Compliance VP Resume Sample
Lonie Schmidt
3999 Halvorson Grove,
Phoenix,
AZ
+1 (555) 336 2982
Work Experience
Compliance VP
10/2017
-
PRESENT
Phoenix, AZ
- Providing advice to the GCB and CB business (at all levels) on regulatory issues, including updates, and assist in assessing the impact of any new regulations across the legal entities in Japan where the GCB and CB business resides, working closely with Treasury Service compliance officers, AML compliance officers, control room and other relevant compliance officers
- Identify and assist in resolving compliance control gaps and make recommendations for enhancements where necessary
- Contributing to the engagement with local regulators and law enforcement agencies concerning the conduct of business in Japan or involving Japan aspect
- Conducting training and communication activities to ensure that employees are familiar with all relevant laws, regulations, policies and procedures
- Supporting the business with client related activities where appropriate - client seminars and training
- Leading and contributing to the implementation of policies and procedures both lines of business specific or location/legal entity wide
- Advising management in the development of procedures and policies
- Participate in special projects as needed to support the Compliance agenda
Equities F&O Compliance, VP, Singapore
01/2011
-
05/2017
Detroit, MI
- Leading and contributing to the location wide initiative for regulatory inspection, supervision/monitoring, and represent the GCB and CB lines of business
- Leading the impact analysis of regulatory change on the firm’s policies relating to the above activities
- Collaborate with the businesses to understand any grievance, identify the potential cause, and determine the required remediation required, as well as assist the businesses in responding to the customer
- Design processes and systems for identifying, measuring, and reporting data regarding key compliance risk indicators
- Conduct analyses of data to identify risks and root causes for Senior Management
- Deploy technology and guide the team to facilitate remediation activities
- Implement and execute QC test plans for assessing operational, regulatory, and servicing risk
Infrastructure Compliance VP
01/2004
-
08/2010
Houston, TX
- Use learnings to develop new strategies, systems, and technologies for addressing risks relating to consumer business operations and approach
- Assist the relationship with regulatory agencies, examiners, internal auditors and other company team members and assists with action plans created as a result of examinations, audits or internal testing
- Great opportunity for an individual to build relationships across BlackRock’s businesses and Compliance teams both within UK and more globally
- Interaction with senior individuals across the firm
- Opportunity to bring fresh perspectives and innovation to drive evolution of processes
- Execute on documentation and execute scheduled requirements reviews and check-ins
- Compile and manage assigned relational table database elements (e.g., MS Excel, MS Access, Sybase, SharePoint)
- Your main job responsibility would be monitor external regulatory requirements and implement them in cooperation with responsible departments into company; create internal rules system; monitor adhering to internal and external rules; supervise compliance in company´s subsidiaries in China; cooperate with Head quarter
Education
American InterContinental University (AIU)
1999 - 2003
Bachelor's Degree in Business
Professional Skills
- Balance competing priorities in a fast-paced organization and respond effectively to changing priorities
- Existing Compliance knowledge and 7+ years’ experience from an Institutional Investment Firm or working in a Compliance department or with a regulator
- Experience performing trade surveillance and monitoring and pre-trade compliance reviews with time spent in a direct investment firm
- Demonstrated success in building and managing a compliance program
- Experience in risk/compliance/banking role, preferably with exposure on corporate banking business
- Partner and collaborate effectively with stakeholders
- Strong knowledge of financial products and financial market processes
How to write Compliance VP Resume
Compliance VP role is responsible for reporting, equities, trading, database, training, securities, finance, retail, communications, lending.
