Compliance & Risk Management Resume Sample
William Hudson
46329 Gottlieb Dam,
Boston,
MA
+1 (555) 663 8239
Work Experience
Compliance & Risk Management Specialist
06/2015
-
PRESENT
Chicago, IL
- Estimated functional activity breakdown to be
- Accountable for the timely completion of RAMP requirements under Shire’s Corporate Integrity Agreement
- Help oversee GCRM’s response to risk management outcomes (e.g., incorporation into training and policy updates; future auditing & monitoring activities)
- Participate in live monitoring activities
- Develop various SOPs to ensure risk management sustainability, as necessary
- Leads projects and manages third party service providers as required
- Provides analysis of specific tax impacts of company transactions, supports tax planning initiatives and special projects by responding to questions from the business, and monitors tax law changes and participating in business process change
Human Resources Compliance & Risk Management Analyst
08/2010
-
03/2015
Dallas, TX
- Ensures the appropriate internal controls are in place regarding taxes
- Serve as Procurement’s representative on cross-functional teams to ensure Shire’s compliance to regulatory requirements impacting manufacturing and supply chain operations and global product environmental regulations (i.e., RoHS, REACH, packaging regulations in Europe, Asia, etc.)
- Ensure Procurement, the Business and Suppliers conduct business ethically, and in accordance with the Shire’s Anti Bribery and Corruption and FCPA guidelines. Alert the leadership to any improper practice Initiate update of Procurement compliance processes and/or guidelines, if appropriate
- Identify and monitor emerging issues, trends, vulnerabilities and ongoing developments in the organization’s legal and compliance and operational risk areas
- Monitor and evaluate developments impacting the organization’s legal/compliance and related operational risk profiles through in-depth analysis of internal risk management reports and regular interaction with management
- Provides analysis of specific tax impacts of company transactions, supports tax planning initiatives and special projects by responding to questions from the business
- Monitors tax law changes and participates in business process change
- Manages accounting process for all federal and state income tax, and coordinates data with Manager of Accounting to ensure proper posting in the general ledger
- Provides quarterly financial reporting of taxes and any footnote disclosures required by American Honda (AHM)
Claims Assistant Compliance & Risk Management
09/2006
-
07/2010
Boston, MA
- Prepares quarterly federal and state income tax provisions and develops processes to ensure documentation support is obtained as needed
- Manages accounting process for all federal and state income tax, and coordinates data with Manager of Accounting to ensure proper posting in the general ledger. Provides quarterly financial reporting of taxes and any footnote disclosures required by American Honda (AHM)
- Manages all use and property tax functions (including annual filings with appropriate states as required by each Secretary of State)
- Conducts all federal and state income tax return / local filings audit activities
- Executes all transfer pricing and management/service fee analysis as required during Honda Aircraft Company (HACI) international expansion. Structures subsidiaries and coordinates the data with Honda North America as needed to ensure tax structure efficiency
- Liaisons with HACI Operation Management and Accounting staff, and (AHM) Corporate Tax department regarding tax accounting issues
- Assists the Senior Manager of Finance and FP&A with planning and modeling future projections of taxable income and periodic payments. Prepares annual budgets and quarterly forecasts for tax expense and payments
Education
Strayer University - Tampa Westshore Campus
2002 - 2006
Bachelor's Degree in Business
Professional Skills
- Strong analytical skills for problem identifying and solving
- Analytical skills, including reasoning and problem solving
- Process-oriented with good project management and problem solving skills
- Experience in an administrative/operational capacity handling sensitive information, and managing tasks
- Experience assessing risks and creating controls that mitigate risks
- Experience supporting the recruiting processes
- Experience supporting internal and external compliance audits
How to write Compliance & Risk Management Resume
Compliance & Risk Management role is responsible for analytical, compliance, government, finance, training, database, procurement, recruiting, auditing, security.
