Director, Compliance Resume Sample
Elroy Spinka
69627 Dickinson Shores,
Phoenix,
AZ
+1 (555) 459 7096
Work Experience
Director, Compliance
07/2017
-
PRESENT
Philadelphia, PA
- Develop and ensure implementation of Enterprise compliance policies and procedures throughout the organization including the dissemination of written policies and procedures
- Draft policies that clearly communicate relevant compliance requirements to applicable lines of business, global functions and Compliance organization
- Partner with Compliance Training & Outreach to design employee training on relevant compliance policies, and/or procedures
- Serve as a point of contact for employees to seek clarification on compliance policy issues or interpretation
- Keep informed regarding pending regulatory and industry changes, trends, and best practices and assess the potential impact of these changes on compliance policies
- Prepare management reports regarding compliance policy effectiveness
- Directs and assigns projects and provides guidance to Senior Managers, Managers and other Compliance staff, as appropriate, to improve the efficiency of the department and of the division's Compliance procedures
- Recommends corrective action or revisions to the divisions' policies and procedures based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations and/or industry trends as appropriate
Director‚ Compliance Consulting
10/2012
-
05/2017
New York, NY
- Assists the legal department with regulatory examinations, corporate audits, and Internal audits
- Leads the team by maintaining awareness of major regulatory changes affecting assigned business(es)
- Ensures appropriate development and communication of policy/ procedure changes to remain fully compliant with applicable laws and regulations
- Effectively interfaces with senior Compliance and business management regarding relevant compliance obligations, including key risks and controls within compliance areas
- Coordinates with the Directors of other compliance testing teams to align activities across the testing universe (i.e. planning of horizontal reviews across business lines/entities and cross-functional testing, including integrated reviews with the Technology testing group)
- Sets standards for testing methodologies and techniques, and oversees the development of testing procedures
- Management of Client Complaints, Arbitration and Litigation
Director of Compliance
09/2009
-
07/2012
Houston, TX
- Create and update all SOP’s that are relevant and enforceable to each specific department within USC Hospitality
- Evaluate and communicate all USC and HR related SOP’s that are relevant for the department to Operations and Administration in order to ensure compliance with University-wide policies and procedures
- Perform trainings for new SOP’s and annual refresher trainings
- Responsible for audits and reporting of compliance with all SOP’s and Standards that are instituted by USC Hospitality and/or Auxiliary Services
- Managing the design, calibration, sensitivity thresholds and ongoing operation of the Bank’s automated monitoring systems commensurate with the inherent risks in various business lines for branches and subsidiaries of Scotiabank
- Evaluating the potential risk posed by activity reported by branches and subsidiaries and where appropriate, assesses its group wide exposure to a given customer. Follow the Bank’s policies and procedures for ascertaining whether branches or subsidiaries hold other accounts for the same party and assessing the group-wide reputational, legal, concentration and operational risks
- Maintain a thorough knowledge of a broad scope of business activities, products and services throughout the Bank’s divisions including retail, commercial, wealth management and investment banking
Education
University of Phoenix - Indianapolis Campus
2003 - 2008
Bachelor's Degree in Business
Professional Skills
- Recognizing, assessing, and proposing solutions to compliance/regulatory concerns; monitor, and participate in formulation of responses to external regulatory and legislative actions, tax changes, legal issues, and audit matters, and follow up on findings and action items
- Excellent organization and prioritization skills, including the ability to prioritize based on regulatory risk and business needs
- Proven client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues
- Strong negotiation skills with experience influencing and leading organizational change
- Strong Process Engineering, Analytical and Project Management Experience skills
- Proven strong relationship & communication skills
- Excellent interpersonal and strong written & verbal communication skills
How to write Director, Compliance Resume
Director, Compliance role is responsible for compliance, interpersonal, organizational, presentation, business, analytical, regulatory, leadership, research, negotiation.
