Compliance Supervisor Resume Sample
Elfrieda Brakus
959 Stracke Land,
Houston,
TX
+1 (555) 214 0266
Work Experience
Lead Alcohol Compliance Supervisor
05/2016
-
PRESENT
Dallas, TX
- To support FM National Account Managers and Front Lines (FL) in the UK to implement processes that are required to meet customer service KPI’s and overall contract delivery
- To distribute tasks, FL’s responsibilities and level the daily workload, if needed
- Coordinate and prepare proposed departmental changes and/or revisions to the company’s internal controls and assist departments with implementation of approved changes
- Supervise Statutory Reporting
- Responsible for supervising the submission of statutory financial reports required by various stakeholders such as government, banks, suppliers and customers
- Responsible to supervise electronic accounting in accordance to tax regulations
- Coordinate statutory audit with external consultants
Compliance Supervisor
06/2010
-
01/2016
Houston, TX
- Work with Corporate Accounting team to ensure proper accounting treatment of complex accounting concepts
- Accounting Processes and Procedures Compliance
- Partner with A&F senior teams to address critical control inconsistencies and critical gaps across Mexico
- Understand / Implement and Interpret changes on regulations
- Maintains broad knowledge in compliance affairs within the region and keeps knowledge current as regulations change over time. Analyzes, reviews and interprets complex regulations related to financial activities
- Examines current regulations and assesses and prioritizes emerging trends to determine the current and potential medium-term impacts to the region
- Participate on IT changes related to new tax regulations
- Evaluate, plan and ensure effective compliance for shared service transitions, ERP implementations, and MADJV
Bakery Compliance Supervisor
02/2005
-
12/2009
Philadelphia, PA
- Define a plan and lead sessions to share knowledge with senior business partners to ensure a compliance mindset throughout Mexico
- Oversee input of information on employee DOT certification including Driver’s license, Med Card, 7-day recap program, internal data auditing, information tracking and out-of-compliance reporting
- Monitor the quality and effectiveness of auditing programs
- Excellent organisational skills and a high attention to detail
- Highly skilled in customer service management, quality assurance, process improvement area
- Learning and development techniques, methodologies, and principles of adult learning
- Experience in the banking/hotel/travel industry
- Creative and intuitive in assessing and applying coaching methodologies to meet individual learner needs; inspires and motivates
Education
Western Carolina University - Asheville
2001 - 2005
Bachelor's Degree in Accountancy
Professional Skills
- Strong time management skills and ability to work in a deadline-driven environment. Ability to prioritize and organize work; exceptional multitasking skills
- Strong communication (verbal and written) skills, ability to effectively relay information between multiple parties
- Strong interpersonal skills including diplomacy and patience
- Experience supervisory position or equivalent demonstrated work experience
- Strategic Thinking and strong analysis skills
- Demonstrated customer relationship skills, internal and external
- Troubleshooting and problem solving skills with the ability to evaluate current situation, respond quickly to changing requirements, and execute accordingly
How to write Compliance Supervisor Resume
Compliance Supervisor role is responsible for excel, database, software, customer, microsoft, word, reporting, finance, training, auditing.
To write great resume for compliance supervisor job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Supervisor Resume
The section contact information is important in your compliance supervisor 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 Supervisor Resume
The section work experience is an essential part of your compliance supervisor 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 supervisor 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 supervisor position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Supervisor resume experience can include:
- Good interpersonal skills such as patience, approachable, good sense of humor, works well under pressure..
