Compliance Specialist Senior Resume Sample
Damaris Dickinson
455 Balistreri View,
Houston,
TX
+1 (555) 543 5954
Work Experience
Compliance Program Specialist Senior
10/2015
-
PRESENT
Phoenix, AZ
- Design the compliance risk assessment strategy and plans in coordination with other internal teams such as Internal Audit, Legal and Risk Management
- Oversee the development of the compliance communication and education and awareness plan (multi-year) and related compliance training plan
- Develop the compliance strategy and annual work plan for assigned areas of responsibility based on the compliance risk assessment results or other criteria
- Develop the strategy and structure for a GRC system or other compliance tool to ensure the adequate documentation and retention of compliance documentation
- Develop and enhance Sales/Partner/Marketing compliance monitoring and review procedures
- Meet with business units/departments to build relationships and enhance their abilities to support the compliance program
- Implement and monitor procedures and controls to adhere with HIPPA Privay and Security Rule compliance
Senior Import Compliance Specialist
09/2011
-
06/2015
Detroit, MI
- Develop reporting strategies to assess of the effectiveness of the compliance program.Make recommendations to the Compliance leadership regarding improvement opportunities.Develop periodic reports for management andleadership (as needed)
- Monitor industry and regulatory developments, in cooperation with legal teams, and make compliance recommendations to Compliance leadership. Pursue continuing education to maintain knowledge of current ethics and compliance rules and practices
- Health care experience needed, preferably in the compliance area
- Drive for results: Can be counted on to exceed goals successfully; steadfastly pushes self and others for results
- Compliance Focus: Is dedicated to meeting the expectations and requirements of governmental authorities that regulate licensure; acts with licensing regulators in mind; where appropriate, establishes and maintains effective relationships with licensing regulators and gains their trust and respect
- Schedule and chair the monthly PCI – DSS Tactical Steering Committee meeting
- Communicate any changes in the PCI – DSS to the committee members
- Prior to the annual re-certification ensure all process and procedure documentation reflects the actual work activities
Compliance Specialist Senior
12/2006
-
04/2011
New York, NY
- Ensure all quarterly and semi-annual scans and penetration testing is completed and the evidence is filed in the PCI e-space and GRC repository
- Qualified Accountant, ACA, ACCA, CPA or CIMA
- Statutory account preparation and review experience
- Years + post qualification experience
- Business acumen, strong business partnering skills and awareness of the big picture
- Excellent leadership, negotiation, problem solving, project management, communication skills required
- Manage the on-boarding process for all new customers along with updates/changes to existing customer compliance requirements. Accurately communicate changes with internal teams and collaborate to meet customer’s requirements
- Follows compliance information, techniques, and procedures for implementing compliance and reducing business unit risk
Education
Norwich University
2002 - 2006
Bachelor's Degree in Accounting
Professional Skills
- Working knowledge of Microsoft Office and strong Excel skills
- Excellent analytical, problem-solving, interpersonal, and communication skills (both verbal and written)
- Demonstrated ability to communicate effectively orally and in writing with all levels of management
- Basic computer skills and aptitude to learn and utilize software programs
- Sound business judgment, leadership and project management skills
- Lending originations compliance (origination and servicing) experience required
- Banking or regulatory compliance experience
How to write Compliance Specialist Senior Resume
Compliance Specialist Senior role is responsible for software, events, microsoft, leadership, excel, training, retail, finance, integration, auditing.
