Compliance Professional Resume Sample
Norbert Ortiz
510 Schamberger Fork,
Los Angeles,
CA
+1 (555) 946 3434
Work Experience
Senior Compliance Professional
12/2016
-
PRESENT
Dallas, TX
- Capital Markets & Financial Advisory Services (CMFAS) Examinations – Two Regulatory Papers
- Client Advisor Competency Standards (CACS) Paper 1
- Strong knowledge of anti-corruption regulations, investigation techniques and affiliated technology with the ability to plan, organize and produce results
- Analytical and investigative experience
- Management of third party relationships (evaluation of third party risks, risk mitigation and monitoring of the third party relationships), and evaluation and maintenance of the overall IDD program
- A team player that is able to build strong relationships with regional, global and cross-functional teams
- Capable of handling multiple stakeholders at different levels of the organization and meet deadlines
- Development and delivery of all Compliance training across the region
Compliance Professional
09/2009
-
06/2016
Chicago, IL
- Oversight and management of Compliance Policies and Procedures
- Internal Compliance Training Programme
- Coordinate with other team members regarding the Group’s daily review and analysis of new rule filings and other regulatory developments, determinations of relevance of regulatory developments to particular parts of the firm, and tracking and disseminating of such developments
- Work with other team members and coverage personnel, as well as Global counterparts, to coordinate the drafting, publication, and updating of new or amended policies and procedures as required by regulatory developments or changes in the firm’s business practices
- Assist in regulatory reviews, audits and other examinations
- Resolution of issues identified during the quarterly HMDA scrubs with our third party originator and/or Morgan Stanley Home Loans division
- Documentation and data gathering and review
Trade Compliance Professional
06/2003
-
05/2009
Philadelphia, PA
- Manage team of compliance professionals
- Prepare materials for BGC reporting to regulators and management, including materials for each Bank’s Compliance Committee, Bank Risk Committee, Board Risk Committee, and Board meetings, as well as other types of regular /ad hoc reports, including coordination and collation of information from relevant stakeholders and production of management reports and presentations
- Assist in coordinating each Bank’s Annual Compliance Plan and Risk Assessment, including updating of the progress to plan objectives
- Compliance certification compliance investigations experience is ideal
- Possesses 2 to 3 years industrial experience in Product Compliance work, preferably within the toy industry
- Experience managing and collaborating with external vendors
- Handling of confidential documentation and material, during compliance testing and certification
- One to two years of experience in product compliance, preferably within the toy industry
- Demonstrated competence in handling confidential documentation and material
Education
University of Mary - Fargo Center
1998 - 2002
Bachelor's Degree in Health Care
Professional Skills
- Language Skills: Effective written and oral communication skills including presentation skills
- Supervisory or management skills as demonstrated through previous experience in a supervisory role
- Broad and deep technical experience with proven experience in evaluating risk
- Strong analytical skills with a high service orientation
- Excellent people skills in a multi-cultural environment
- Strong written & verbal communication and organizational skills
- Strategic and problem solving orientation and superior planning and organizational skills
How to write Compliance Professional Resume
Compliance Professional role is responsible for interpersonal, database, english, security, finance, securities, training, integration, shipping, planning.
To write great resume for compliance professional job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Professional Resume
The section contact information is important in your compliance professional 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 Professional Resume
The section work experience is an essential part of your compliance professional 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 professional 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 professional position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Professional resume experience can include:
- Assist in the development and execution of compliance testing to review and assess the effectiveness of the firm’s policies and procedures in connection with third party service providers and SEC Rules 38a-1 and 206(4)-7. Recommend corrective action plans for gaps identified from testing
- Good analytical, organizational and project / process management skills
- Apply appropriate policies and practices in the completion of ethics and compliance assignments. Skills in critical decision making
- Computer skills, to include Microsoft Office
- Apply thorough ethics and compliance concepts and applications in the completion of assignments. Skills in problem-solving
- Experience in drafting, implementing, and maintaining policies and procedures
Education on a Compliance Professional Resume
Make sure to make education a priority on your compliance professional resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance professional 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 Professional Resume
When listing skills on your compliance professional 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 professional skills:
- At least five years of experience conducting complex investigations and/or combined experience working in related areas