To write great resume for director, compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Director, Compliance Resume
The section contact information is important in your director, compliance 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 Director, Compliance Resume
The section work experience is an essential part of your director, compliance 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 director, compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular director, compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Director, Compliance resume experience can include:
- Provide ongoing education for the Mason community (student-athletes, coaches, staff, and university administrators) with regards to university, Atlantic 10 Conference and NCAA rules
- Prior client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues
- Select, develop, and motivate qualified staff to effectively carry out department functions and provide for the continuity of managerial and specialized skills
- Experience managing and developing junior staff and effectively leading teams
- Proven experience is work force management and experience in developing analytical reporting for resource planning
- Skilled at understanding competing priorities with the ability to prioritize tasks and work well under pressure
Education on a Director, Compliance Resume
Make sure to make education a priority on your director, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your director, compliance 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 Director, Compliance Resume
When listing skills on your director, compliance 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 director, compliance skills:
- Proven client relationship experience; giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues
- Demonstrated ability to communicate effectively with peers and senior management, both orally and in writing, and the ability to effectively influence others
- Excellent Microsoft office suite skills, with focus on excel skills
- Strong leadership, organizational, interpersonal and analytical skills and the ability to function effectively in a fast-paced environment
- Excellent interpersonal skills, ability to facilitate teams and resolve conflict effectively
- Excellent interpersonal communication skills with ability to effectively interface with others
List of Typical Experience For a Director, Compliance Resume
1
Experience For Director of Compliance Resume
- Exceptional oral and written communication skills, presentation capabilities, interpersonal skills and strong problem solving/conflict resolution skills
- Outstanding leadership, management, interpersonal and prioritization skills
- Strong interviewing and listening skills, essential for case-work development
- Proven experience of delivering Business Development in an international professional service environment with a strong and active personal network
- Excellent organizational, multitasking, communications, and public relations skills
- Develop a cohesive team, maintain and reinforce a strong quality presence, encourage positive relationships and network effectively across functional areas
2
Experience For Director Compliance Resume
- Excellent written and verbal skills with the ability to communicate professionally to all levels within the organization
- Effectively prioritize multiple risks and obligations
- High level of organizational and strong communication skills required
- Effective and self-motivated leader possessing strong work ethic and demonstrated team player
- Excellent presentation and report design, preparation and delivery skills
- Understanding of attorney-client privilege, investigative and interview skills, and the ability to manage controversy without bias and to all parties
- Proven experience developing, implementing, monitoring, implementing, and sustaining a restitution program in a complex matrix environment
- Proven experience producing compliance reporting and trending to various stakeholders
3
Experience For Associate Director, Compliance Resume
- Managerial level report writing skills
- Proven experience in a financial services regulatory compliance role, for example within a regulator, a regulated firm or a consultancy
- Sound business and compliance judgment, and the ability effectively to communicate the basis for the judgments he or she makes
- Implementing and fully operationalizing the 8 elements of an effective compliance program including
- Experience in various facets of the mortgage banking including but not limited to compliance, origination, processing, closing, and post-closing
- Advanced Compliance or legal experience to including managing exams, analyzing new laws and regulations, testing and monitoring
4
Experience For Senior Director, Compliance Resume
- Experience in developing, implementing and operationalizing Compliance Testing and Monitoring programs
- Experience in selecting, implementing, and managing IT systems
- Strong working knowledge of all relevant rules and regulations, Codes and Guidance pertaining to retail intermediaries, including MiFIDII
- Experience with Real Estate (including Home Equity) originations, processing, closing processes and regulations
- Demonstrable experience in building and managing project teams to address complex issues
- Demonstrable experience in building and managing project teams to address complex issues and deliver practical, commercial solutions
- Experience managing complex initiatives from conception through rollout and ongoing support at multiple levels of an organization
- Experience interacting with and influencing management to build consensus
5
Experience For Senior Director Compliance Resume
- Experience interpreting or administering federal and state laws and regulations
- Prioritise projects and assignments whilst meeting tight and demanding deadlines
- Experience in managing and applying policies and requirements of outside agencies to a work environment
- Five (5) to eight (8) years’ of work experience, regarding qualitative research and writing
- Experience with data analytics and/or predictive modelling is helpful. Understanding of IT security control programs is also considered ideal
- Significant charitable and/or estate planning experience
- Proactively make recommendations on the development and assessment of corporate compliance programs, training, adherence and effectiveness