To write great resume for compliance vp job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance VP Resume
The section contact information is important in your compliance vp 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 VP Resume
The section work experience is an essential part of your compliance vp 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 vp 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 vp position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance VP resume experience can include:
- Support the Core Team Director and other Core VPs to co-ordinate and deliver the wider Core Team’s Strategic priorities
- Strong awareness and relationship of the local regulatory environment and PRC regulators
- Experienced Institutional Investment Compliance knowledge
- Supporting AB&C Sensitive Supplier due diligence reviews and monitoring activities
- Deep understanding of Corporate Banking, TB products and practices and related regulatory requirements
- Prepare and maintain the filing of the firm’s various regulatory reports and filings
Education on a Compliance VP Resume
Make sure to make education a priority on your compliance vp resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance vp 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 VP Resume
When listing skills on your compliance vp 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 vp skills:
- Strong analytical and (written and oral) communications skills
- Experience in a Compliance or Audit role in Banking and Financial Services industry, experience in Institutional Banking is an additional asset
- Proven expertise in delivering high quality work products, reflecting attention to detail and analytical prowess
- Strong understanding of retail focused businesses
- A strong understanding of the FCPA and UK Bribery Act. Knowledge of local country AB&C laws is an advantage
- Intimate knowledge of the PRC operating and regulatory environment, with preference for candidates who have strong regulatory relationships with PRC regulators
List of Typical Experience For a Compliance VP Resume
1
Experience For Equities F&O Compliance, VP, Singapore Resume
- Good Microsoft-Excel, -Word, -Outlook and -Powerpoint knowledge
- Responsible for the daily surveillance of equity separately managed accounts, ERISA and mutual funds
- Conduct daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Watch & Restricted Lists, Front-running and Insider Trading policies
- Daily advisory to Private Banking Business
- Participate with advisory in New Business Approval processes
2
Experience For Baam Compliance VP Resume
- Participate in Control Meetings
- Risk assessments for Compliance and Global Financial Crimes
- Coverage of Compliance Policies, Procedures
- Review of client documentation for legal entities
- Coordination of internal and external audits
- Analysis of impact and Implementation of new laws and regulations
3
Experience For Infrastructure Compliance VP Resume
- Apply legal and regulatory requirements to practical situations
- Proactive and with a Hands-on Attitude
- Evaluate regulatory developments
List of Typical Skills For a Compliance VP Resume
1
Skills For Equities F&O Compliance, VP, Singapore Resume
- Training - Develop training materials and provide training to Institutional Equity Department staff
- Dealing with industry regulators with respect to examinations and routine inquiries and achieving successful outcomes; and,
- Assisting the chief compliance officer with the review of client engagement documentation and marketing materials
- Advising all areas of the business on regulatory requirements with a specific emphasis on trading
- Work with tax reporting colleagues to advise about critical business and regulatory due dates and identify and mitigate tax withholding exposure risk
- Participate in the ongoing implementation and execution of BAAM’s Compliance Testing Program
- Surveillance. Work with the Surveillance team on investigating irregular trading activities, document findings and help prepare regulatory responses. LI-GK2
- Understand and advise operations and technology teams how to incorporate regulatory changes into the operating and systems environment
- Identify and implement process improvements including centralization of functions across the tax space
2
Skills For Baam Compliance VP Resume
- Knowledge of asset management business and products, including mutual funds, closed-end funds, ETFs, hedge funds, bank collective funds and separately managed accounts
- Exceptional judgment, demonstrated ability to make sound decisions and be creative in developing alternative solutions, while preserving the Firm’s risk and control standards
- Compliance experience and 5 years leadership experience
- Develop and deliver effective training programs
- Relevant experience in compliance, risk management or regulatory related functions
- Work independently as well as be an excellent team player
3
Skills For Infrastructure Compliance VP Resume
- Liaising with colleagues in other regions with respect to ad-hoc or urgent initiatives, as necessary
- Quickly grasp complex concepts, including global business and regulatory matters
- Sound knowledge of Compliance relating Cash Equities and FICC products
- Inspire trust and confidence and influence all levels of the organization
- Drive and achieve business objectives
- Develop and implement compliance policies and procedures
- Perform compliance testing to ensure the adequacy of the firm’s compliance program, including testing adherence to the firm’s policies regarding best execution, allocation, insider trading, and related matters