To write great resume for compliance specialist senior job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Specialist Senior Resume
The section contact information is important in your compliance specialist senior 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 Specialist Senior Resume
The section work experience is an essential part of your compliance specialist senior 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 specialist senior 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 specialist senior position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Specialist Senior resume experience can include:
- Plans the execution of business unit compliance programs to prevent illegal, unethical, or improper business practices. Developing ability to constructively challenge conclusions/status quo
- Update compliance policies and procedures as needed. Ensure that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Independently challenges analyses, reviews and recommendations
- Support key business initiatives by identifying compliance risks and providing resolutions to manage these risks. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives
- Strong business writing skills (i.e. ability to prepare memos documenting Honda’s position on Accounting/SOX matters)
- Evaluate client internal controls and processes to determine effectiveness and efficiency with respect to managing risk and compliance
- Develop and maintain effective relationships with existing and potential clients, customers and contractors to develop new business
Education on a Compliance Specialist Senior Resume
Make sure to make education a priority on your compliance specialist senior resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance specialist senior 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 Specialist Senior Resume
When listing skills on your compliance specialist senior 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 specialist senior skills:
- Experience monitoring risk events and issues; and utilizing software skills in Excel and SharePoint
- Excellent critical thinking and analysis skills with keen attention to detail
- Partner with the security team to collaborate effectively, provide effective feedback to management and provide security leadership impact to the business
- Build and effectively manage relationship with other team members and stakeholders
- Being proactive to drive change and ensuring a strong risk culture
- Hands on experience using SAS, SQL, R Data or other coding background for data analysis and reporting tasks
List of Typical Experience For a Compliance Specialist Senior Resume
1
Experience For Compliance Program Specialist Senior Resume
- Mentor and train less experienced compliance staff
- Experience in an information security or compliance related role, such as security analyst or auditor
- Creating multiple procedure documents to fully represent reporting process
- Oversee testing on global and/or regional level and create testing & monitoring plan
- Active knowledge of current and upcoming legislation, regulation, legal opinion, legal developments and trends impacting Fair and Responsible Banking
- Prepare status updates for executive management on pending applications and licensing reporting requirements
- Interface with colleagues in other departments as appropriate to gather data and required information for reporting and tracking HCP payments
2
Experience For Senior Import Compliance Specialist Resume
- Develop training programs and conduct training for internal and external parties
- Possess an understanding of multiple licensing frameworks and requirements on a 50-state and U.S. territory basis
- Identification and execution of trend reporting across all Retail Lending groups
- Innovate and improve working methods
- Responsible for developing sales pursuits and proposal development
- Assist with preparing information for examiner requests
- Keep standards and procedures up to date for Compliance Licensing
3
Experience For Senior Reliability Compliance Specialist Resume
- Research and draft various state matrices with respect to licensing requirements
- Coordinate the timely filing of license renewals across business lines
- An understanding of financial services regulatory compliance obligations and the risks posed to a financial institution by the regulatory environment
- Provide QA oversight for QC (review approved test records, SOP’s, C of A’s Deviations, CAPA’s, protocol and reports related to QC labs
- Develops meaningful quality KPI’s with the QC team and prepares and presents trend reports for Quality Management Reviews
4
Experience For Senior Specialist, Clinical Compliance Resume
- Assist on business projects associated with Aggregate Spend Program
- Respond to inquiries from HCPs, external parties, field employees, and internal personnel to answer questions associated with HCP reported information from transparency and state reports
- Review expense reports flagged for review from theexpense reporting system and follow up with appropriate personnel to resolve discrepancies
- Support the Aggregate Spend Team and other Compliance projects and programs related to Aggregate Spend and Transparency associated with: HCP Marketing and advertising payment information, grants and charitable contributions, clinical investigations and R&D payments