- Applies thorough ethics and compliance concepts and applications in the completion of assignments. Skills in problem-solving
- Experience in the internal control functions with a leading international financial institution or relevant experience from the advisory side
- Prior clinical, patient financial services and risk management experience
- Demonstrated experience with Microsoft Excel, Word, and PowerPoint
- Experience in identifying learning needs as well as providing education and training designed to support a learning organization
List of Typical Experience For a Compliance Professional Resume
1
Experience For Ethics & Compliance Professional Resume
- Knowledge of Medicare and Medicaid program rules and regulations and experience applying to coding and billing of professional fee services
- Leading through Mission, Vision & Values: Keeping the organization’s mission, vision and values at the forefront of associate decision making and action
- Broad depth of cyber security knowledge, understanding of security best practices, threats, mitigating techniques and the ever-evolving security landscape
- Initiate workflows to update customer records within the bank’s internal on-boarding system including set-up in transactional systems and deactivations
- Initiate and manage change control requests affecting the Bulk Manufacturing department
- Handle coordination and facilitation including guidance and advisory support during internal and external audits and reviews
- Provide support in assessing corresponding inventory of controls
- Handle process and control design evaluation, development, setting of requirements and ensure business alignment and compliance
2
Experience For Senior Compliance Professional Resume
- Provide support in assessing the quality of the control environment
- Maintain required training and certifications
- Identify and implement improvements to the policy and training framework within the Department
- Deliver periodic status/data for management reporting
- Define and manage monitoring of cybersecurity controls and associated corrective actions
- Completion of the FSO Center for Development of Security Excellence (CDSE) courses and FSO Certification
- Thorough knowledge of the National Industrial Security Program Operating Manual (NISPOM), the NISPOM Overprint, the JAFAN 6 series directives, and Intelligence Community Directives (ICD)
- Experience with Defense Security Service Applications Joint Personnel Adjudication System (JPAS) and Industrial Security Facility Database (ISFD)
- Collaborate with assessors for evaluation of changes
3
Experience For Trade Compliance Professional Resume
- Ensure timely closure of change controls
- Support Lead Investigators and Bulk Manufacturing Platforms in establishing change controls approved for execution in a very short timeframe to support closure of Quality Notifications
- Handle implementation and effectiveness testing of controls and processes which includes creating test plans, planning the testing activity, reporting of results timely, monitoring actions to mitigate deficiencies identified, communication and management reviews
- Track closure of action plans for controls issues and status of recommendations from audit and review engagements
- Participate in projects where compliance awareness is needed and at all times incorporate knowledge about risk
4
Experience For Compliance Professional, SSC Resume
- Work with Compliance and Legal personnel to finalize new and updated Compliance Policies, Notices and Manuals, ensure they are in proper format, and post them to the Firm’s intranet
- Maintain the group’s files on the shared drive
- Drive IT Compliance Globally: Under general direction, executes IT Compliance initiatives required by D&B to operate globally including active participation in the development and implementation of the Global Security Policy Set and Cybersecurity Framework (CSF) as well as regulatory compliance programs, e.g., SOX, PCI, ISO, GDPR, FISMA, NIST, etc
- Partnership with Other Teams:Works collaboratively with team members across the organization to ensure their processes meet security compliance requirements
- Coordinate with the responsible department heads in and outside of Germany to establish and maintain a complete and up to date rules inventory
- Ensure compliance with all relevant regulations and a state of audit readiness
5
Experience For Facility Compliance Professional Resume
- Ensure self-audits are performed and documented as required
- Serve as lead on internal audits and external regulatory audits
- Monitor changes and trends in regulations and assess impact on the site operation
- Maintain state and federal licenses and permits
- Improve and streamline processes and documentation
- Identify, implement, maintain and interpret process metrics
- Perform daily transactions as needed
6
Experience For Security Compliance Professional Resume
- Maintain and enhance trade compliance procedures and curricula
- Serve as point of contact with Pfizer Global Logistics and Supply organization
- Microsoft Office knowledge especially Excel, Word and PowerPoint
- Create and oversee the development of compliance related policies and documentation
- Present and explain measured results and activities
7
Experience For Bulk Compliance Professional Resume
- Serve as a go-to resource for business areas within HQRI for information and guidance on policies, processes, and procedures
- Research compliance issues and coordinate corrective action plans
- Identify and leverage best practices in compliance
- Create and lead initiatives for special projects
- Develop and maintain key relationships with business areas
- Perform quality control reviews of AML & Fraud alert and case reviews conducted by BSA Operations and Corporate Security & Investigations to determine if the review and research were conducted in accordance with the quality standards and timeframes set for within established procedures, bank policy and regulatory requirements
