Global Compliance Resume Sample
Devin Corkery
741 Beau Centers,
Houston,
TX
+1 (555) 349 2135
Work Experience
Global Compliance Manager
11/2015
-
PRESENT
Los Angeles, CA
- Communication content – the team is currently developing models to identify contextually
- Specific areas of responsibility include: supporting the Canadian Global Compliance Management Information (GCMI) team in producing and managing AML and regulatory compliance metrics, data collection, AML and regulatory compliance reporting, audit management, AML/ATF developments, and risk management
- Provide support to the GCMI team with various projects and initiatives aimed at making sure that HSBC Canada is complying with all relevant Canadian regulations and internal
- HSBC group compliance requirements associated with FCC/RC matters
- Support the Company’s compliance and sustainability efforts related to corporate governance, product development, and vendor management
- Support and collaborate with the Company’s global compliance resources
- Manage product supplier audit program and product supplier due diligence program to include third party auditor management, internal supplier audit efforts, overseeing third party due diligence conducted on the Company’s behalf, and performing in house due diligence
- Assist in analyzing and interpreting applicable laws and regulations and in the formulation, communication, and training of supplier representatives and internal stakeholders regarding LL’s compliance policies and procedures to address applicable laws and regulations
Global Compliance
12/2010
-
09/2015
Detroit, MI
- Support the Head of Compliance Office in her function as Compliance Officer for Freight by taking care of operational compliance activities of the Freight Compliance Program
- Participate in the development and revision of the annual compliance work plan
- Develop and maintain policies and procedures, or standard operating procedures (SOP), as applicable to the team, including iterating on existing workflows to streamline and add efficiency
- Participate in the management of compliance budget plan
- Assist in developing policies and programs for reporting suspected fraud and non-compliance
- Assist in coordinating and developing compliance training programs to ensure that all appropriate employees, business and vendor partners are knowledgeable of, and comply with, pertinent federal and state laws, regulations as well as Lumber Liquidators’ policies and procedures
- Support the implementation and monitoring of compliance programs across the organization
- Monitor external audit review processes and maintain awareness of compliance issues
Global Compliance Team Assistant
01/2007
-
07/2010
Dallas, TX
- Support the VP of Compliance in the creation, maintenance, and companywide training initiatives of Company’s Code of Business Conduct and Ethics and other compliance related corporate policies
- Support other Compliance team initiatives, as necessary.
- Effectively problem solve by analyzing situations and applying creative and timely solutions
- Designing, developing, and implementing complex, profile based, surveillances with a strong emphasis on analytical models
- Developing quantitative solutions for key risks for compliance divisions across the firm (Global Surveillance, Securities division, Investment Banking, Merchant Banking, Asset Management and Investment Research)
- The group works closely with Compliance Senior Management, Compliance Officers, Business and Technology organizations to define, prioritize and lead various initiatives
- Develop and implement compliance communication strategy, initiatives, methods and tools to raise awareness of compliance topics and shape a solid compliance culture. Develop and facilitate production, distribution and allocation of compliance gimmicks. Liaise with corporate teams and vendors in this regard. Supervision of communication budget
- Assure proper implementation of incident handling process and monitor incident management tool. Assure communication and functioning of Compliance Hotline in DGFF global sites. Handle audits in this regard and liaise with Global Compliance Office
Education
Robert Morris University - Peoria Campus
2002 - 2006
Bachelor's Degree in Accounting
Professional Skills
- Strong research skills, analytical skills and organizational capabilities
- Strong, clear communication style – including very strong writing skills
- Strong interpersonal, organizational, verbal, written, and creative thinking skills with the ability to communicate effectively at all levels
- Demonstrates time management, interpersonal skills, team building, trust information, decision making, interaction management, etc..
- Exhibits strong analytical skills and an understanding of operational processes and technology concepts
- Strong writing skills required to draft and edit policies and procedures, issue memoranda and compile program reports
- Strong project management skills with focus on execution and attention to detail
How to write Global Compliance Resume
Global Compliance role is responsible for analytical, interpersonal, compliance, business, training, word, powerpoint, database, research, microsoft.