To write great resume for compliance & risk management job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance & Risk Management Resume
The section contact information is important in your compliance & risk management 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 & Risk Management Resume
The section work experience is an essential part of your compliance & risk management 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 & risk management 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 & risk management position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance & Risk Management resume experience can include:
- Strong knowledge of network architecture concepts including topology, protocols, and components
- Strong knowledge of security policies and practices, including ISO 27001 and Payment Card Industry (PCI)
- Partner with global IT Risk Management and Security functions to perform IT security risk identification, prioritization and mitigation- treatment
- Compiles, reviews, and analyzes reports to identify trends and ensure system effectiveness
- Understand and monitor risks, measure effectiveness of internal controls, and develop action plans to reduce identified risks and issues
- Understand and monitor risks and measure effectiveness of internal controls
Education on a Compliance & Risk Management Resume
Make sure to make education a priority on your compliance & risk management resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance & risk management 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 & Risk Management Resume
When listing skills on your compliance & risk management 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 & risk management skills:
- Experience utilizing analytical skills to support compliance requirements
- Identifies where issues with legality and ethics within the company are taking place, and works with leadership to fix these problems quickly and effectively
- Exhibit willingness to be flexible and adaptive and demonstrate a desire to operate in a dynamic and high-growth environment
- Communicates effectively, builds relationships, and collaborates
- Monitors consistent enforcement and ongoing effectiveness of the Compliance Program, and makes recommendations for improvement
- Contribute to enterprise-wide risk mitigation programs, processes and technologies focusing effort on the effective treatment of the highest risks
List of Typical Experience For a Compliance & Risk Management Resume
1
Experience For Compliance & Risk Management Specialist Resume
- Conduct training on compliance related topics, policies or procedures
- Oversee internal reporting systems such as corporate compliance hotline and inform individuals about these systems
- Prepares annual budgets and quarterly forecasts for tax expense and payments
- Partners with Sales and Contracts to ensure compliance and risk avoidance when potential sales agreements deviate from the standard language. Reviews all aircraft lease agreements for local, federal and international tax exposures
- Monitors the tax information system and provides timely plans for its improvement and upgrade
- Research a broad topic and uncover best practices
2
Experience For Manager, Compliance & Risk Management Resume
- Leans into a challenge - turns problems into opportunities; has a high tolerance for ambiguity
- Positive mental attitude, continuous learner focused on process improvement
- Ensure compliance with corporate information security policies and other industry standards
- Support interpretation of IT Security and Compliance policies. Maintains current state awareness and understanding of internal and industry practices relative to IT security & compliance. Knowledgeable of evolving trends, industry citations, etc
- Conducts analysis of conflicts in existing policies as a result of a change in regulatory expectations, corporate policies or adoption of new quality policies within the regulated businesses (e.g. MMD, MRL) supported by the GIN@S. As needed, performs research to ensure proper understanding of regulations
- Elevate IT security awareness in general and targeted audience within the organisation, service providers and other vendors
3
Experience For Manager, Tax Compliance & Risk Management Resume
- Conduct and coordinate IT risk assessments with consideration for MSD policies and external laws and regulations which apply to the MSD business environment
- Ensure consistency in security collaboration with enterprise risk and other functions
- Act as a liaison within the company and with customers
- Assists with the compliance program implementation and policy enforcement
- Direct the development or implementation of compliance-related policies and procedures throughout ADMI and the practices ADMI supports
- Identify compliance and risk management issues that require follow-up or investigation
- Serve as a confidential point of contact for individuals to communicate with management, seek clarification on issues or dilemmas, or report concerns/irregularities
4
Experience For Director Compliance & Risk Management Resume
- Discuss emerging compliance and risk management issues with management or employees
- Understands and communicates claims management philosophy and strategy
- Builds, maintains, and manages relationships with third parties, insurance carriers, outside legal counsel and other related parties