- Ensure alert and case determinations are appropriate, fully supported, and clearly documented
- Demonstrate a detailed understanding of the various computer systems used for performing and documenting the investigations (ACM, FCA,ECA). Communicate concerns with the investigator and the Team Lead
8
Experience For Trade & Compliance Professional Resume
- Position requires close working relationships with Financial Crime Risk Management business partners
- Stay abreast of developments concerning BSA/AML/Sanctions, fraud schemes, and sanctions
- Collaborate with regional branches to conduct assessment, implementation, and/or potential remediation related to newly implemented Financial Crimes global standards
- Assist with evaluating and/or updating operational controls, including policies, procedures, systems, and user practices
- Partner with BSA/AML Strategy & Planning Director to provide timely and high-quality responses to regulatory exams and audits
- Manage the Compliance Annual Training Programme, working with internal stakeholders to identify required training and assist with logistics, tracking and reporting ensuring it is delivered in a timely manner
9
Experience For Compliance Professional Practicum Resume
- Assist in the development or update of online Compliance training modules, working with the key stakeholders within Compliance and the Firm to ensure they meet the training needs of the individuals and comply with Firm and regulatory standards
- Assist in developing the internal Compliance Training Programme, identifying and translating training needs into a robust programme. Responsible for managing logistics, tracking and regular reporting to Department management
- Assist with the management of the Annual Compliance Policy Plan, ensuring Policies are reviewed and issued in a timely manner, in the correct format
- Manage core policy and training function processes
- Provide support to Head of Policy and Training on ad hoc projects and initiatives
- Upholds the best interests of Adeptus and Dignity Health by adhering to the highest standards of ethical and moral conduct and by committing to the values of Dignity Health’s mission and philosophy
10
Experience For Mortgage Lending Compliance Professional Resume
- Monitors and reports on the implementation of the Hospital's compliance objectives and integration within the Hospital Satellite Emergency Departments
- Patient/Customer Focus: Ensuring that the patient perspective is a driving force behind our actions and business decisions; crafting and implementing service practices that meet patients' and own organization’s needs. (Focus also includes internal and external customers.)
- Technical Competence: Demonstrates breadth and/or depth of professional/technical skills and capabilities required for position; shares knowledge; sets or contributes to the Company’s direction within area of expertise
- Building Trust: Interacting with others in a way that gives them confidence in one’s intentions and those of the organization
- Managing People, Projects and/or Tasks: Manages collaboratively and coaches others to achieve optimal performance; delegates effectively; praises/rewards contributions; defines clear roles and responsibilities; sets goals and leads initiatives; adjusts plans as necessary
- Empowerment and Delegation: Sharing authority and responsibility with others to move decision making and accountability downward through the organization enabling individuals to stretch their capabilities and accomplish the business unit’s strategic priorities. Applies influence based on professional skill and experience
- Conflict Management: Understanding of how to anticipate, recognize, and deal effectively with existing or potential conflicts at the individual, group, or situation level; ability to apply this understanding appropriately to diverse situations
- Control testing for Information Security General Computing Controls
- SOX compliance consulting and readiness
List of Typical Skills For a Compliance Professional Resume
1
Skills For Ethics & Compliance Professional Resume
- Desire to grow technical skills and ability to learn new technologies swiftly
- Two years compliance/regulatory experience or relevant work experience
- Maintain effective working relationships with key business partners and the ability to provide good customer service
- Knowledge of Medicare and Medicaid program rules and regulations and experience applying to coding and billing of hospital services
- Experience leading audits and interacting with regulatory auditors desired
- Previous experience working in a financial services institution or consulting firm
2
Skills For Senior Compliance Professional Resume
- Previous Training, Compliance, Risk or regulatory experience would be an advantage
- Experience with statistical analysis and interpretation of data
- An internal work experience certification from Credit Suisse’s General Counsel Academy
- A proven ability to multi-task, problem-solve, think critically, and work both independently and as a team player in a fast-paced, demanding environment
- Industry experience in a pharmaceutical/biotech
- Experience in process improvements and ability to drive results across multi-disciplinary teams
- Experience with utilizing database systems
3
Skills For Trade Compliance Professional Resume
- Strong grasp of project management best practices
- Strong focus on first time quality
- Five (5) years experience in a management level administrative, financial, or clinical position in a hospital or health system
- On the job experience
- Preparing, reviewing and/or filing regulatory filings in various jurisdictions
4
