, ARC, CPCU
- Link all the programs to business metrics and built solutions keeping that in mind
8
Experience For Stewardship Compliance Operations Manager Resume
- A creative thinker who is business savvy and amenable to working on a team with an entrepreneurial mindset and approach
- Assist in the coordination and completion of government, regulatory, and compliance documents for field sales teams in Selling Solutions
- Structured and logic based thinking, with the ability to problem solve
- Participate in UAT testing, review test scripts, and create business required documents (BRDs)
- The Data Management Associate/Analyst is required to work within the NA team responsible for the Client List Screening pillar
- Knowledge of AML/KYC compliance including the USA Patriot Act, Bank Secrecy Act, OFAC and related AML regulations an advantage
- Advanced proficiency with Microsoft Excel including the ability to create a pivot, run a macro, and use shortcuts and
- Ensure data and information related to SARs has been accurately collected and documented, including but not limited to
9
Experience For Head of W Compliance Operations Resume
- Forge relationships and points of contact with members of the QA team and SAR Filing Units
- The ability to work quickly and accurately with data, maintaining attention to detail
- Adept communicator—orally and in writing—who relates to all levels of an organization as well as external stakeholders
- Analytical mindset driving high-quality decisions
- An ability to work in a fast-paced and dynamic environment with a drive to deliver outstanding results
- Maintain confidentiality involving compliance and company information and activities
- Observe highest level of confidentiality in the handling of information received in the course of their responsibilities
- Communicate timely audit results to the Account Team, Senior Management and the MVPD’s
10
Experience For Manager of Pharmacovigilance Compliance Operations Resume
- Manage the settlement / collection process under the guidance of the Audit Director
- Responsible for ensuring the mortgage division is in compliance with ECOA, MDIA, RESPA, TILA, HMDA, SCRA, ATR, QM, flood, appraisals, and other regulatory requirements
- Assist in product development to ensure product design in compliant with regulatory and secondary market requirements
- Establish quality control protocols appropriate for the size and complexity of the mortgage division
- Aggregation of SOD data from LN and NY regions via in-house systems to give a global picture of the firm’s Regulation K levels
List of Typical Skills For a Compliance Operations Resume
1
Skills For Compliance Operations Analyst Resume
- Excellent organizational skills and ability to prioritize and balance multiple tasks
- A strong operations mindset involving time sensitive directives and ability to self-manage workflow across competing priorities
- Build relationships with AML Investigations units, effectively communicating and transferring information for case
- Adept communication skills when dealing with possible bad actors with a detective-like mentality
- Intermediate analytical research and investigative skill set including experience with customer research and transactional analysis
- Work effectively in a self-directed and empowered team environment to accomplish individual, team, department, SNI and CBS Divisions’ goals
- Communicate effectively with a culturally diverse agent and consumer base
2
Skills For Compliance Operations Manager Resume
- Experience creating effective policies and procedures
- Project management skills to ensure projects and tasks are kept on track
- Experience developing successful cross-functional project strategies, plans and leading implementation through networks and teams
- Previous experience reviewing unusual activity relating to payments, peer-to-peer transmissions, virtual currency
- Past experience in accounting or auditing; business analysis (job or internship)
- BSA/AML experience; including Sanctions, Transaction Monitoring, and KYC
- Experience interacting / consulting with Senior Leadership
- Experience developing and implementing QMS (Quality Management System)
3
Skills For Compliance Operations Specialist Resume
- Responsive to varying needs and changing priorities
- Experience evaluating corporate risk & exposure
- Strong knowledge of US regulations specifying biotechnology field trial compliance
- Reduce business risk by ensuring we operate in accordance to internal and external legal and business standards
- )Excellent problem solver/technical expert
- )Experience in project management, service delivery, and client management
- Proven dedication to excellence, leadership qualities and a flexible, creative, innovative personality
- Previous regulatory experience -or-
4
Skills For Pipeline Safety Compliance Operations Analyst Resume
- Proactively identify areas of opportunity and suggest projects to mitigate Compliance risk while providing an awesome and delightful customer experience
- The ability to operate in a fast-paced, innovative startup environment, while navigating a complex insurance regulatory landscape
- Strong presence and the ability to quickly gain the confidence of business clients
- Knowledge of life insurance laws and regulations and at least 5 years of successful compliance experience within a financial services organization
- SQL experience an advantage
- Intermediate or higher skill in Excel
- Three years’ experience in an operational compliance or comparable role in a Medicare Health Plan
5
Skills For Compliance Operations Lead Resume
- Championing optimal practices with other members of the Corporate Compliance Group - streamlining processes, innovating and reducing cost
- Assisting with the mailing and corrections of year-end 1098/1099, B-notices mailing
- Developing and running processes to close existing gaps
- Partnering with Business Unit partners to review Global Trade Compliance assessments and develop training and compliance improvement plan goals