- Communicate and educate company and field personnel to improve compliance and reduce losses
- Supervises worker’s compensation staff
- Understands departmental metrics and proactively identifies actions to reverse negative trends
- Supports compliance and risk projects and initiatives
5
Experience For Human Resources Compliance & Risk Management Analyst Resume
- Promotes loss prevention strategies
- Facilitates compliance with federal, state and industry regulations and standards
- Consult with legal and immigration organizations, and HR policy, process, and system owners to ensure that sound compliance controls are in place to mitigate risks related to staffing, immigration, and relocation
- Advise key stakeholders on staffing policies, procedures, and current statutory regulations, and provide training on compliance and risk processes
- Participate in the design, development, and implementation of process improvements to ensure company compliance
- Conduct government conflict of interest reviews and coordinate with legal, as required
- Participate as a key contributor for internal and external compliance audits
- Provide assistance to government conflict of interest reviews and coordinate with legal, as required
- Provide support to internal and external compliance audits
6
Experience For Rm-VP Compliance & Risk Management Resume
- Collaborates across the organization to execute and mature the Risk Assessment process, including developing all necessary charters, processes, methodologies, and reports
- Participates in cross-functional workgroups and planning meetings to promote ideal solutions that meet the objectives of both the business and the IT Risk, Compliance, and Information Security team. Where ideal solutions cannot be found, identifies and reports enterprise level risks and failures to management for escalation
- Communicates the value of IT Risk, Compliance, and Information Security within the organization
- Coordinates cross-functionally to ensure a holistic approach to security and compliance across the organization
- Evaluates, monitors, and ensures compliance with IT Risk and Information Security policies, standards, guidelines and relevant legal and regulatory requirements
7
Experience For Compliance Risk Management & Analytics Resume
- Conducts IT Risk and Information Security due diligence activities relative to vendors and third parties
- Conducts risk assessments and documents findings where the deviation from an information security or IT Risk policy or standard is desired
- Creates risk remediation plans with business owners and follows through in the implementation of changes
- Executes as the conduit between internal control owners and external auditors, including kickoff meetings, interview requests, closing meetings, and evidence gathering
- Executes internal customer audits which include scheduling, presentation of the Rackspace compliance portfolio, and overseeing the successful visit in conjunction with Account Managers
- Execute on an enterprise GRC strategy and roadmap
8
Experience For Compliance Risk Management Program Analyst Resume
- Align enterprise GRC initiatives with business strategy, gain executive approval and support, and oversee successful execution
- Develop and maintain practical and actionable information security policy and standards that reflect the needs of the business while keeping pace with changes in the business environment, technology and threats to effectively mitigate and manage risk to the business
- Develop and maintain a highly-qualified staff of information security professionals across the enterprise. Build and maintain executive relationships necessary for the successful execution of the information security program
- Orchestrate the Enterprise Security Working Group (ESWG), participation on the Enterprise Security Steering Committee (ESSC), and alignment with executive stakeholders
- Develop and implement an information security risk methodology that prioritizes risk and the investment and financial strategy required to mitigate those risks
- Guide Corporate Compliance initiatives to assure company meets its compliance obligations while positioning the company to expand its corporate compliance offerings
9
Experience For Compliance & Risk Management Procurement Lead Resume
- Measure compliance with policy as part of assessing the overall security risk posture of the enterprise, and initiate programs to achieve and maintain an adequate security posture
- Develop and maintain external and internal relationships to influence security policy, standards and programs and enhance secure interoperability with extended entities
- Employ an ongoing information security communications, training and awareness program tailored to the evolving needs of the business and specific requirements of various user groups
- Define requirements in EDD cases
- Provide review and sign-off of the KYC packs for new account take-on
- Update KYC/ATF lists and Tax Crime red flag triggers as require
- Escalate high risk or special situation cases to the Compliance Director AML and Compliance Director APAC
- Performs detailed analyses
