Global Compliance Officer Resume Sample
Dahlia Mohr
379 Conor Estates,
Chicago,
IL
+1 (555) 540 9260
Work Experience
Global Information Management Compliance Officer Associate
05/2018
-
PRESENT
Phoenix, AZ
- Collaborate and partner closely with business leadership to provide compliance advice and oversight in manner that drives the business forward to best serve pa-tients
- Collaborate closely with Regional and Local compliance officers to ensure busi-ness activities are in line with local requirements
- Applied Business Insights
- Continuous Learning/Dynamic Knowledge
- Vision & Purpose (Strategy to Story)
- Advise surveillance team on managing alerts arising from e-communications and trade surveillance
- Conduct investigation requested by regulators or senior management
- Assist in preparing documentation for the GCB Cards project deliverables and governance meetings
Global Compliance Officer
11/2012
-
02/2018
Los Angeles, CA
- Engage with Operations on establishing appropriate Monitoring procedures and investigation standards for GCB Cards
- Work closely across functions/regions to ensure a globally consistent approach to GCB Cards Monitoring
- Provide support to the Regional Monitoring teams
- Assist in defining the problem
- Identify relevant concerns or key factors
- Related legal or compliance experience
- Assess the regulatory/compliance controls of the Firm’s Prime Brokerage Platform and provide clear and understandable advice and guidance to interested parties, and drafting and delivering Compliance training on these topics
Global Trade Compliance Officer
12/2006
-
05/2012
Houston, TX
- Maintain industry and regulatory relationships and mechanisms to identify trends and ‘regulatory hot topics’ arising in the Communications surveillance space. Consider implications and initiate required enhancements on the Communications surveillance programme, on a global basis
- Ownership and maintenance of the GMS Communications Surveillance Strategy and programme plan
- Co-ordination of the strategy to expand Communications surveillance activities into risk and business areas defined in the above documentation
- Oversee the development of the target model for Communications surveillance incorporating the potential implantation of new Electronic and Audio Surveillance tools
- Develop appropriate Risk based modelling and sampling techniques to minimise gaps whilst moving towards the target coverage model. Define resource modelling alongside this with a view to maintaining adequate and justifiable resourcing across regional teams
- Implement and maintain a regular risk assessment of the firm’s coverage of market abuse risk through its trade surveillance programme, and develop and operate a mechanism to ensure risks and gaps are addressed in a timely manner
- Oversee the implementation of appropriate Key Risk Indicators and reporting in respect of team developments, activities and output
- Oversee the gathering of market intelligence of market vendor trade surveillance systems, in order to ensure SGCIB maintains a solution which remains in line with regulatory and market standards
Education
University of Phoenix - Northwest Indiana Campus
2001 - 2006
Bachelor's Degree in Business
Professional Skills
- Strong PC Skills including Microsoft Excel, Project, Visio, SharePoint, Access, Word, PowerPoint and other reporting
- Excellent written and verbal communication presentation skills; ability to build rapport, garnering respect and
- Experience of researching and process supporting - production, supply or retail
- Management experience leading project teams from creation to execution; includes people and performance
- Experience handling compliance investigations highly desirable
- Attention to detail, self-motivated, able to prioritise and manage workload
- Collaborating with and directing Compliance Associates aligned to Fabrics Division on execution of mitigation activities
How to write Global Compliance Officer Resume
Global Compliance Officer role is responsible for english, business, spanish, portuguese, training, retail, securities, trading, reporting, design.