- Assist in implementation of modifying regional global strategies into regional and local level and where needed sector level, based on appropriate local needs, goals and objectives, taking into account local external regulatory trends and environment
- Represent HCC in Country Value Teams/ marketing planning meetings
- Primary contact person to collaborate with external parties, such as AIPM
- Leads HCC projects and coordinate regional, cross-sector and/or global projects
5
Experience For Compliance Specialist, Senior Resume
- Create framework for approvals
- Coordinate independently the bigger projects
- Coordinate with client departments, staff and members to achieve goals and provide direction on compliance activities while promoting a culture of compliance and security
- Review energy market regulatory/compliance publications to keep apprised of new developments
- Travel to various client facilities as needed to review processes, records, conduct audits, consult with staff, etc
- Review the data and perform standardized checks and ad-random checks to find potential issues
- Prepare and maintain VAT compliance process documents/manuals
6
Experience For Senior Principal Compliance Specialist Resume
- Develop and constantly maintain a very high level understanding of SAP products and their associated licensing terms and conditions as well as SAP’s business practices
- Mornitoring and ensuring that the Company’s insurance products distribution channels comply strictly with all the regulations and rules of the Company
- Final report of investigation to the Agency Compliance Manager, recommending the penalties and remedies for breaches of the agent in question, and proposing solutions to resolve the issues related to the client’s insurance policy
- Following up and coordinating with related departments to collect agent’s debt
- Monitors developments in state and federal regulations (including case law developments) pertaining to insurance claim handling
7
Experience For Senior Specialist Software Compliance & Contract Resume
- Works with Claims management to ensure processes are established to ensure ongoing corporate compliance which is based on Claims Division processes, policies and procedures
- Responsible for reporting to Claims management area of expertise to assure ongoing compliance to include consistent execution of Claims results via vendor and State Auto reporting
- Experience in the NIST, SOX, HIPAA or other cyber security compliance requirements
- Work with LOBs to request control validation documentation
- Review LOB control validation documentation for compliance with PNC policies and procedures
- Working knowledge in the critical Environmental Management Systems (EMS), network systems, security systems, and supporting technologies
- Understand system updates and websites that provide compliance information to State Auto
8
Experience For Control Room Compliance Specialist Senior Resume
- Communicates with Departments of Insurance, as needed, to facilitate market conduct examinations and other requests
- Train claim handlers and/or supervisors with regard to claims compliance requirements and resources
- Develops, coordinates and implements a Bulk Electric System compliance program to comply with the applicable mandatory and enforceable NERC CIP Reliability Standards
- Manages the development and maintenance of client compliance-related policies, processes, procedures tools and data, including the use of information management compliance tools (document management; compliance dashboards; Regional Entity document delivery system)
- Coordinates projects related to compliance activities ensuring that the scope, budget, schedule, quality, etc. meet client's needs
9
Experience For Senior Technical Compliance Specialist Resume
- Develops, implements, and reviews current policies and practices issued by FERC, NERC, Regional Entity, and other regulatory agencies
- Coordinates with NERC, Regional Entities, and other regulatory agencies as necessary to determine the best approach for specific client conditions
- Coordinates with client departments, staff and members to achieve goals and provide direction on compliance activities while promoting a culture of compliance and security
- Lead comprehensive on-site and off-site audits of registered entities in compliance with NERC Reliability Standards and Regional Reliability Standards, with a special emphasis on the CIP Standards
- Analyze review testing results including any exceptions noted in testing
10
Experience For Senior Specialist, Distribution Compliance Resume
- Conduct and manage review testing documentation. Prepare work papers and ensure that documentation appropriately supports the testing conclusions
- Ensure required parties review and formally acknowledge review testing results and any resulting issues
- Provide staff training on cyber security concepts, compliance requirements, Internal Controls, and industry best practices
- Partially responsible for developing sales pursuits and proposal development
- Ensure that review testing is accurate, complete, and in accordance with policy and procedure
- Mentor ETS RCSA Testing Team members and/or Third Party providers
- Help develop, implement, and manage client's Internal Controls to ensure sustainable compliance processes