To write great resume for global compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Global Compliance Resume
The section contact information is important in your global 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 Global Compliance Resume
The section work experience is an essential part of your global 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 global 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 global compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Global Compliance resume experience can include:
- Effective writing skills in order to communicate review / investigation findings and recommendations
- Strong interpersonal skills in dealing with people from all levels of an organization, both international and domestic
- Strong interpersonal skills allowing for ability to articulately interact with colleagues at all levels and achieve results
- Excellent leadership skills with the ability to inspire employees and third parties in embracing AARs culture of compliance and ethics
- Strong Excel, Word and Power Point skills as well as ability to become a subject- matter expert in new authoring and workflow technology and portal management
- Well-developed analytical thinking; strong written and verbal communication skills
Education on a Global Compliance Resume
Make sure to make education a priority on your global compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your global 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 Global Compliance Resume
When listing skills on your global 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 global compliance skills:
- Demonstrated ability to communicate effectively, both orally and in writing to all levels of management
- Demonstrate initiative, problem solving skills, and ability to think outside the box
- Strong written and verbal communication skills, ability to interact with other groups including senior management
- Outstanding people leadership/management/ communication skills
- Global pharmaceutical or healthcare compliance background and the ability to apply sound business judgment and decision making skills
- Proven experience collaborating to drive solutions which are compliant and value added
List of Typical Experience For a Global Compliance Resume
1
Experience For Global Compliance Practices Resume
- Proficiency in computer skills: Outlook, Excel, Word, PowerPoint, Access Database
- Developing and maintaining supporting evidence and documentation
- Experience in retail or similar industry required
- Build strong cross-functional / cross-brand relationships
- Work with our stakeholders to understand and document business requirements and priorities,
- Analyze impact of proposed solution, develop use cases to explain/demonstrate business requirements/specifications to IT team,
2
Experience For Global Compliance Manager Resume
- Be flexible, follow tight deadlines, track decision point, organize and prioritize work
- Work with appropriate parties to understand business requirements and priorities, and liaise with Technology
- Ensure effective and rigorous change control mechanisms are used and scope changes are escalated and resolved appropriately
- Project / program management experience
- Planning and executing testing in an organized, analytical, and timely fashion
3
Experience For Director, Global Compliance Resume
- Applying quality assurance procedures, sampling methodology, and related guidance
- Identifying and recommending areas of improvement
- Collecting statistical QA data for reporting and trend analysis
- Evaluating the adequacy and quality of work performed
- Communicating QA results with the impacted stakeholders and senior management
4
Experience For Global Compliance Design & Deployments Senior Manager Resume
- Develop and/ or support Fiduciary Compliance test planning, and scoping/executing fiduciary monitoring activities
- Expertise in signal processing, target detection and tracking algorithms, and threat warning
- As needed and appropriate, liaise with the GSK GEC, including the GECLT to ensure best practice learning and appropriate bilateral sharing of information
- Assist with the administration of Monitoring and Testing system, as well as the design and testing of system enhancements and strategic tool design
- Manage the annual cross-LOB fiduciary Monitoring and Testing planning process
- Support oversight of Fiduciary Compliance Risk Assessment and Monitoring and Testing, and related reporting
- Coordinate and supporting during internal audit reviews
- Comfortable with coding, working with large data, and use of statistical software packages
- Knowledge of machine learning and cognitive algorithms, and future-thinking developments
5
Experience For Senior Analyst, Global Compliance Resume
- Develop test scripts corresponding to business expectations for UAT testing
- Manage access for the Monitoring & Testing system
- Participate in Monitoring and Testing Program strategic initiatives, as directed
- Participate as directed in the Annual Monitoring & Testing Plan development and administration