- Strong computer skills including Microsoft Office, specifically MS Excel
- Prioritize workload and delegate effectively
- Business and management skills: organization and time management, critical thinking, risk mitigation, decision-making and relationship building
- Complete the SOX process (test plans, sampling, and test scripts) and ensure Corporate SOX deadlines are timely and effectively achieved
- Complete the SOX process (test plans, sampling, and test scripts) and ensure that Corporate SOX deadlines are timely and effectively achieved
Education on a Compliance Supervisor Resume
Make sure to make education a priority on your compliance supervisor resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance supervisor 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 Supervisor Resume
When listing skills on your compliance supervisor 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 supervisor skills:
- Proven experience identifying problems and developing solutions (via core audit knowledge, and conceptual and
- Willingness to participate in any training initiatives aimed at improving own skills
- Report writing and presentation graphic skills
- Advanced skills in using software applications such as Microsoft Excel, Word, PowerPoint; database applications, and internet search engines
- Managerial experience and proven success in managing a team
- Extensive PC skills desired with an emphasis in Excel and Word
List of Typical Experience For a Compliance Supervisor Resume
1
Experience For Trade Compliance Supervisor Resume
- Prior experience coordinating Sales & Use tax returns and meeting deadlines
- Flexibility regarding working schedule according to the needs of the business · Detail oriented with proven organizational
- Provide strong support for our Sales Teams across the footprint
- Monitor workflow and mentor Compliance Analysts to ensure efficiency and effectiveness of the department
- Works with relevant stakeholders to resolve and prioritize issues / initiatives related to compliance
- Experience working in a contact center (call center, customer support) or within payroll
- Experience in the administration of payroll, benefits, and/or HR policy
- Using understanding of DPS licensing and territories, manages the creation of bottler matrices
2
Experience For Bakery Compliance Supervisor Resume
- Monitors employees and volunteers to ensure they are following all alcohol policies; Ex. correct number of drinks served, checking ID’s, etc
- Assist bartenders with checking patrons’ identifications when necessary
- Ensure CTR filings and monetary instrument recordkeeping are completed accurately, timely and meet regulatory expectations
- Manage driver and owner operator onboarding process and exceptions
- Maintain/Create process documents, training material and work instructions as needed
3
Experience For Documentation & Compliance Supervisor Resume
- Perform various data analysis and reporting
- Proficient in Microsoft Programs including Office, Excel, Outlook, and PowerPoint
- Perform control walkthrough, operational testing and discuss the findings with the process owners
- Supervises reporting and analytics of case sales
- Seeks alignment with Regional and Global Compliance to ensure having aligned compliance and business processes in place
- Flexibility and can work under pressure
- Manage the team’s performance, quality, behavior and attendance
- Provide recommendations for program/vendor adjustments as well as program standards related to policies, processes and compliance requirements. Implement adjustments to current programs by partnering with vendors and other corporate services departments
4
Experience For Anti-money Laundering Compliance Supervisor Resume
- Can be responsible for informing the Company’s Management regarding the Performance of the Quality System. Facilitates and can Coordinate the Managerial Review Meeting including a Summary Report of the results of Internal and External Audits of the Corrective and Preventive System, Areas of Continuous Improvement, etc
- Is Responsible for keeping Updated on Internal and International Norms, and Coordinates efforts to Update Quality Systems (Transition): Training, Communicating new Norms, Changes in Documentation, etc
- 5- Participates in the Steering Committee in the design of ISO/QS-9000 Quality Systems, from Determining the Company’s Quality Policy, the Quality Objectives and the Method to Measure the achievement of the Quality Objectives related with the Client’s Needs and Expectations as well as the Corporate Objectives of the Company
- Coordinates the Response to Client’s Complaints and Product Failure Reports as well as their documentation according to the Requirements of the Quality System
- Maintain all drivers’ logs, qualification files, compliance information, safety even records, vehicle maintenance documents, etc. to ensure complete company policy and DOT compliance for all assigned facilities
5
Experience For Accounts Payable Compliance Supervisor Resume