- Experience in interacting with Regulatory Authorities e.g. regulatory inspections
6
Experience For Director, Compliance Consulting Resume
- Previous experience working with a University and/or federal, state or local regulatory authorities
- Assure timely, effective distribution of comprehensive, accurate compliance reporting to managers, executives and others with a need to know
- Develops and deploys effective communication and education regarding the Business Ethics and Compliance Programs
- Experience in project managing investigative/research cases and/or investment advisory
- Conduct evaluations of the effectiveness of compliance and ethics training and communications programs
- Solid understanding of general investment processes for various asset classes
- Auditing experience & SoX Controls
- Strong organizational, interpersonal, and decision-making abilities
- Provide tools and evidences to internal colleagues to adequately respond to Review and attend to requests from customers pertaining to compliance matters
7
Experience For Assistant Director, Compliance Resume
- Manage and prioritize several projects and assignments simultaneously while meeting tight deadlines
- Skill in group presentation and public speaking
- Demonstrated knowledge of the U.S. healthcare systems, including expertise in health care and reimbursement policies related to the pharmaceutical industry
- Experience with and knowledge of NCAA rules and regulations
- Experience with NCAA Compliance Assistance Software
- Help guide the department’s strategic plan based on priorities derived from internal audit’s annual risk assessment
- Maintains the effectiveness of the Business Ethics and Compliance Program core processes
- Experience in relevant industry, e.g. Corporate Compliance, Training
8
Experience For Assistant Athletic Director, Compliance Resume
- Proven ability to implement compliance programs
- Proven ability to work in a cross-functional environment without direct authority
- Proven ability to independently problem solve, analyze, and assess
- Experience in Investment Management Compliance or in a similar role
- Extensive compliance experience within an investment environment or in asset management
- Demonstrated abilities to influence without authority, lead teams and develop/foster relationships with senior leadership
- Exercise good judgment in assessing significance and relevance of compliance risks
- Establish policies and standards of behavior with clear explanations and effective training in local languages
- Experience with information security techniques, strategies, and methodologies for SaaS providers
9
Experience For Corporate Director, Compliance Resume
- Monitor the effectiveness of the compliance program; conduct periodic risk assessments and adapt the compliance program based on the assessment results
- Demonstrated capability and discernment to advise the Board and all levels of management on compliance matters
- Effectiveness in multicultural and multinational environments
- Demonstrated ability in both program management and change management
- Establish effective working relationships and build credibility within eClinicalWorks to support a culture of ethics and compliance
- History of self-motivation, working independently on projects, meeting aggressive deadlines, and ability to multi-task and manage competing priorities
- Compliance professional and/or relevant compliance monitoring experience, with at least 5 years working in a pharmaceutical or biotechnology company
- Maintain an independent and objective perspective while developing and maintaining a strong partnership with client organizations
10
Experience For Associate Director Compliance Ops Resume
- Overseeing the company’s internal and external compliance monitoring and auditing, including external reporting as necessary
- Reviewing new business opportunities covering a wide range of payment acceptance channels and providing corresponding risk assessments
- Developing the Firm’s intellectual property including compliance manuals, policies and client monitoring programmes
- Providing influence on, and interpretation of, the Upstream Risk and emerging Regulatory agenda including the bank’s response to regulation
- Developing & implementing annual compliance report process and supporting the 206(4)-7 compliance program
List of Typical Skills For a Director, Compliance Resume
1
Skills For Director of Compliance Resume
- Strong written, oral communication and presentation skills with proven experience interacting with senior leaders
- Strong organizational skills, with the ability to apply good judgment and resolve ambiguities
- Developed accounting, finance and analytical skills including experience with cash management, forecasting, revenue
- Your experience interacting effectively and building relationships with peers, all levels of management
- Effective decision-making skills; can choose a prompt course of action amongst options involving uncertainty or risk
- Strong teaching, training, and communication skills
- Strong interpersonal skills with the ability to negotiate and influence others at all levels, including senior management
- Strong problem-solving skills; encourages new innovative solutions when appropriate
- Strong influencing skills and ability to work across functions to enable other groups to take on and own compliance initiatives
2
Skills For Director Compliance Resume
- Strong computer skills and proficiency with Microsoft Office, including Word, Outlook, PowerPoint and Excel
- Strong communication, organizational and supervisory skills and essential
- Excellent English skills
- Strong problem-solving ability, leadership skills and organizational ability
- 6 A team player with strong written and communication skills in English and Cantonese
- Strong analytical and research skills, able to synthesize information to provide practical solutions to accomplish meaningful results
- Demonstrate confident leadership, sound judgement and problem solving skills
3
Skills For Associate Director, Compliance Resume
- Excellent organizational and time-management skills, with an ability to meet tight deadlines on multiple projects in a fast-paced environment
- Strong supervisory, leadership, computer and organizational skills
- Proven relevant work experience either within compliance, legal, regulatory or audit experience pertaining to wealth management