Skills For Compliance Professional, SSC Resume
- Conducting employee personal trading surveillance
- Supporting our affiliated broker-dealer entity by completing required FINRA reviews and other filings
- Assisting with the administration of Fortress’s anti-money laundering, KYC and sanctions program
- Providing assistance in complying with domestic and international regulatory regimes
- Reviewing employee communications, expense reports, client records and other firm data to ensure adherence with Fortress’s Code of Ethics
- Conducting annual compliance reviews on a variety of topics pursuant to SEC Rule 206(4)-7
- Understanding of US Export Regulations 2. Understanding of global import processing 3. Understanding of IBM's global trade control programs
- Multi-task while working in environment with demanding timeframes and competing interests
- Assist in interviewing and training new staff when needed
5
Skills For Facility Compliance Professional Resume
- Assist NIKE???s Compliance Training Specialist in the development and deployment of NIKE compliance training materials and courses
- Perform quality checks on documents (to comply with formatting requirements)
- Provide training to site colleagues affected by the regulations
- Participate on teams (new product launches, product transfer, etc…) representing the Trade Compliance function
- Design and create standard reporting and metrics for compliance related activities
6
Skills For Security Compliance Professional Resume
- Review and analyze results, assisting business areas with issue resolution
- Participate in working groups and project initiatives across the organization as needed
- Assist in summarizing the status of current projects and related deliverables for senior management’s review
- Administer compliance databases such as gift reporting and conflicts of interest systems
- Export compliance consulting
- In-depth abilities in collaboration, facilitation, mentorship, and strategic and creative thinking
- Five (5) years in a Healthcare setting such as acute care or multi-specialty clinic
- AML ??? Anti Money Laundering
7
Skills For Bulk Compliance Professional Resume
- As per quality operating procedure for Batch Production Records (BPRs) review, logbook review and sterilization records review, in collaboration with quality manager, ensure requirements for documentation of manufacturing operations are met. This includes
- Work with SMEs to draft or revise GMP documents (SOPs, SWIs, protocols, or reports)
- Assist with document management in Quality eDoc system
- Add tables, figures, photographs where required
- Follow-up on the review and approval process to expedite document approval when necessary
8
Skills For Trade & Compliance Professional Resume
- Point of contact for Record & System Office
- Fluent (written and spoken) in English and preferably an additional Asian language
- Work in a team and under pressure, highly independent and assertive
- Efficient, exact and independent
- General administration of Fortress’s global compliance program in all respects
9
Skills For Compliance Professional Practicum Resume
- Reviewing compliance forms (quarterly/annual personal trading reports, initial holdings, conflicts questionnaires, political contributions reports, ADV disclosures, etc.) for new hires and current employees
- Conducting many additional ad hoc compliance assignments
- Working knowledge of compliance frameworks, e.g., (CSF, NIST 800-171, PCI DSS, ISO 27001, etc.)
- Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Companies Act of 1940, as well as the requirements of a Compliance and Risk program under both
- Excellent written and oral communication skills, strong ability to develop effective working relationships with clients and staff, and make articulate recommendations to department managers regarding potential solutions to issues
10
Skills For Mortgage Lending Compliance Professional Resume
- 3 – 5 years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
- Experience in Compliance with a leading international financial institution
- Knowledge of German banking and securities law/regulation including AML, Fraud prevention and Outsourcing
- Comfortable learning additional systems and software applications
- Manage Registered Representative (RRs) registrations, Non-Registered Fingerprint (NRFs) only person filings, and the FINRA continuing education process
List of Typical Responsibilities For a Compliance Professional Resume
1
Responsibilities For Ethics & Compliance Professional Resume
- Prior clinical, patient financial services and/or risk management experience
- Have the ability to effectively facilitate meetings
- Evidence collection for third-party assessments
- Proven ability to use discretion and maintain confidentiality
- Previous IT Compliance experience with regulatory requirements
2
Responsibilities For Senior Compliance Professional Resume
- Present complex issues in a clear and concise manner, both in writing and verbally for presentation or review by management
- Identify, analyze and dissect transactional schemes
- Oversee/manage high risk business types and transaction types
- Create, develop and outline/write acceptable programs for high risk groups, including customer due diligence, enhanced due diligence and ongoing due diligence
- Readiness reviews for Corporate Audits
- Root Cause Analysis for deficiencies
- Corrective Action Plan development
- Provide support to the Global Compliance Counsel for compliance program administration
3
Responsibilities For Trade Compliance Professional Resume
- Become very familiar with NIKE???s code of ethics and compliance policies
- Organized and able to work independently in a fast-paced development and production support environment
- Successfully meet established deadline requirements
- Oversee Firm Form BD and related filings with FINRA