- Owns, supervises and manages the site’s Discrepancy and Documentation system (This includes all documentation vital to an FDA inspection – SOP’s, Management of Change, Notices of Deviations, cGMP Training records, Batch Records, Non-conformances and Validations)
- Experience with multiple legal entities and multiple states sales tax filings
- Efficient in time management with strong attention to detail
- Collect, analyze and communicate trends of site Quality metrics and KPI’s
- Own the completeness, accuracy, validity and timeliness of budget and promotional data in Siebel for assigned planning accounts, and ensure promotional activity entered in Siebel is in compliance with the company’s pricing architecture
- Continuously seek out opportunities to improve processes and eliminate waste as part of the company’s continuous improvement culture
- Ensure compliance of alcohol service policy
6
Experience For Distribution Compliance Supervisor Resume
- Ensure event reports are completed accurately
- Hold pre-event meetings with the General Manager and other Alcohol Compliance personnel to include reviewing the requirements of the Policy, including without limitation the related procedures, processes and documentation
- Oversee Compliance Coordinator to ensure Political Files are accurately captured, uploaded, and distributed to the proper parties in compliance with FCC requirements
- Respond to internal and external client requests in a professional and timely manner
- Partner with Revenue Assurance Team on various compliance projects and requests
7
Experience For Safety & Driver Compliance Supervisor Resume
- Create and maintain knowledge base/informational databases to provide readily available compliance data to all internal business units as well as being a knowledgeable resource on matters of payroll and tax regulations
- System coding and/or auditing of required control file records associated with processing in all systems
- Proficiency with Microsoft Office to include working knowledge of Excel and Word
- Collaborate and discuss tax authority regulations and determine the best course of action to take to ensure compliant systems and processes with Compliance staff
- Training Compliance Analysts on compliance issues, proper analytic and testing procedures and current system functionality
- Proficiency with Microsoft Project Manager desired
- CPP certification is highly desired
- Oversee TWC.PS.Compliance Inbox, OTP E-Mails, and all other escalations to ensure all e-mails are responded to in a professional and timely manner
8
Experience For Human Resources Compliance Supervisor Resume
- Review all new and updated payment service policies with staff and provide feedback
- Update and maintain the Harmonized Tariff Schedule (HTS) database
- Oversee the C-TPAT program and perform risk assessments
- Audit all weekly exports to Canada, United Kingdom, and Mexico as well as other miscellaneous exports
- Create documentation for Return To Vendor (RTV), and file for duty drawback
- File SED’s (Shipper Export Declarations) for Puerto Rico, Mexico and the United Kingdom
- Back up the Customs Compliance Manager and Export Compliance Manager as needed
- Assist with returns from Canada and the United Kingdom
9
Experience For Quality & Compliance Supervisor Resume
- Monitor and consistently enforce company policies, procedures and safe work practices
- Assist in the accident/ injury review investigations/ review board, and safety committee
- Re-train and coach the High Risk Employees / Repeaters, ensuring constructive intervention with employees immediately following any safety incident and/or negative observation(s)
- Build relationships with internal and external customers/business partners
- Provide assistance, guidance and direction to the CTR/MIL team in day-to-day operations. Promote best practices, efficiency, and adherence to policy and regulatory requirements
- Assist with new and existing CTR exemption reviews, ensuring reviews are completed timely and documented in accordance with regulatory requirements and expectations
- Maintain a current awareness of the regulatory environment. Understand and stay current on the Red Flags and industry trends related to AML
- Knowledge of regulatory compliance processes and procedures
10
Experience For Trade Compliance Supervisor, UK Resume
- Knowledge of bank operations desired
- Review and complete incident reports
- Coordinate with management and event security to report and intervene when necessary
- Provide leadership, mentoring, guidance, and development for staff, encouraging growth and enhancement of individual skill sets; oversee the 24/7 on-call rotation
- Supervise fleet and driver permits and certifications
List of Typical Skills For a Compliance Supervisor Resume
1
Skills For Trade Compliance Supervisor Resume
- Superior interpersonal & communication skills; direct, clear and professional presentation of information
- Analytical skills with statistics and financial data
- Experience creating policies and workflows aimed at driving efficiency and compliance with company policies
- Experience in processing complex organizational transactions within an HRIT/HR Management System (i.e.: SAP, PeopleSoft, etc.)