- Communicates regularly with client’s subject matter experts (SMEs), responsible for compliance, and provides the necessary encouragement and support to enable the SMEs to successfully carry out their responsibilities
List of Typical Skills For a Compliance Specialist Senior Resume
1
Skills For Compliance Program Specialist Senior Resume
- Experience with analytical testing including but not limited to (UV/Vis, IR, AA, HPLC, GC) is required
- Experience participating in external agency inspections
- Experience in the medical device industry and 6-8 years auditing per ISO and/or FDA standards
- Experience with auditing, such as internal audits, onsite audits (hospitals), and/or supplier vendor audits
- Experience in working in a medical device, pharma, biotech, or regulated industries
- Experience and understanding of the Compliance Issues Management life cycle and related programs
- Strong sense of responsibility and ownership, proactivness, ability to introduce own ideas and process improvements
2
Skills For Senior Import Compliance Specialist Resume
- Experience with GRC tools and other technology tools and systems to support compliance activities
- Demonstrated ability to self-lead and manage daily tasks timely
- Manage multiple projects and competing priorities in a fast-paced environment
- Good knowledge of clinical trials and quality systems (e.g., root cause analysis, trend analysis, and CAPA)
- Produce positive results with a strong sense of urgency
- Experience conducting control assessments or audits
- Experience managing the implementation or enhancement of compliance controls across a diverse business
- Mature experience with the ability to think out of the box to interpret agreements and get the job done while minimizing the company’s risk
- Demonstrated knowledge and understanding of NERC reliability standards with an emphasis on cyber security standards
3
Skills For Senior Reliability Compliance Specialist Resume
- Strong expertise in networking, systems, and application security
- Virginia Department of Transportation project experience is desired
- Compliance experience in a financial services, broker dealer, insurance company, legal, regulatory or compliance position
- Performing annual and periodic Fair Lending and UDAAP analysis and reporting utilizing CRA Wiz/Fair Lending and R Studio
- Assisting in updating of Fair Lending and UDAAP policies, procedures, and training as warranted
- Engaging in problem solving in order to obtain data, analyze results, and produce written recommendations from reporting analysis
4
Skills For Senior Specialist, Clinical Compliance Resume
- Maintaining proactive partnerships and communication with senior compliance and business management including periodic updates on potential issues
- Manage risk activities including conducting annual and project risk assessments, and third-party assessments including managing remediation activities
- Strives for consistency in reviewing marketing materials on an ongoing basis in order to help promote consistent standards across the organization
- Oversees recall execution, closure and documentation, including the initial investigation activities and scheduling and coordinating meetings
- Drive continuous improvement of security systems through monitoring and evaluating new, innovative technology solutions to security systems
5
Skills For Compliance Specialist, Senior Resume
- Provide technical guidance to facilities engineering, maintenance and sub-contractors regarding the installation, maintenance and repair of security systems
- Coordinate the gathering of compliance reporting requirements
- Ensures that all advertising and marketing materials comply with SEC and FINRA rules and regulations, best practices, and internal standards
- Advise clients on best practices in managing compliance monitoring and enforcement activities relevant to the electric sector
- Knowledge of Retail Distribution including Branch and Care Center
- Familiarity with quality assurance and/or auditing in a claim environment
- Create and make enhancements to line of business and management level reporting
- Conducts content reviews for misleading statements and other content that could expose PCA to regulatory compliance or reputational risk
6
Skills For Senior Principal Compliance Specialist Resume
- Provide edits/feedback to Marketing department as needed
- Assist in maintaining internal compliance materials such as policies, procedures, desktop reference material, and reports
- Read, understand and retain extensive working knowledge of procedures and company documents
- HMDA training is accurate and completed by the appropriate people
- Participate in PNC’s ongoing Compliance Management System initiative
- Able to deal with complex issues and progress to completion
- Identify risks and escalate issues to management as appropriate
- Retailer compliance reviews & DC visits/tours
- Work under pressure with little to no supervision
7
Skills For Senior Specialist Software Compliance & Contract Resume
- Performs Technical Surveillance Counter Measures (TSCM) surveys
- Provide physical security assessments of facilities to address threats and mitigate risk through the design and integration of physical security systems
- Perform engineering design and analyses, and furnish technical assistance in the installation, operation, and maintenance security systems and other security related equipment