To write great resume for global compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Global Compliance Officer Resume
The section contact information is important in your global compliance officer 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 Officer Resume
The section work experience is an essential part of your global compliance officer 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 officer 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 officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Global Compliance Officer resume experience can include:
- Strong skills in managing cross-functional and/or divisional projects with significant (visible) business impact
- Assesses and recertifies rules every 60-days to evaluate each rule’s validity
- Provide guidance and coordinate implementation of new global, regional and local screening and list loading for Citi Screening platform
- Coordinate and supervise the maintenance of an inventory of global and regional lists, screening rule-sets, and search configurations within Citi Screening platforms
- Seek to ensure application of compliance controls related to all transactions, products or businesses of the relevant Métiers in the Territory (and saving of records of checks performed), including notably
- Responsible for creating program/ project plans including planning and design, act as a key contributor in issue identification, documentation, and resolution
Education on a Global Compliance Officer Resume
Make sure to make education a priority on your global compliance officer 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 officer 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 Officer Resume
When listing skills on your global compliance officer 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 officer skills:
- Fluent business English and Spanish language skills are required; Portuguese language skills are nice-to-have
- Fluent business English and Portuguese language skills are required; Spanish language skills are desirable
- Fluent business English language skills are required
- Accredited lawyer or other experienced compliance professional is required
- Previous experience in the IT industry is preferable
- Bring expertise and advisory to the Metiers, other Control Group Functions on the above regulations
List of Typical Experience For a Global Compliance Officer Resume
1
Experience For Global Info Management Compliance Officer Resume
- Working closely with business and sales leaders, particularly in industries involving sales to government entities, to understand risks and provide strategic advice for appropriate risk mitigation
- Leading broad risk assessments and response strategies across the Fabrics Division, in partnership with key stakeholders, including the identification and prioritization of risks and development of mitigation activities
- Assessment of record management program’s effectiveness
- Working with Enterprise team to define and direct implementation of internal controls that impact the Fabrics Division
- Serving as coordination point and Division subject matter expert for internal audit activities
- As needed, leading or participating in ethics or legal investigations
- Create, update and manage training content related to program’s areas of expertise
- Establish compliance KPI’s
- Paid annual leave
List of Typical Skills For a Global Compliance Officer Resume
1
Skills For Global Info Management Compliance Officer Resume
- Fluent business English and Spanish language skills are required; Portuguese language skills are desirable
- Interact with employees, including senior leaders, to clarify questions regarding SAP Policies
- Assist in advising the business on compliance and regulatory issues. These include, for example,
- Advanced working knowledge in Data Analytics tools such as MS Excel, MS Access, MS PowerPoint, MS Word, and SQL
- Drive and partner with the Technology teams to define and implement comprehensive screening solutions
- Energy and tenacity to work well under pressure and without too much supervision
2
Skills For Global Trade Compliance Officer Resume
- Steer the deployment of the BNPP second-level Internal Controls Plans (ICP) relative to the regulations listed above and control the effectiveness of their deployment on the ground as a Level 2 control group,
- Adapt Group Procedures and Guidelines to reflect any change in regulations or adapt the Internal Control Plan framework
- Build and deploy Level 2 permanent controls capabilities, coordinate Compliance Review Teams efforts in their controls for the laws sets under perimeter; steer the Risk Assesment at Group and Metier Levels
- Ensure that the ICP and Risks Assessment are closely monitored and that risks areas are identified in order to adapt the ICP accordingly and propose the necessary actions to relevant teams and management
- Execute on-site controls when appropriate and in conjunction with Metiers, other L2 and L3 control teams and outside firms if needed, and upon information of the Regional management
- Coordinate the Independent Testing annual run with relevant internal and external parties eventually
- Design and deploy the Group certification process for all Metiers and entities as per Group rules; communicate it to senior managers and steer its effective annual implementation
- Ensure the deployment of a robust training plan at Group level and define standards defined with HR partners. Ensure the effective deployment of training measures at Metiers level. Contribute to the set-up of training events locally and globally,
- Contribute to the design, deploy and run documentation repository tools to facilitate audits and controls by Level 3 control teams (IG) and external regulators
3
Skills For Global Information Management Compliance Officer Associate Resume
- Contribute to the response to external regulators both on a regular basis as per Law prescriptions and upon request
- Contribute to any internal reports required under the Group (CIRCC, GICC, Comex and Board meetings) and Regional Governance
- On a case by case basis, provide Advisory to the Business for specific and new transactions or businesses for which Legal, Risk and/or Compliance teams are not definitive in their conclusions and request a second opinion
- Contribute to the design and deployment record-keeping strategy at Group level, data integrity preservation rules setting