- Supervises, schedules, and prioritizes tasks and responsibilities of the compliance team to meet workload and scheduling needs of the department
- Finance experience, including +3 years with compliance
2
Skills For Bakery Compliance Supervisor Resume
- Proven understanding of internal controls, risk management, financial systems, development and/or production support
- Experience in performing financial audits for financial processes and systems is a requirement
- Good technical understanding of Xylem’s product portfolio
- Operate computer and software programs and equipment
- Supervisory experience, an asset
- Maintain accurate product export and import classifications of goods (tariff, ECCN, ITAR) to meet regulatory requirements for shipments
- Experience with Top 5 audit firms
- Internal controls framework implementation experience for a large company
3
Skills For Documentation & Compliance Supervisor Resume
- Experience in regional or global audit/compliance is desirable
- Experience in a regulatory environment related to import/exports and trade compliance
- Lifting, sitting, stooping, bending, reaching, climbing stairs, etc
- Understanding of all department functions, serving as primary backup in the event of absence
- Reading from a computer or laptop monitor for several hours including fonts of various sizes from a variety of sources
- Correcting unsafe acts/conditions as identified by incident analysis and/or unannounced observations
- Willing to be assigned on an ANZ shift
4
Skills For Anti-money Laundering Compliance Supervisor Resume
- Maintaining and implementing company export and import compliance procedures and work instructions
- Partner with internal business units during implementation, testing and coding of systems in accordance with agency specifications and system functionality
- Assist the CTR/MIL Operations Manager in the day-to-day operations supporting large cash aggregation and reporting and the MIL recordkeeping process
- Provides internal/external patrol of Learning Center buildings and surrounding property
- Proficiency in the daily FTZ processing and backing up the FTZ Administrator as needed
5
Skills For Accounts Payable Compliance Supervisor Resume
- Ensure that all drivers have the required safety training and Core-Mark mandated Decision Driving Class, to compliment their current work assignment
- Handle technical details relating to international/domestic transportation, such as customs regulations, routing and necessary documentation
- Assist in achieving and maintaining "satisfactory" results or better on all internal and external audits, exams, and reviews
- Respond to guest complaints regarding alcohol service during events
- Intermediate to advanced Microsoft user including Excel, Word, PowerPoint and Outlook
6
Skills For Distribution Compliance Supervisor Resume
- Travel out of town for training on an occasional basis
- Work changing shift hours to meet customer needs
- Document the results of projects, including identification of internal control weaknesses and/or improvement opportunities
- Identifies compliance risks at the Center as well as opportunities to improve and achieve sustainable compliance in finance operations and reporting
- Works with Management Team to improve their understanding of compliance framework and operational compliance set by the Regional and Global Compliance
- Observe sale and service of alcoholic beverages by servers, including
- Serve as a point of contact with internal and external audit on all SOX related items, including reviews and workflows
- Partner with Subscriber Supervisor on ensuring all quarterly cycles are met in a timely manner in terms of subscriber workflows
- Research and identify gaps in current payment service policies and ensure compliance reporting is created by IT to minimize financial loss
7
Skills For Safety & Driver Compliance Supervisor Resume
- Assist with all reporting needs to communicate non-compliance issues to leadership as necessary
- Efficiently evaluate data, including financial data
- Establish/document standard operating procedures
- Ensure the team is informed of and adhering to the policy throughout assigned area(s)
- Risk assessment of incidents involving alcohol
- Identify opportunities to improve existing routines and processes
- Supervise 2 direct and 2 dotted line reports; provides leadership, coaching, feedback and direction to achieve department goals
- Profit sharing after one year of service
- EAR/ITAR License application processing
8
Skills For Human Resources Compliance Supervisor Resume
- Flexible schedule based on business needs
- Class A or B CDL license would be helpful, but not required
- Regularly required to use hands and fingers to handle objects, tools, or controls; and to talk or hear
- Frequently is required to walk, sitand stand
- Organization and detail oriented
- Oversees the preparation of letters and other correspondence to vendors, brokers, and other parties involved in export and import transactions
- Prepares vendors contracts in conjunction with Corporate Legal department
- Under direction of the compliance management, gather information and prepare periodic updates and metrics reports for import and export operations