- Organize fingerprint sessions for the RRs and NRFs
- Direct initial compliance meetings with RRs and NRFs
4
Responsibilities For Compliance Professional, SSC Resume
- Uphold the Firm's Supervisory Organization Chart, table of Supervisors in the Firm's Written Supervisory Procedures, and employee registration profiles on MyC
- Experience in a DOD or other industrial security program; or, related professional roles with security, compliance and/or data protection related scope and responsibility
- Process large amounts of data and draft a written summary of key points
- Graduation from a four (4) year college or university
- Experience in a DOD or other industrial security program; or, related professional roles with security, compliance and related scope and responsibility
- Adhere to defined clinical compliance program policies and standards including timely completion of assigned reviews and projects
- Acquire and/or maintain a Top Secret security clearance/SCI
5
Responsibilities For Facility Compliance Professional Resume
- Work in fast-paced sales environment
- Knowledge of German rules and regulations
- Knowledge of regulatory landscape in Europe
- Graduation from a four year college or university
- RHIA or RHIT or CPC or CCS-P
- Expert knowledge of ICD-10 and CPT/HCPCS coding guidelines/conventions and applying in varied clinical settings (i.e. hospital, ED, clinic, etc.) and/or multi-specialty areas
- Experience researching, interpreting and comprehending federal and state rules and regulations applicable to clinical documentation and corresponding revenue cycle compliance requirements
6
Responsibilities For Security Compliance Professional Resume
- Increases attention and focus to complete several tasks simultaneously with ability to promptly transition from one task to another, as needed
- Excellent interpersonal (i.e. verbal and written communications) and problem solving skills and ability to work collaboratively with all levels of University personnel
- Gather, organize, complete analysis and develop recommendations in the completion of assignments
- Function independently and collaborate effectively with unit team members. Skills in coalescing viewpoints and facilitating outcomes in group settings
- Demonstrated experience conducting investigations within large, complex organizations, including the ability to demonstrate political astuteness while conducting investigations
- Demonstrated knowledge and ability to interpret federal and state equal opportunity and non-discrimination laws, regulations and policies
- Independently conduct complex Title VI, Title VII, Title IX and/or employment-related investigations at an educational or public institution
- Extract, verify, compile and develop recommendations related to ethics and compliance programs, issues, policies and procedures
7
Responsibilities For Bulk Compliance Professional Resume
- Conduct trainings and other presentations before large audiences and/or high level stakeholders
- Excellent interpersonal and problem solving skills to work independently with all levels of University personnel, including management and faculty, and to facilitate agreement on issues and corrective actions
- Thorough knowledge of ethics and compliance profession and professional compliance and investigations standards
- Demonstrated knowledge and ability to interpret federal and state equal opportunity and discrimination laws and regulations, including Title VI, Title VII, Title IX, the Americans with Disabilities Act, Section 504 of the Rehabilitation Act, and other applicable laws and regulations
- Strong interpersonal skills and ability to collaborate effectively with diverse groups. Skills in coalescing viewpoints and facilitating outcomes in group settings
- Demonstrated ability to present investigation findings in written reports that are clear and concise manner
- Political acumen, the ability to establish and maintain productive, professional working relationships with campus administrators, academic and staff employees and students. Ability to assist or consult with administrators, staff and faculty in assessing procedural, policy or ethical concerns in complex matters
- Apply appropriate policies and procedures in the completion of ethics and compliance assignments
- Knowledge of HQRI policies, procedures and systems
8
Responsibilities For Trade & Compliance Professional Resume
- Direct work experience in AML risk analysis or equivalent, with related experience in other areas of banking, and preferably in the financial services industry
- Remain focused under pressure, perform multiple tasks simultaneously and provide attention to detail
- Graduate from a four (4) year college or university
- Execute pre-hire screenings
- RHIA, RHIT, or CCS
- Advanced knowledge of the ethics and compliance profession and professional compliance and investigations standards
9
Responsibilities For Compliance Professional Practicum Resume
- BSA ??? Bank Secrecy Act
- OFAC ??? Office of Foreign Asset Control
- SAR???s ??? Suspicions Activity Reports
- CTR???s ??? Currency Transaction Reports
- Track complex process activities
- Audit test work papers and report results
10
Responsibilities For Mortgage Lending Compliance Professional Resume
- Identify organization needs and opportunities to solve
- Define cybersecurity policy compliance measures and consults on cybersecurity regulatory compliance
- Define and manage cybersecurity risk management processes
- Communicates and collaborates with key stakeholders across the enterprise in regards to cybersecurity related matters
- High attention to detail, self-starter, result driven
- Familiar with Microsoft office tools
- Able to work in a team and to collaborate with other functions
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