- Developing and facilitating responses for completion of client compliance and ethics questionnaires, surveys and other requests for related information
- Identifying areas in which we are not meeting standards
- Understanding of and ability to identify AML/Sanctions typologies
6
Skills For Associate Know Your Customer Compliance Operations Resume
- Administering the compliance intranet and SharePoint sites
- Working knowledge of AML, KYC and Sanctions regulatory requirements
- Sterling ethics and track record of ethical courage
- Screening all the Stakeholders/Customers in the sanction tools
- Seeking assistance or to resolve complex issues with the help of process knowledge
7
Skills For Compliance & Operations Coordinator Resume
- Collaborating with central and product teams on compliance related process/product rollouts
- Acting as Liaison for the various LOB’s and coordinate resolution for any issues/operational risks
- Defining project requirements to optimize internal processes based on data analysis
- Using project management methodologies to facilitate process improvements and increased efficiency
- Utilizing Lean for process improvements and standardize across companies where appropriate
- Supporting the Commercial Compliance Department to help ensure the objectives are met
8
Skills For Stewardship Compliance Operations Manager Resume
- Foster employee engagement through encouraging involvement and challenging established ways of thinking and working
- Evaluates regulatory training by running needs analysis and following up on performance by business unit staff, escalations and reporting of performance
- Open to receiving constructive criticism (feedback), applying, and integrating the feedback in an effort to improve results
- Data gathering for existing /new clients using internal / external resources
- Facilitate the process for nomination, qualifying and contracting of HCPs and non-HCPs
- Act as system administrator, providing on-going support to colleagues
9
Skills For Head of W Compliance Operations Resume
- Disposition and fully document all alerts, including supporting data, analysis and rationale for disposition, within the case
- Oversees the internal audit process impacting corporate compliance, including periodic milestone oversight
- Leads the preparation of quarterly liaison meetings including maintaining the compliance contact list
- Train loan processing staff on proper use of mortgage processing software to ensure compliant loan documentation
- Help facilitate deal closing process for all new deals, refinancing’s, amendments and acquisition financings
10
Skills For Manager of Pharmacovigilance Compliance Operations Resume
- Assist in developing and providing data analytics to support trade compliance and business needs
- Supervise investment trading activities
- Respond to representative and OSJ inquiries regarding compliance
- Respond to questions pertaining to Firm policies and procedures
- Advises the Program Director on emerging compliance issues. Consults and guides in the establishment of controls to mitigate risk
- Conducts annual registration and licensing verification on representatives
- Assist in the development of ethics and trade compliance training, communication, and awareness initiatives
List of Typical Responsibilities For a Compliance Operations Resume
1
Responsibilities For Compliance Operations Analyst Resume
- Research, document and analyze background information on JP Morgan’s prospective and existing clients through public record databases. Research includes: negative media, PEP & sanctions
- Business Objects/SQL experience
- Reviewing various types of AML alerts, including watch list screening, transaction monitoring, and know your customer (KYC)
- Researching entities while compiling and documenting findings from multiple sources
- Serving as subject matter expert for self-assessment programs, and Customs audit and inquiries
2
Responsibilities For Compliance Operations Manager Resume
- Managing stakeholder interactions to ensure compliance with Functional Compliance Leads, the Field Compliance Strategy Team, and senior functional Leadership
- Conducting periodic reviews of previously researched information for any material changes
- TEFRA balancing, remitting interest on IOLTA accounts to various State Bars, processing missing TIN report
- Complete basic research of compliance operational outputs including transaction monitoring, and customer due diligence
- Run daily reporting, maintain trend files for compliance KPIs, performance metrics
- Complete analysis on large series of data using data base management tools
- Oversee maintenance and administration of the following Compliance Management Program tools
- Order Management and Screening Process
3
Responsibilities For Compliance Operations Specialist Resume
- Maintain the global Compliance & Ethics training calendar and register completed trainings
- Analyze reporting to identify trends, research anomalies and assist in the development of new procedures
- Assist Senior Level Analysts and management with escalating potential risks
- Provide ongoing assistance to site users (Client, vendors, HCPs)
- Computer literacy, with particular emphasis on excel
4
Responsibilities For Pipeline Safety Compliance Operations Analyst Resume
- Support international expansion efforts from a Compliance perspective
- Maintain knowledge base of Under Armour’s supply chain and work directly with our regions in North America, Greater China, Latin America, New Markets, and Europe
- Reviews transactional details for subject employee’s personal brokerage accounts in accordance with compliance regulations
- Upon request, provides the Vice President with accurate QA status reports which identifies operational deficiencies of the PBO’s. Documents, presents findings, and relays evaluative feedback to the Vice President and leadership team
- Ensuring uninterrupted supply chains by providing Trade Compliance advice and training to J&J Business Unit partners on logistics processes and procedures to comply with US Customs and Border Protection, FDA, BIS, OFAC, and other regulatory compliance agencies’ governing the clearance of import and export shipments