- Assures that the monthly INEGI reports, are submitted. Supervise the coordination for scrap shipments and In-bond shipments. Oversees thta the review of the weekly pedimento is in compliance
9
Skills For Quality & Compliance Supervisor Resume
- Provide advise and guidance for trade compliance issues involving significant complexity and potential concern +A12+A23:C33+A23:C+A23:C32
- Review and approve Customs Broker Fees and Transportation Fees in a weekly basis
- Receives reports and provide follow up for any potential violations of trade compliance laws and compliance violations and any incidents involving significant weaknesses in processes or procedures
- Supervise ther review and validation of the HTS classifications of parts and materials
- Audit commercial invoices and shipping files for completeness, accuracy, and compliance with recordkeeping requirements and reports findings to trade compliance supervisor and/or other trade compliance management
10
Skills For Trade Compliance Supervisor, UK Resume
- Occasionally work in an environment where alcohol consumption and gambling occur
- Attend trade compliance seminars/conferences to maintain knowledge on regulatory updates and proposed changes
- Actively coordinate the UK team, included but not limited to host monthly conference call, schedule team meetings and drive initiatives through cohesive team approach
- Develop and provide trade compliance training plan across the GC’s in cooperation with the Regional TCM
- Interface and work across GC’s Regional Trade Compliance Managers to ensure trade compliance goals and objectives are communicate and understood
- Provide day to day direction on import/export compliance questions and requirements to individual business locations
- Coordinates and supervises follow-up process and ensure accurate and timely resolution of agreed actions e.g. monitoring of corrective action plans and remediation plans
List of Typical Responsibilities For a Compliance Supervisor Resume
1
Responsibilities For Trade Compliance Supervisor Resume
- Provide technical expertise on drug & alcohol program
- Provide leadership and technical expertise on national LCV program
- Oversee and prepare monthly reports
- Liaise with management team to communicate and inform on company standards and regulations
- Supervision of a team of eight - twelve
- Provide feedback and encourage learning by team members; create growth opportunities for others, transfer knowledge to others and challenge them to develop their own solutions
- Pro-actively seek opportunities for continuous improvement within the department and act upon findings to initiate improvements, presenting ideas in a persuasive way to gain support
2
Responsibilities For Bakery Compliance Supervisor Resume
- Provide excellent customer service to all internal and external Kiewit departments; understands Kiewit’s core business and promotes a sense of urgency toward business critical issues
- Make timely decisions with well-developed judgement, while considering alternatives, risks and other critical decision factors
- Develop and set a clear and compelling vision for the future, creatively consider alternative strategies to achieve future goals
- Anticipate and mediate conflict between individuals and groups; find a common ground and obtain cooperation
- Monitor daily team workloads and assist as backup when necessary
3
Responsibilities For Documentation & Compliance Supervisor Resume
- Strong verbal and written communication and presentation skills, clearly conveys messages and ideas, gains understanding; generates interest and holds attention, listens and is open to the ideas of others
- Make decisions and plans based on the vision, direction and long-term strategy of the organization, as well as experience in implementing strategies and of defining and establishing procedures
- High level of initiative with commitment and ability to work under pressure and meet tight deadlines while still maintaining high quality standards
- Motivate and coach individuals to develop their skills enabling them to achieve their best and to contribute to the overall success of the team and KBS
- Experience in a Medical Device manufacturer or equivalent
- Fulfill compliance services, which includes SOX Key Dates and Corporate requirements, as per Compliance SLA with the sectors
- Complete all standard Compliance document requirements - DCMs, Hand-off’s, SOPs and submission of required SOX templates (system inventory templates, SOX questionnaires)
4
Responsibilities For Anti-money Laundering Compliance Supervisor Resume
- Conduct all compliance due diligence for transitions in-scope
- Monitor and drive the Corrective Action Plan (CAP) process to ensure prior audit recommendations (CIA, PWC or regulatory agency) and key control gaps per SOX testing are implemented and to ensure that other internal control gaps are closed timely and effectively
- Work cross functionally with internal/external customers, suppliers, brokers, and carriers to ensure efficient movement of goods in and out of the US
- Administer annual Free Trade Agreement solicitation
- Review of customer contracts to monitor regulatory risks to the business (commercial and government)
- Collaborate with the department manager to minimize impact of regulatory change on operations