- Perform IT risk advisory and assessments for divisional stakeholders, their vendors and other 3rd party collaborators. This includes working with the IT organization and peer risk organizations (e.g. Privacy, Physical Security, Supplier Management and Human Resources) to identify MSD IT Risks globally and to provide consultative services to assess and prioritize those risks
List of Typical Skills For a Compliance & Risk Management Resume
1
Skills For Compliance & Risk Management Specialist Resume
- Experience monitoring risks and compliance requirements
- Applicant Tracking System (ATS) experience
- Demonstrated ability to cope with a rapidly changing regulatory environment on a federal and state level
- Work collaboratively with cross-functional teams to achieve results amidst competing priorities
- Experience, preferably in the life sciences industry
- Provide answers that require an understanding of staffing processes to customers and applicants to ensure staffing processes are followed
- Executes all transfer pricing and management/service fee analysis as required during Honda Aircraft Company (HACI) international expansion
- Assists the Senior Manager of Finance and FP&A with planning and modeling future projections of taxable income and periodic payments
- Support and improve the MSD security posture in the region including key markets such as Germany, France, and the UK by managing the risks to acceptable levels
2
Skills For Manager, Compliance & Risk Management Resume
- Support the secure adoption of new and emerging technology, i.e. Social Media, Mobility, Analytics, and Cloud Computing
- Stays current with evolving risk areas, pending industry changes, compliance program requirements, best practices and industry trends
- Promotes sharing of expertise through consulting, presentation, and documentation
- Adapt and create processes as applicable, including changes in processes or reporting metrics
- Provides leadership in Compliance Strategy and Compliance execution in supporting governance processes, deployment and improvement initiatives
- Develops and implements compliance and ethics training programs
- Be knowledgeable about evolving trends, industry citations, etc
- Some familiarity with advanced/emerging technology trends
3
Skills For Manager, Tax Compliance & Risk Management Resume
- Advises on structuring subsidiaries and coordinates the data with Honda North America as needed to ensure tax structure efficiency
- Contribute to enterprise-wide risk mitigation programs, processes and technologies focusing effort on identification of the highest risks
- Elevate inconsistencies to senior compliance specialist and assist in developing follow-up activities and action plans
- Assists in training other Information Security, IT Risk, and compliance staff
- Supports business partners where necessary in dealing with current and prospective clients
- Conducts annual audits for industry specific reports, including PCI, ISO27001, SOC1, SOC2, SOC3, SOX, and CDSA
4
Skills For Director Compliance & Risk Management Resume
- Documents findings where deviations exist through internal or external testing
- Develops internal control testing and documented processes
- Updates internal control matrices where necessary to support annual changing environments
- Maintain accountability for responsible information security program governance through formal reporting to the CISO
- Stand/sit for periods of time in front of a computer
5
Skills For Human Resources Compliance & Risk Management Analyst Resume
- Spend extended hours on the telephone
- Creates strategy and processes related to all areas of Governance, Risk Management and Compliance
- Works collaboratively with departments and senior management to prioritize and address compliance concerns and to develop policies, procedures, and training, as necessary
- Manages requests for compliance and ethics investigations
- Reports regularly on compliance matters to the CSO (Chief Security Officer), the Audit Committee, and the General Counsel
6
Skills For Rm-VP Compliance & Risk Management Resume
- Directs and controls the development and assigning of work among team, and leads staff, providing support and direction. Collaborateswith both internal and external Legal Counsel and Auditors on incoming legal, audit and compliance requests
- Demonstrated excellence in leadership and navigating a large, matrixed organization
- Evaluates the effectiveness of current quality programs and develops and implements efficiencies
- Provide consulting expertise on Application and Infrastructure compliance
- Demonstrated breadth and depth of knowledge of various Compliance Regulations/Standards: Health, Safety, Sustainability, Security & Compliance, PCI, ISO27001/9001/18001, HITRUST, Safe Harbor and HIPPA
- Be responsible for working with other compliance, quality and risk organizations as well as the client base to facilitate the treatment of identified risk and compliance issues
7
Skills For Compliance Risk Management & Analytics Resume
- Partner with global IT Risk Management and Security functions to ensure appropriate collaboration
- Serve as an expert on IT Security and Compliance policies
- Contribute to projects for global IT compliance conformance and readiness
- Provide immediate support to address virus/malware intrusions or regulatory findings relative to system improvements and subsequently coordinates modifications as required