- Lead the firmwide Compliance Fiduciary programs approach to Compliance Risk Assessment, Monitoring, and Testing
- Support responding to requests from US banking regulators related to the Fiduciary program
- Manage one or more junior resources, including employee development and mentoring
- Assure applicable transparency and other relevant reporting requirements, and periodic training requirements, are timely met (state, federal and international)
6
Experience For Manager, Global Compliance Resume
- Develop reporting metrics that highlight risks in processes and key risk indicators that are forward looking and monitor metrics
- Develop and monitor progress of projects using project management tools
- Assist in documenting presentation material for supplier meetings, executive meetings, and board meetings, as necessary
- Provide assistance in benchmarking projects and work with third-party service providers, as necessary
- Help with tuning model parameters
- Partners with manager to engage with the firm’s regulators and endeavor to enhance the firm’s relationship with its examining entities
- Provide comprehensive status reporting of project progress, issues, risks and deliverables
7
Experience For Global Compliance Enablement Specialist Resume
- Design and maintain KPI dashboard for management, as necessary
- Design, develop and generate ad hoc reports for management, parallel teams, and staff, as necessary
- Evaluate software and participate in testing and implementation, including but not limited to, working with LL IT department to establish project rollout procedures to support Global Compliance teams, as necessary
- Participate in collaboration with Global Compliance team and third-party service provides in supplier risk assessments and the development and ongoing monitoring of a risk management program
- Draft global model requirements and one-pagers, partnering with regional monitoring and IT teams for input and buy-in
8
Experience For Global Compliance Systems Analyst Resume
- Support the ongoing creation of global surveillance metrics, KRIs and KPIs
- Develop analytical dashboards / reports, and conduct ad-hoc analyses on compliance monitoring data to identify key risks and pattern anomalies
- Assist with ongoing model risk management activities
- Monitor model inputs / outputs for unacceptable variances and troubleshoot / take appropriate follow up action
- Ensure model documentation is complete, consistent and up to global standards
9
Experience For Security Global Compliance &program Mgr Financial Client Resume
- Ensure model change management processes are followed globally
- Actively supports and drives the Internal Audit Transformation Program and Internal Audit’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
- Act as a business partner with the sales organization (Regional Sales Director, SE Manager, and Services Sales Executive, AE, SE, Alliances and Channel PBM’s) to enable the adoption of the Compliance Reference Architecture Framework to be used to address customers regulatory solution requirements
- Support multiple customer sales cycles from qualification through close; providing solution design assistance, customer EBC’s and oversight of required sales activities (RFI/RFP, customer qualification, requirements gathering, solution development, business validation, TCO/ROI)
- Maintain a strong technical knowledge of VMware’s product portfolio’s and services, as well as, industry trends, customer adoption and competitive solutions
- Strong services acumen to drive solutions (product and services) that reduce cost, improve agility, and delivery reliability to IT and business stakeholders
- Supporting the Program’s efforts with respect to several of the Compliance Practices, including, but not limited to,
10
Experience For Director of Global Compliance Resume
- Possess in-depth knowledge of the regulatory, compliance and Governance Risk and Compliance (GRC) domain
- Assist in managing the Practices strategic state technology portfolio, while taking direct ownership of managing the broader department’s set of SharePoint's and shared drives
- Manage EMEA Projects Team in execution of following responsibilities
- Work with businesses and corporate functions to review their policies under development for consistency with the firm’s policy governance framework and template
- Work with GFC stakeholders to help ascertain and define GFC’s ongoing policy needs
- Facilitate annual review of the firm’s AML Policy, which is approved by the Board of Directors
- Demonstrated ability to successfully prioritize work with minimal direction and manage time appropriately to meet/exceed deadlines while producing quality results
- Customer focused – team player / collaborator who can also work independently; demonstrated ability to work with a variety of associates in various levels of the organization
List of Typical Skills For a Global Compliance Resume
1
Skills For Global Compliance Practices Resume
- Excellent time management and project management skills and the ability to work effectively with people at all levels