- Work with internal and external business partners to document, control and implement business processes, policies and work instructions as required
- Review transactional data to ensure field compliance with company policy
- Read and understand prints and GD&T
5
Responsibilities For Accounts Payable Compliance Supervisor Resume
- Knowledge of IPC standards A-610 and A-620
- Thorough knowledge of MS Outlook, Excel, Word, and Access
- Self-motivated, highly organized, and able to stay on task even when frequently interrupted
- Two years’ experience proficiently working with MS Office Excel with intermediate Excel functions (v-lookups, creating intermediate formulas, and pivot tables)
- Experience in service support function with comprehensive understanding of compliance and control, as well as service performance concepts, processes and procedures
- Experience leading and directing the work of others
- Able to work long shifts including weekdays, late nights, holidays and weekends
- In a management and/or supervisory role
6
Responsibilities For Distribution Compliance Supervisor Resume
- Able to work on one’s feet for long periods of time
- Acts as the liaison between Sales, Commercial Finance, and Trade Accounting teams to ensure timely and accurate clearing of customer deductions and management of open deduction backlog
- Leads the resolution of invalid activity and system issues for the team
- Provides formal supervision to individual employees
- Technical knowledge of NAFTA and other trade legislation, agreements and
- Sound EAR/ITAR/OFAC/FTR/US Customs regulatory knowledge
- Tariff and Export classification
7
Responsibilities For Safety & Driver Compliance Supervisor Resume
- Free Trade Agreement requirements
- FAR & DFARs regulatory knowledge
- Thorough knowledge of business operations and flow
- US and international requirements
- Coordinates the implementation of the SOX requirements set by Corporate Internal Audit, e.g. SOX 404 Key Dates
8
Responsibilities For Human Resources Compliance Supervisor Resume
- Monitors and improves business process compliance according to worldwide procedures (WWP), Internal Control Handbook (ICH), SOX Guidelines and Company policies and procedures set by Corporate
- Ensures business process documentation and SOPs (standard operation procedures) are up-to-date and compliant
- Drives communications for any change/updates in compliance and control environment between GS-Asia Pacific (Suzhou) and local finance
- Coordinates and supports the requirements of Regional and Global Compliance as well as Corporate Internal Audits (CIA). Coordinates Continuous Control Reviews conducted by CIA on a quarterly basis
- Establishes the capacity to report, as required, directly to the ATR & ITC Leads and dotted line to the Regional Compliance Manager/Head on matters of corporate importance
9
Responsibilities For Quality & Compliance Supervisor Resume
- Communicate department vision
- Liaise with driver agencies
- Ensure accurate completion and allocation of finances
- Manage the fuel card program and ensure controls are in place
- CPA License preferable
- Travel as needed (<5%)
10
Responsibilities For Trade Compliance Supervisor, UK Resume
- Leads team through change and process improvements. Leads the implementation of improvements to processes and systems. Coordinates the development and maintenance of policies, procedures, and controls
- Ensures the completeness, accuracy, validity and timeliness of budget and promotional data in Siebel for assigned planning accounts, and ensures promotional activity entered in Siebel is in compliance with the company’s pricing architecture
- Provides inputs and maintenance of WD National Accounts promotions in Siebel
- Supervise area staff
Related to Compliance Supervisor Resume Samples
Compliance Executive Resume Sample
Work Experience
• Assist with the development and implementation of the Group’s Sanctions Screening Programme at the global level, including supporting the Markets, Regions and Functions with identifying, assessing and appropriately mitigating business partnering risks
• Coordinate global initiative to collect and m...
Professional Skills
• Strong interpersonal skills including writ...
• Works well under pressure, meets deadlines...
• Results oriented, strong verbal and writte...
Compliance Lead Resume Sample
Work Experience
• Satisfaction of our client needs and effective of services; owning and resolving the majority of operational issues; reducing hand-offs and simplifying the client interface
• Delivery of effective and efficient service through centralized and standardized management, coordination, communication, an...
Professional Skills
• Demonstrates strong problem solving, decis...
• Strong project management skills including...
• Adapt to a changing environment and strong...
Compliance Manager Resume Sample
Work Experience
• Collaborate with LOB Compliance Officers, and other related groups, to design unique responses to internal clients’ needs in accordance with our compliances practices framework
• Training & Awareness
• Advise business personnel on specific compliance rules / regulations a...
Professional Skills
• Multi-task; to work in a team environment ...
• Excellent communication skills, including ...
• Strong project management skills including...
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 ...