- Excellent oral and written communication skills with the ability to provide clear and concise analysis and recommendations
- Strong quantitative and analytical skills and general knowledge of risk management practices
- Proven ability to communicate effectively in a variety of difficult and sensitive situations
- Demonstrates high integrity and works effectively with other USACS leaders to facilitate open communication and operational excellence
- Influencing and persuasive communication skills (both written and verbal)
4
Skills For Senior Director, Compliance Resume
- Continually develop skills in the area of government pricing and contracting by attending industry, government and private conferences and symposium
- Analytical skills including problem solving
- Strong knowledge and experience working with Policy, Audit,
- Your ability to effectively multi-task and balance day-to-day responsibilities with longer term projects in a fast-paced and challenging environment
- Performance standard; works effectively by using a highly collaborative style
5
Skills For Senior Director Compliance Resume
- Audit experience including 5+ years managerial experience
- Solid Compliance experience including Foreign Corrupt Practices Act, UK Bribery Act and other anti-corruption statutes
- Proven experience communicating directly with identified constituents via oral, written and electronic communication
- Significant experience and proven track record in managing project execution teams with project, technical, and operational responsibilities
- Eleven (11) or more years of relevant experience, preferably in banking or financial services; or an appropriate combination of education and experience
- Effectively manage large volumes of paperwork
6
Skills For Director, Compliance Consulting Resume
- Prior experience or familiarity with NCAA applications (e.g., LSDBi, RSRO, CAi)
- Related work experience related industry experience dealing with compliance monitoring
- Gaming compliance experience or experience in a similar fast-paced regulatory work environment
- Proven experience influencing, collaborating and briefing senior management
- Proven experience building and conducting regulatory assessments and associated reporting
7
Skills For Assistant Director, Compliance Resume
- Experience in sales/marketing or experience supporting sales/marketing or the commercial business
- Proven experience in leading change, assessing impact, and developing communication plans for change management activities
- Proven experience in building processes and conducting exam management
- Prior experience working in or supporting collection businesses
- Proven experience managing and leading a staff in the development and implementation of the Enterprise Restitution and Remediation program
- Proven experience managing high volume output within a complex testing environment
- Experience interfacing with regulatory agencies (OCC, FED, CFPB, and FDIC) or direct experience as a regulator/Bank Examiner
- Proven experience in developing internal controls and regulatory risk assessments to identify compliance process risks and issues
- Proven experience in providing oversight to partners within a complex matrix environment
8
Skills For Assistant Athletic Director, Compliance Resume
- : Previous oilfield services experience (on and offshore), including previous management experience required
- Prior experience managing compliance for a broker-dealer, to include both operational and sales practice aspects
- Demonstrated ability to assist business partners find efficient and effective means of satisfying compliance requirements
- Proven experience with issues management, regulatory change management, and compliance monitoring/oversight
- Demonstrated experience leading teams or project groups to successfully implement compliance requirements or mitigate compliance risks
- Extensive knowledge of processes, organization structure and proven experience navigating in a large organization
- Organizationally savvy and relationship building skills
- Exceptional professional communication, analytical, and writing skills
- Demonstrate strong knowledge of compliance risks and the prevention and mitigation processes and controls
9
Skills For Corporate Director, Compliance Resume
- At least four years of experience, as it relates to the position, in NCAA compliance or academics with demonstrated comprehensive knowledge of NCAA regulations
- At least four years of experience, as it relates to the position, in NCAAcompliance or academics with demonstrated comprehensive knowledge of NCAA regulations
- Exercises good judgement and skill related to research and regulatory interpretation
- Excellent experience with Microsoft Word, Excel, and PowerPoint software
- Extensive business development experience and a strong network within private equity
- Outstanding interpersonal, cultural and communicational skills
10
Skills For Associate Director Compliance Ops Resume
- Prior experience as a manager of people, or equivalent informal leadership roles
- Proven compliance experience with HMDA and TRID
- Presentation and client relationship skills
- Exceptional industry acumen, relationship-building skills and ability to deal with internal/external resources across various LOB's
- Bring ‘one step ahead’ forward thinking to the identification, assessment and prioritization of risk, issues and challenges
- Training or presentation experience in individual or group situations
- Substantive experience in developing, implementing and overseeing compliance programs
- Experience developing, deploying and maintaining compliance program policies
- Experience interacting with all levels of an organization, including executive leadership
List of Typical Responsibilities For a Director, Compliance Resume
1
Responsibilities For Director of Compliance Resume
- Strong analytical and problem-solving skills with good practical judgment
- Excellent verbal and written communication skills that are effective with all levels of personnel
- Strong team building, problem solving and analytic skills including problem identification, analysis, and resolution
- Critical thinking and logical problem solving with strong written and verbal communication skills
- Strong judgment and decision making skills related to compliance related topics
- Excellent analytical, project management and interpersonal skills
- Excellent written and communication skills, with ability to influence