- Proven Management Skills and ability to collaborate effectively with key stakeholders
- Superior written/verbal skills and demonstrated ability to communicate effectively with all stakeholders
- Solid organizational and time management skills and ability to prioritize
- Strong organizational skills, attention to detail, and effective time management
- Experience in effectively managing and motivating staff
- Proven Lead Auditing skills - qualified as Lead Auditor to ISO 13485 as amended
- Excellent communication skills; ability to build rapport, garner respect and appropriately exercise authority in a collaborative cross-cultural environment
- Strong SharePoint, PowerPoint, and Excel skills
2
Skills For Global Compliance Manager Resume
- Attention to detail, strong analytical and communication skills (verbal, written and PowerPoint)
- Creative, innovative team players with analytical, technical, problem solving, planning and organizational skills
- Effectively engage with executive level management in championing compliance and implementing it as relatively new discipline in the organization
- Demonstrated experience in data collection, analysis, and problem solving
- Exceptional problem-solving/analytical skills
- Knowledge and experience is setting strategic goals, measures of success and priorities
3
Skills For Director, Global Compliance Resume
- Effectively understanding compliance key-risks from compliance officers
- International and/or prior experience working with an INGO
- Build consensus amongst key stakeholders to effectively lead large-scale policy restructuring and related efforts
- Proven track record of successful PMO experience
- Proven compliance, financial services operations and/or regulatory experience, or equivalent
- Strong front-end development experience using Kendo
- Understanding and demonstration of compliance standards and best practices; experience in governance and oversight roles
- Outstanding client service experience
- Experience in managing and planning capability building programs, productivity initiatives and knowledge management
4
Skills For Global Compliance Design & Deployments Senior Manager Resume
- Experience building and maintaining key relationships across departments and functions, and establishing a culture of engagement
- Proven ability to manage the logistics associated with developing and executing a training plan
- Significant knowledge and experience in implementing regional and global training and communications and risk assessment processes and programs
- Experience and/ or knowledge of Compliance Risk Assessment, Compliance testing, and/or Compliance monitoring
- Experience conducting EEO investigations and determining a resolution
- Experience in developing and implementing strategies that produce results
- Experience in conducting training needs assessments
- Forensic Accounting / Fraud Examiner qualifications, with experience performing investigations
5
Skills For Senior Analyst, Global Compliance Resume
- Operational experience using TSO mainframe environment
- Demonstrated ability to manage large complex projects with multiple stakeholders while staying within budget and deadlines
- +3 years risk and control, testing, audit, or investigation experience in a legal/regulatory/business/Compliance environment
- Training or related experience in a professional services environment
- Knowledge of industry global and regional regulatory standards with strong understanding of anti-corruption or anti-trust
- Hands-on experience of working in a business or region, ideally speak a local language, and have native knowledge of local culture
- Previous experience in a role requiring the use of of equal employment opportunity laws and regulations
- Formulate and execute project plans, handle and meet competing deadlines, organize and prioritize work, and follow-up on projects until completion
- Strong attention to detail and quick learning abilities
6
Skills For Manager, Global Compliance Resume
- Critical thinking, strong independent work ethic
- Able to prioritize in a fast moving, high pressure and dynamic environment
- Strong orientation towards process definition, enhance/improve existing processes
- Experience and /or comfortable working in Hadoop infrastructure
- Experience of working with Hyperion
- Work experience leading a compliance programme or related function
- Knowledge and experience in managing a compliance function
- Experience in managing business units to achieve results
7
Skills For Global Compliance Enablement Specialist Resume
- Strong attention to detail and ability to meet critical deadlines; ability to work well under pressure in a fast-paced, consistently changing environment
- Experience in dealing with technology partners
- Experience managing relationship with the EEOC and/or State civil rights agencies
- Experience using Microsoft Office applications (Outlook, Word, Powerpoint)
- Act as a team or project leader providing direction to team activities and facilitates information validation and