- 10+ yrs experience in the pharmaceutical industry with 7 yrs experience in drug development, clinical supply chain management and/or clinical manufacturing and 3+ years in compliance management
8
Skills For Compliance Risk Management Program Analyst Resume
- Foundational understanding of risk management including threat modelling, risk measurement, and vulnerability analysis
- Technical knowledge and understanding of SDLC and GxP principles
- Relevant professional certifications are desired, such as CRISC, CISA, CISM, GSNA
- Work independently and as part of virtual teams in a fast paced environment
- Be able to adapt and rapidly learn new technologies and apply their findings to solve key business challenges
- Knowledge of Computer Science and/ or of Information Technology Background
- Coordination and collaboration behaviors: Participation in (or coordination with) other IMG XaaS engagements, risk management activities, or compliance framework projects
- Experience interpreting and applying federal healthcare program laws and regulations
- Knowledge and experience managing a variety of state and federal healthcare compliance and regulatory matters, including but not limited to: HIPAA, OSHA, CDC
9
Skills For Compliance & Risk Management Procurement Lead Resume
- Experience in a corporate compliance or risk management role
- Displays technical and professional expertise in compliance programs or risk management programs
- Takes initiative, solves problems, analyzes issues and drives for results
- Read and interpret regulatory rules and regulations
- Experience with Office of Federal Contract Compliance Programs (OFCCP)and Equal Employment Opportunity Commission (EEOC) regulatory requirements and compliance guidelines
- Experience with Office of Federal Contract Compliance Programs (OFCCP) and Equal Employment Opportunity Commission (EEOC) regulatory requirements and compliance guidelines
- Corporate Compliance and Ethics Professional (CCEP) Certification
- Familiarity with Corporate Trust operations
- When required as indicated above, describe how the organization complies with any obligation to maintain risk management disciplines and concurrently how it differentiates service offering through strong risk management culture and practice disciplines
10
Skills For Claims Assistant Compliance & Risk Management Resume
- Participate in Client and Regulator facing engagements relevant to enterprise & operational risk management framework in collaboration with BUORM and GRM/EORM representatives
- Provide AML/AFT/tax Crimes advice on issues arising for new account take-on
- Provide requested information and reporting to the Regional AML Director
- Attend all NBC meetings and provide Compliance review commentary
- Review and sign-off on high risk CAF designated accounts
Related to Compliance & Risk Management Resume Samples
Asset Management Compliance Resume Sample
Work Experience
• Manage the execution of AML Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues
• Develop and manage a team focused on AML Risk Assessment, AML control audits, and independent validation of remediation act...
Professional Skills
• This role requires a highly motivated indi...
• Past experience as a bank examiner, audito...
• Past experience as a bank examiner, audito...
Compliance Management Resume Sample
Work Experience
• Managing all compliance aspects for UBS FML’s business to comply with relevant legal and regulatory requirements as well as with Group directives and standards
• Provide Clients and staff with accurate interpretation and analysis of Visa Rules in response to telephone or written inquiries and/or pr...
Professional Skills
• Strong strategic planning capabilities wit...
• Strong Computer skills with the ability to...
• Great relationship building skills – a com...
Ethics & Compliance Resume Sample
Work Experience
• Has final authority to…decide whether to open or close a claim. Determine who investigates a claim (HR, Legal, COBC, etc) Provide advice to LEOs on ethics matters, Determine when, where and how to conduct training
• Makes recommendations to Chief E&C Officer as well as provides input to Audit C...
Professional Skills
• Excellent communications skills, particula...
• Demonstrated strong leadership skills incl...
• Excellent oral and written communication s...
Mortgage Compliance Resume Sample
Work Experience
• Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives
• Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills
• Experience working in a production environ...
• Pulling and Pushing: Opening and closing f...
• Performing transactional testing of requir...
Team Lead, Compliance Team Resume Sample
Work Experience
• Communicate with lines of defense regarding information related to internal audits, KRIs and control tests
• Participate in the resolution of identified risks
• Research regulations to advise on application by the business unit
• Draft and revise polici...
Professional Skills
• Excellent IT skills including Word and Excel
• Strong verbal and written communication sk...
• Experience of process mapping and developi...
Audit Compliance Resume Sample
Work Experience
• Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes
• Scotiabank’s Privacy Code
• Working knowledge of the policie...
Professional Skills
• Considerable skill in effective verbal and...
• Strong written and verbal communication sk...
• SAS software implementation experience or ...