- Ability to work independently and take initiative; strong time management skills
- Effective change management skills
2
Responsibilities For Director Compliance Resume
- Strong verbal and written communications skills
- Solid communication and influence (negotiating) skills
- Effective communication skills along with the appropriate tact and diplomacy
- Adept at handling complex project planning management issues including the ability to effectively delegate tasks
- Experience with the development or execution of written policies, guidance, laws, rules or regulations, or other significant drafting or writing experience
3
Responsibilities For Associate Director, Compliance Resume
- Effectively communicate with all levels of the Company regarding compliance matters and initiatives
- Prior experience building and leading a commercially successful team
- Communicate and negotiate effectively at all levels throughout the Company
- NCAA Division I compliance related experience on campus, at the NCAA national office or in a Conference office setting or legal experience
- Expert verbal and written communication skills with ability to impact and successfully negotiate/persuade peers and others
- Management strategies, long-term capital expenditures planning and project management skills
- Translates business needs into what needs to get done; ensures that all work is completed effectively; maintains high
4
Responsibilities For Senior Director, Compliance Resume
- Possesses exceptional communication and presentation skills
- Proven record of complex problem solving, influence management and decision-making ability in a fast-paced, dynamic environment
- Good understanding of regulatory requirements that apply to the financial services sector and banking operations
- Experience with Personal and Commercial Banking and expert knowledge and understanding of the business unit’s product line
- Solid understanding of Scotiabank’s Global Compliance processes and ways of working
5
Responsibilities For Senior Director Compliance Resume
- Experience working with auditors in producing SOC 2 and ISO 27001 reports
- Responsible for managing both dotted and solid line resources and completing mid-year and year-end performance reviews
- Demonstrated success in partnering with the business and influencing others
- A solid understanding of U.S. pharmaceutical laws, including regulatory and compliance issues
- A solid understanding of laws pertaining to interactions with healthcare providers (Anti-Kickback, False Claims etc.)
- Possess a valid driver’s license and maintains a low-risk driving record and is insurable by the University
- Establishes and fosters effective working relationships and builds credibility within USACS to support a culture of compliance
- Contribute to maintaining strong institutional control in all aspects of NCAA, Pac-12 Conference, and University of Arizona Athletics rules compliance
- Strong understanding of the Compliance Management Systems and the regulatory frameworks that apply to financial institutions
6
Responsibilities For Director, Compliance Consulting Resume
- Experience with Commercial Banking would be an asset
- Facilitate timely and effective decision making
- Ensure proper and effective supervision and monitoring is conducted and thoroughly documented
- Experience/comfort working with senior managers, Office of General Counsel and external regulatory agencies
- Experience working in a Division I Compliance program
- Experience managing compliance policies and procedures in a Commercial organization
- PM experience managing medium to large programs in Compliance, Audit, and Risk
7
Responsibilities For Assistant Director, Compliance Resume
- Experience working within corporate compliance programs
- Effective training and education
- Manage all elements of an Effective Compliance Program based on the US Sentencing Guidelines and best practices
- Progressive experience working in compliance or a compliance related field at an institution of higher education
- Experience and competence with various software packages; word processing, spreadsheets, databases
8
Responsibilities For Assistant Athletic Director, Compliance Resume
- Ten (10) years experience managing a compliance program
- Three years of experience working in a NCAA Compliance office
- Experience working at Division I FBS level
- Previous experience with ARMS recruiting software
- Previous experience with NCAA bylaws 14 (Eligibility), 13 (Recruiting), & 12 (Amateurism)
- Solid analytical and solution driven mindset
- Strong emotional intelligence and self-awareness required
9
Responsibilities For Corporate Director, Compliance Resume
- Collaborate with other leaders and team members to enable and support effective audit and risk practices throughout the company
- Help build effective performance and recognition incentives to help employees conduct business ethically and minimize risk to the Company
- Assisting in strengthening SHC’s culture of compliance by developing compliance-related awareness at all levels within SHC
- Developing and implementing monitoring plans
- Managing and delivering compliance projects and monitoring programs
- Developing and delivering compliance training at company and departmental meetings
- Understanding of compliance, operational and risk understanding investment advisory and broker-dealer businesses
- Serving as subject matter expert and helping draft ADV brochure updates for annual updates and filings
10
Responsibilities For Associate Director Compliance Ops Resume
- Establishing the Compliance framework for the US Vaccines business, including the Compliance Committee and associated Charter
- Providing advice to the business on regulatory and conduct risks arising from business changes and regulatory changes
- Promoting awareness of compliance through training and stakeholder engagement
- Leading and mentoring junior staff members
- Updating of MAAC Constitution, Bylaws and Administrative Agreements
- Understanding of Market Access and Healthcare delivery
- Working knowledge of LSDBi and/or Compliance Assistant and/or the NCAA Eligibility Center and/or ACS/FrontRush
- Advising Commercial/Medical business functions on matters related to their business activities, processes and programs
- Setting up regularly scheduled Compliance Committee meetings
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