- Four to eight years of auditing experience in a supervisory role
- Experience developing detailed, technical documentation (e.g., business requirements, process flows and test scripts)
- Develop and maintain supporting evidence and documentation
- Management level experience
8
Skills For Global Compliance Systems Analyst Resume
- International experience required, preferably in healthcare industry compliance
- +7 years project management experience in a business/Compliance environment
- Unit testing framework experience - Server side (NUnit, XUnit, MSTest), Client Side (Mocha, Jasmine, Qunit)
- Experience in a business analyst role
- Network with internal stakeholders to foster positive and proactive approach to resource prioritization and deployment
- Network with internal community to foster positive and proactive approach to resource prioritization
- Providing assistance to lines of business in addressing corruption risk related to transactional activity, including
9
Skills For Security Global Compliance &program Mgr Financial Client Resume
- Analyzing, developing, and implementing quantitative solutions
- Creating, reviewing, and improving surveillance software products in JAVA
- Following up on progress made at the site level on promised action plans to ensure audit finding closure
- Assessing the acceptability of field action and recall plans
- Assessing acceptability of responses to government inquiries
- Working knowledge of diversity practices
10
Skills For Director of Global Compliance Resume
- Developing technical specifications, high level/detailed design, test and implementation plans from business requirements
- Understanding the various flows across several data sources and build pipeline to source
- Identifying potential gaps and additional compliance risk scenarios
- Supporting rapid development of surveillance products for compliance users
- Background involving investigations, including planning, interview techniques, data mining and report writing
- Work with Manger and Monitoring & Testing Lead on the annual cross-LOB fiduciary Monitoring and Testing planning process
List of Typical Responsibilities For a Global Compliance Resume
1
Responsibilities For Global Compliance Practices Resume
- Strong practical experience and knowledge in accounting and controls
- CPA with a strong knowledge of generally accepted auditing standards, accounting principles, and a basic understanding of corporate income tax regulations
- Support monthly tracking and reporting on Compliance priorities (i.e., the Compliance Book of Work)
- Develop training effectiveness measures and apply appropriate measurements to AML training courses, as needed
- Experience in compliance or a related position (including regulatory, law enforcement, audit, or risk and controls)
- Relationship Management – establish strong relationships and ongoing dialogue with key Risk Management stakeholders in coordination with team
2
Responsibilities For Global Compliance Manager Resume
- Experience with AML transaction monitoring, compliance operations or investigations
- Supporting the pre-clearance, monitoring and remediation efforts related to the Anything of Value workstream, which includes
- Supporting the pre-clearance, monitoring and remediation efforts related to the Global Anti-Corruption Compliance Program
- Providing advisory and support related to line of business inquiries regarding policy and legal/regulatory compliance
- Supporting the pre-clearance, monitoring and remediation efforts related to the, which includes
- Graduating date after August 2019
- Assist with maintenance and update of policy and standards governing documents, including gathering feedback with stakeholders during annual / ad hoc refresh
3
Responsibilities For Director, Global Compliance Resume
- Lead the team in conducting analyses, developing and implementing plans, and administering programs to support EEO compliance domestically and internationally
- Manage governance forums by developing meeting materials and soliciting agenda items from LOB and Function stakeholders
- Assist in developing and delivering targeted M&T training
- Manage governance forums bydeveloping meeting materialsand soliciting agenda items from LOBand Function stakeholders
- End-to-end systems development cycle from requirements analysis, coding, testing, User Acceptance Testing (UAT)
4
Responsibilities For Global Compliance Design & Deployments Senior Manager Resume
- Assist in identifying and incorporating changes to the firm-wide M&T Procedures
- Partner with various teams to access and utilize existing human resources and applicant tracking systems and processes
- Coordinate maintenance of the policy and standards governingdocuments, including review with stakeholders during approval/update cycles
- Work with Engineering and Purchasing functions to ensure imported material is entered into the US in a compliant, timely manner.
- Work with Purchasing and Engineering personnel to determine the accurate classification of US imported merchandise.