- Planning and implementing changes to migrate new and existing US J&J companies into Regional Trade Compliance program, as well as for legal entity mergers, acquisitions and divestitures
- Leading strategy to identify Trade Compliance opportunities to participate in duty savings opportunities to include duty drawback, foreign trade zones, and free trade agreements
- Utilizing Lean for process improvements and standardization across companies
5
Responsibilities For Compliance Operations Lead Resume
- Providing direction to Johnson & Johnson importers and exporters on documentation requirements to comply with Federal government agencies' requirements for international shipments
- Responding to transactional inquiries from customs brokers for products which require additional information to be cleared for importation into the US
- Maintaining the Global classification database and J&J internal systems, as required, to communicate product information to freight forwarders and Customs Brokers to affect government agencies
- Establish goals and priorities to meet dynamic business requirements
- Serving as liaison between Customs Broker and Regulatory Affairs to resolve FDA holds and Notices of Action until issue resolution
- Screening export trade entities to ensure that international customers are screened against the US Denied Parties list to comply with US Bureau of Industry and Security (BIS), Office of Foreign Asset Controls (OFAC), and the State Department
6
Responsibilities For Associate Know Your Customer Compliance Operations Resume
- Leading improvements to Trade Compliance capabilities to include collaboration with cross functional teams to deploy and sustain Global Trade Compliance Standards
- Hire, train and develop the expertise of a diverse team of Trade Compliance professionals
- Be responsible for the long term career development plans for each team member concurrent with the 5 conversations Performance and Development cycle
- Maintain the department’s business continuity plan documents
- Work closely with Compliance Operations leaders to provide data-driven information to help define, measure, analyze and implement various money movement processes and procedures
- Leverage data to understand our SBG Compliance risk in depth and identify trends that indicate elevated risk and inform and influence process changes where applicable
7
Responsibilities For Compliance & Operations Coordinator Resume
- Perform analytics on existing data vendors to track effectiveness of data utilized for Compliance risk mitigation operations and present areas of opportunity for improvement
- Tracks data related to compliance-related findings from internal audits, compliance testing, and other reviews. Monitors business unit responses and resulting changes in processes and procedures
- Monitor and act upon reports involving compliance-related alerts
- Investigate and report suspicious activity in accordance to regulatory requirements
- Draft and send reports in accordance to partner requirements
- Ensure all operation deliverables are met within established SLAs
- Excellent judgment and the capacity to make decisions and give advice and review requests that demonstrates an understanding of the risk/rewards of each situation
8
Responsibilities For Stewardship Compliance Operations Manager Resume
- Proven project management skills and experience, excellent technical skills and the ability to simultaneously handle multiple tasks and prioritize work as needed to meet business requirements
- Eagerness to learn and take initiative to develop and grow in the role
- A high level of passion, self-motivation and commitment to teamwork and client service
- Willingness to travel in the region on an exceptional basis, if needed
- Track new and amended legislation for impact to products
- Define, document and communicate regulatory requirements to business units
- Operational/Compliance remediation exercises
- Understand the order process flow and how systems tie in with the export regulatory requirements
9
Responsibilities For Head of W Compliance Operations Resume
- Identifies and explores opportunities for improvement within functional assignments
- Proposes and implements systems and processes to ensure that SPE’s P&O systems, policies and processes are kept up to date with and comply with company policy and federal and state mandates
- Through a solid working relationship with the company’s Legal department, keeps abreast of changes in laws, regulations and guidelines; shares information appropriately throughout P&O as to ensures proper P&O ownership for compliance
- Manages SPE’s employment contracts, by tracking all components of the executed contract, as well as advising P&O Business Partners on the contract processes and procedures
- Managing import and export regulatory requirements for DePuy Mitek, DePuy Spine, DePuy Orthopedics, Codman, Synthes, The Anspach Efforts, and DePuy Synthes Sales, Inc
10
Responsibilities For Manager of Pharmacovigilance Compliance Operations Resume
- Managing the team of Trade Compliance experts and directing the service requirements for third party providers to comply with US Customs Regulations and Johnson & Johnson policies and procedures
- Developing Quarterly Trade Compliance reviews by company/sector and deliver to key partners
- Independent thinker and influencer
- Shows initiative and collaborative work-style
- Proficient in excel and powerpoint and Business intelligence applications
- Conduct due diligence reviews
- Communicate with customers via CRM, email, and telephone
- Interact with customers to ensure full compliance with all applicable laws and policies
- Identifying and implementing Trade Compliance opportunities to participate in duty savings opportunities to include duty drawback, foreign trade zones and free trade agreements
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