- Develops work instructions, job aids and preventative maintenance procedures for security systems
- Communicate with outside vendors of security equipment/software and develops custom specifications to ensure compliance with DOE security requirements
- Assure design and construction of security projects including drawings and specifications conform to all applicable codes, regulations, DOE orders and security requirements, project intent cost factors, schedules, and technical specifications
8
Skills For Control Room Compliance Specialist Senior Resume
- Use advanced statistical and other scientific methods to address and resolve security problems
- Leads technical project teams
- Interface with various contractor personnel to ensure security is maintained in compliance with DOE security requirements
- Other: Ideally one other major European language fluent (e.g. Area language)
- Assist Corporate Compliance with other enterprise compliance projects or initiatives as assigned
- ACAMS certification or is in progress
9
Skills For Senior Technical Compliance Specialist Resume
- Experience in a laboratory driving compliance improvements and/or supporting laboratory operations for a FDA/cGMP regulated environment is required
- Fluent English written and spoken (B2 level or higher)
- Readiness for occasional travels abroad
- High level of familiarity with FFIEC, OCC and CFPB guidance and rules
- Or more experience in adjusting claims in multiple lines of business, with a thorough understanding of the application of regulations to actual day-to-day claim handling
10
Skills For Senior Specialist, Distribution Compliance Resume
- Experience in researching and interpreting compliance–related statutes, regulations or laws that impact claim handling
- Knowledge of and ability to interpret, communicate, and apply federal and state compliance laws and regulations
- Team player with the ability to multi-task and work in a fast paced environment
- Research and address issues timely and flexibly under short deadlines
- High detail orientation and ability to think independently, solve problems, and develop solutions
- Product or Business knowledge of the Broker Dealer
List of Typical Responsibilities For a Compliance Specialist Senior Resume
1
Responsibilities For Compliance Program Specialist Senior Resume
- Lead/conduct routine hardware and software audits of all supported systems to ensure compliance with established standards, policies, procedures, and requirements
- Coordinates, organizes, and maintains activities related to recalls, working with key stakeholders to ensure timely performance
- Reviews and coordinates offsite scanning and storage for completed job order packets
- Supports Compliance Training efforts
- Quality review of periodic data submittals from Registered Entities for compliance
- Evaluate, approve and track the status of Mitigation Plans
2
Responsibilities For Senior Import Compliance Specialist Resume
- Develop, present and update compliance status reports
- Reviews energy market regulatory/compliance publications to keep apprised of new developments
- Travels to various client facilities as needed to review processes, records, conduct audits, consult with staff, etc
- Maintains job knowledge to ensure expertise on NERC/Regional Entity reliability and compliance standards, requirements, and best practices
- Prepare monthly client status reports
- Certified Information Systems Security Professional (CISSP), Certified Information Systems Auditor (CISA), System Administration, Networking, and Security Institute (SANS) or other similar certifications
3
Responsibilities For Senior Reliability Compliance Specialist Resume
- Apply expertise to new and novel ways of securing systems
- Perform reviews in accordance with the RCSA review plan
- Revise review plans as needed to accomplish objectives
- Communicate results/findings with required parties
- Supports activities for maintaining compliance with ISO 13485, GUDID (Global Unique Device Identification Database), EU Medical Device Regulation, Canada Medical Devices regulations (CMDR), Japan, Brazil, Australia and other major regulations, as applicable
4
Responsibilities For Senior Specialist, Clinical Compliance Resume
- Participates as a leader and/or member of a cross-functional team supporting compliant and CAPA investigations, Health Hazard Evaluations (HHE) and Recalls
- Conducts adverse event/MDR evaluations
- Schedules, performs, and/or participates in Daily Management Activities
- Maintains and completes all entries in the GUDID
- Assists in the development and/or revision of procedures
- Prepares reports and coordinates activities as requested
5
Responsibilities For Compliance Specialist, Senior Resume
- Acts as the back-up for the Document Control Specialist
- Identifying issues, deficiencies, inconsistencies, or opportunities for improvement in business process based on data analysis and annual risk assessment review
- Advising on and recommending improvements on business process, policy and procedure, self-testing, or other controls based on data analysis or risk assessment reviews
- Active FINRA Series 7 and 24, and Life & Health Insurance License
- Interact regularly with top company executives and state regulators
- Prepare new license applications as required due to changes in laws across business lines
- Prepare license amendment documentation for licensed entities if/when necessary