- Develop user stories and acceptance criteria for building or enhancing product and system features and document approach
- Needs assessment – identification of training needs in partnership with the Risk Management, Development, Training colleagues and all key Business Stakeholders
- Vendor relationship management - liaise and partner with vendors delivering technical training to ensure successful delivery for our clients
- Develop and document the strategic approach for the enterprise-wide GFCC training program, which includes training on BSA/AML and OFAC/Sanctions topics
5
Responsibilities For Senior Analyst, Global Compliance Resume
- Coordinate and oversee AML Risk Assessment process enhancement activities, including SharePoint development and reporting automation
- Assist in defining and syndicating AML Risk Assessment metrics, such as the number of politically exposed persons in a line of business or country
- Work closely with Sr. Leaders by providing updates on projects and initiatives and presenting to broad audiences across business groups
- English fluent in speaking / writing
- Promote leadership behaviours and a Speak Up culture aligned to ViiV Values, supporting investigations and recoupment as appropriate
- Oversight, development and succession planning of ViiV Compliance Managers to ensure strategic capabilities are fully supported and sustained
- Lead UAT testing and ensure that the proper test scripts have been completed
- Function as the Team’s Business Control Officer, including support of RCSA and Issue Management
- Manage the review and dispositioning of Legal Obligations under the Compliance OLO Program
6
Responsibilities For Manager, Global Compliance Resume
- Provide supervision and training, as required for direct reports to execute field actions, recalls, complete customer communications and manage standards
- Coordinate the development of metrics and reporting to senior management
- Lead policy training initiatives, new technology roll-out and other group initiatives as they arise
- Oversee the development of metrics and reporting to senior management
- Work with the General Counsel on the reporting of AARs compliance activities and record to senior management and the Board of Directors
7
Responsibilities For Global Compliance Enablement Specialist Resume
- Problem Solving ability to learn new procedures and adapt to change
- A trustworthy individual who can work independently and as a part of a team to achieve consistently outstanding results
- A self-starter who enjoys the challenges and opportunities of developing new and improved processes, systems and programs
- Lead the firmwide Compliance Fiduciary program’s approach to annual cross-LOB fiduciary M&T planning process and LOB M&T oversight
- Lead Compliance Practices SharePoint support, maintenance and buildout working closely with broader team and stakeholders
- Manage monthly scorecard reporting for the firm’s Board of Directors
- Coordinate the development of metrics and reporting to seniormanagement
- Computer literacy including knowledge of Microsoft Office Suites
- Be willing to relocate or travel to Greenville, WI
8
Responsibilities For Global Compliance Systems Analyst Resume
- Attend and actively participate in scrum meetings such as sprint planning, standup and demos
- Translate business scenarios into relevant unit/system/integration/interface testing scenarios
- Respond to regular information and document production requests from regulators, Compliance Testing, and Internal Audit
- Motivated and willing to learn about trade compliance
- Assist with the design of the Risk Assessment Program, including program scope and methodology
- Participate in the identification and definition of horizontal areas of focus, such as politically exposed persons and correspondent banking
- Assist in ensuring compliance and operational risk controls are in place and maintained in accordance with HSBC or regulatory standards and policies
9
Responsibilities For Security Global Compliance &program Mgr Financial Client Resume
- Advise various levels of management regarding EEO policies, procedures and processes
- Fluency in Chinese (Mandarin), Spanish, or Portuguese is desired
- Understands and distils complex deal terms (example: Joint ventures, profit splits, partner label licenses/p&d’s) into key commercial terms aligned to a business unit, process and process owner
- Conduct thorough timely review and analyses of various company data metrics, functions and processes (within GVA, Commercial/Field Sales, Marketing and Medical) in accordance with established business rules, audit and monitoring practices and work programs;
- Assist in the enhancement of company’s global compliance audit program
- Develop and present to the Chief Compliance Officer and the Audit Committee an annual audit plan of the company’s subsidiaries and third-parties based on an assessment of risk using an appropriate risk-based methodology
10
Responsibilities For Director of Global Compliance Resume
- Build partnerships with in-country compliance officers, business, and functional stakeholders to assist in the implementation and enhancement of the company’s global compliance program
- Develop and implement strategies to ensure the company’s values and ethical standards are emphasized, communicated, and integrated; providing training where appropriate
- Provide advice and interpretation on the company’s code of conduct, compliance policies, relevant health industry regulations, and industry codes
- Management of program scope, agreements, and project plan
- Monitor deliverables on an ongoing basis by evaluating progress and quality of tasks and deliverables, managing issue resolution and risk mitigation as necessary
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