- Reviewing and assessing gift, entertainment and hiring requests to identify any bribery and corruption risks, and ensure compliance with Citi’s AB&C policies
- Excellent written and spoken English. Knowledge of another Asian language is an advantage
4
Skills For Consumer Banking Compliance, VP Resume
- Advise the business on their day-to-day operations as well as their strategic initiatives
- Respond to regulatory requests and other information requests
- Owning, from a compliance perspective and supporting from a business perspective, the evolution of the processes underlying compliance with the FCA Approved Persons regime (‘APER’) and moving forward the Senior Managers and Certification regime (SMCR) and accompanying Training & Competence (‘T&C’) program
- Supporting the firm’s Complaints handling policy and procedures,
- Regulatory interaction – Help develop and manage the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive
5
Skills For Core Compliance, VP Resume
- Review and resolve pre-trade compliance exceptions generated via the adviser’s order management system
- Licensing and Registrations – responsible for ensuring the employees in the relevant business units are properly licensed and registered with the applicable authorities to perform financial activities and support maintaining their licenses
- Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes
- Regulatory interaction - Help develop and manage the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive
- Partner with the Federation in order to conduct and supervise its activities in compliance with regulations and firm policies, help to reduce the firm?s regulatory and reputation risk, and reinforce the firm?s culture of compliance
- Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent and detect improper conduct. Manage the day-to-day operation of the Compliance Program
- Develops and periodically reviews and updates the Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
- Build and direct a comprehensive incident management system, including hotline, providing the organization a system to capture, investigate, manage and ensure action plans are established and completed for ethics and compliance matters across the organization
6
Skills For Corp-compliance VP Private Banking Resume
- Respond to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for consistent handling of such violations
- Lead the company’s enterprise risk management efforts to Identify potential areas of vulnerability and impact; develop/implement risk responses to mitigate risks more effectively
- Coordinate compliance risk assessment to drive compliance program priorities and plan
- Provide reports on a regular basis, and as directed or requested, to senior management informed of the operation and progress of compliance efforts
- Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Hotline; (b) heightened awareness of the Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures
- Works with various functions as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers. Lead cross functional team to review corporate wide training needs
7
Skills For Compliance, F & S Compliance, VP, Irving Resume
- Monitor the performance of the Compliance Program and activities on a continuing basis, taking appropriate steps to improve its effectiveness
- Good grasp of Spanish and International Banking
- Training and Education on Compliance Topics
- Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses
- New regulation applicable to Private Banking
- Approval of marketing materials
8
Skills For Compliance VP Core Compliance Resume
- Regulatory Reporting and Disclosures
- AML Monitoring, AML controls framework
- Enjoy teamwork and being a team player
- Trade Surveillance, Desk reviews and Test Checks
- Execution of the annual Compliance Plan
- Investment company-related compliance
- Diligence and attention to detail
9
Skills For Compliance, F & S Compliance, VP-jersey City Resume
- To review the filing with CBRC and any other regulatory bodies to ensure such can meet with the regulatory and compliance requirements prior to formal submission
- Liaise with local business AML/Compliance to handle different types of AML sanctions issues and investigation
- Proficiency in written English and Chinese
- Compliance Reviews - Conduct Desk Reviews of Morgan Stanley’s China businesses to monitor for compliance with policies and procedures and prepare draft reports of findings for management
- Partnership with the LCD team at Morgan Stanley’s JVs - Ensure the best practice to Morgan Stanley’s standard can be observed in the China JVs. LI-LT2
10
Skills For Tax Compliance VP Resume
- To provide support and advisory to Corporate Banking Business and make ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businesses, in accordance with compliance standards
- Experience in risk/compliance/banking role, preferably with exposure on corporate banking business
- Advisory: Provide advice either independently or with other team members on regulatory compliance issues across all Morgan Stanley’s businesses in Singapore and the region
- Desk Reviews and Monitoring: Ensure compliance with laws, rules, and regulations and the Firm’s policies, procedures and standards by conducting periodic desk reviews of the firm’s activities, through interviews and test checks
- SGX/MAS: Understand the regulators’ rules and regulations and working on regulatory inspections and internal/external audits, as well as any ad-hoc regulatory inquiries
- Persuasive with excellent communication skills on all levels in order to present views to senior management and to explain technical requirements
- Excellent Spanish and English knowledge (written and spoken)
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