- Leadership of the Import Compliance team’s Root Cause/Corrective action program
- Networks with senior internal and external personnel in own area of expertise. Represents organization as a prime contact on projects. Interacts with senior internal and external personnel on significant matters often requiring coordination between organizations
6
Responsibilities For Senior Principal Compliance Specialist Resume
- Responsible for working under the direction of the Director and/or Senior Manager of Compliance in aspects of planning, maintaining, and managing compliance policy governance, risk management, third-party risk management, and cloud governance
- Responsible for the operation of compliance governance and risk management in terms of continuous monitoring, executive reporting, audit management and enterprise risk management
- Working with lines of business to research technical regulations that have potential impacts on the business and its product and create action plans to ensure compliance by the required date
- Provide guidance on work product and acting as an influencer for following industry standards and best practices
- Provide input to the Director and/or Senior Manager of Compliance for enhancing the compliance strategy when necessary
- Assist business units in understanding and implementing compliance policy objectives in ways that are cost effective and align with business objectives. Provide compliance and risk input for business procedures, and new projects
- Evaluate compliance controls to ensure effectiveness and compliance, including managing control remediation efforts
- Participate in internal control assessments
7
Responsibilities For Senior Specialist Software Compliance & Contract Resume
- Stay current on industry trends, attack techniques, mitigation techniques, and security technologies by attending conferences, networking with peers, and other educational opportunities
- Deeply familiar with PCI, Sarbanes Oxley (SOX), NIST cybersecurity framework, ISO 27000 security standards, and data protection regulations and requirements (including GDPR)
- Versed in enterprise risk assessment methodologies
- Execute clinical audit preparation efforts for TMTT including team education, SME identification, process development, timeline management, communication and implementation
- Review and contribute to the development of clinical protocols, CRFs, Clinical Study Reports and other clinical documents
- Ensure cross-sector alignment
- Travel up to 25% US Domestic
- Interact and influence management
8
Responsibilities For Control Room Compliance Specialist Senior Resume
- Knowledge of Compliance Risk Assessment process
- Knowledge of MS Access, or SQL
- Good knowledge and understanding of diverse and applicable regulations and standards relevant to medical devices (e.g., FDA (21 CFR Part 11/50/54/56/812/820) ISO14155/13485, ICHs, and other applicable regulations
- Cross-functional team experience required
- Strong leadership skills and ability to influence change. Comprehensive written and verbal communication, interpersonal, facilitation, presentation, quantitative, analytical, organizational, critical thinking, problem solving and follow-up skills
- Collaborate with retail lending managers and other compliance contacts to build and execute in depth reporting around: Issues management, policies and procedures, compliance training, complaints, regulatory reform, compensation and performance management and other compliance projects
9
Responsibilities For Senior Technical Compliance Specialist Resume
- Collaborate with Compliance partners to assess and identify opportunities for regulatory compliance reporting enhancements
- Track and report identified compliance and/or regulatory risk issues to confirm status and movement of regulatory risks
- Work with many organizations / cultures / quality systems
- An understanding of financial services business products, services, and activities, and how compliance risk is generated by those products, services, and activities
- An understanding of compliance control effectiveness and an ability to assess control effectiveness in light of the regulatory risk the controls are established to mitigate
- Partner to create effective enterprise routines to develop common views, reports and approaches for Enterprise Compliance reporting across LOBs
- An ability to speak and write about legal and regulatory requirements in a clear and effective manner for broader audiences across the business
10
Responsibilities For Senior Specialist, Distribution Compliance Resume
- An ability to read, understand, and analyze for business impact voluminous and complex legal and regulatory requirements
- Partner with LOB stakeholders to develop, maintain and periodically refresh key compliance reports
- Provide compliance proficiency in identification of risks, assessing of controls and reporting on effectiveness of controls to ensure compliance with federal, state, agency, legal, regulatory and policy requirements
- Demonstrate experience and competence with Business Intelligence tools such as Tableau
- Providing oversight and building partnerships with the business lines to maintain compliance with the enterprise Issues Management Policy and related ongoing monitoring, reporting, and escalation of risk events
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