- Participate into the Metiers Governance and cascade of review meetings if agreed with the Metiers (ex: sub-ICC participation within CIB)
- Experience working in a corporate compliance program consistent with the “7 elements of an effective Compliance Program” recommended by the U.S. Federal Sentencing Guidelines, including experience working with business activities outside of the US that are subject to the Foreign Corrupt Practices Act and UK Bribery Act
- Mature, confident professional who is adept at partnering with senior leaders and legal counsel as well as positively influencing leaders to understand and address potential compliance risks through mitigation strategies
- Experience in a consumer goods industry
- Experience in a global company with sales to Federal and local government entities
4
Skills For Global Information Management Compliance Officer Compliance Analyst Resume
- Experience in a global company with sales of export controlled products
- An understanding of new and emerging regulatory developments within asset management
- A clear understanding of Asset Management and a sound technical knowledge of regulatory issues
- That analysis of transactions takes place according to Group and CIB norms, standards and processes
- A background in financial crime
5
Skills For Compliance Officer Global Screening Solutions Resume
- An analytical approach and the ability to provide practical solutions, be able to work on their own initiative, reach decisions and work under pressure
- That there are in place procedures that seek to ensure an audit trail and a record of transaction analysis
- Contribute to the new activity / transaction approval committees (TAC, NAC and others) as necessary (including via pre-NAC and TAC processes), liaising as relevant with the CIB Compliance Transversal Team to prepare TACs on cross-border transactions
- To provide input to compliance-related reporting to the Head of UK Compliance, and as relevant Global Heads of Compliance, in accordance with Group or CIB Compliance templates and on timely basis
- To be aware on an on-going basis of key applicable laws and regulations and market practices through reading, training
- Generates the final rule file for onboarding, certification
- Define, prioritize and lead/execute strategic objectives and, ensures projects delivered meet the approved business requirements. Help set short-term strategies and plans for their respective area, group or location
- Maintain full knowledge of area of sanctions screening expertise
- Analyze and interpret business issues and recommend viable solutions. Execute and complete a range of complex tasks and analysis
6
Skills For Compliance Officer, Global Markets Resume
- Evaluate/analyze information gathered from multiple sources, reconcile conflicts, decompose high-level information into details, abstract up from low-level information to a general understanding, and distinguish user requests from the underlying true needs
- Identify and resolve problems, and refer complex problems to senior management for resolution
- Work independently, under direction of program managers, with users, SMEs and technology to define migration strategies, implementation plans and operational readiness criteria
- Participate in working groups and routinely interface with: project sponsors, business stakeholders, Technology, Payments and screening Subject Matter Experts, Testing and other internal/external clients
- Directly support the legal compliance aspects of managing third party relationships
- Fluency in English, other languages useful not mandatory
- Professional experience in a compliance-related role or business position having acquired a deep understanding of integrity and compliance risks, with a strong understanding of GMA functional activities
- Experience in a highly regulated industry with its dynamics, regulatory framework
7
Skills For Global Information Management Compliance Officer Resume
- Proven ability to lead complex projects and collaborate within and across cross-functional teams and business units, in a matrix environment
- Deliver program wide governance and project management
- Provide compliance advice on Compliance matters relating to SAP’s Mexico entity and ensure compliance principles are adhered to in Management decision-making, so that SAP acts in accordance with best-in-class compliance standards
- Develop and administer policies and training on compliance topics including avoidance of bribery and corruption, competition law concerns, misuse of third party intellectual property, handling confidentiality and conflicts of interest, doing business with government customers, fraud in the contracting process, general fraud, etc
- Manage investigations as needed and interact with HR and Legal regarding consequence management
- Review and analyze donation, sponsorship, membership requests
- Review and analyze hospitality and business event invitations and new local events
8
Skills For Biopharma Global Compliance Officer Resume
- Review and analyze Due Diligence for Partners
- Handle translations and localizations of CoBC, trainings and other policies as needed
- Assist with Compliance Risk Assessments and implementation of mitigation plans
- Manage adoption and localization of global projects
- Effectively channel inquiries and complaints; provide clarification & advice; assist in effective response mechanism. Expert level grasp on complaint reporting mechanisms and how to handle them
- Monitor compliance trends in México, including compliance initiatives, industry compliance failures and other internal and external Compliance trends to provide insight for leadership knowledge forums, newsletters and employee groups
- Track and report compliance issues to LCIO management on a periodic basis
9
Skills For Global Compliance Coordinator Officer Resume
- Provide compliance advice on Compliance matters relating to SAP’s Southern LAC entities and ensure compliance principles are adhered to in Management decision-making, so that SAP acts in accordance with best-in-class compliance standards
- Monitor compliance trends in Southern LAC, including compliance initiatives, industry compliance failures and other internal and external Compliance trends to provide insight for leadership knowledge forums, newsletters and employee groups
- Provide compliance advice on Compliance matters relating to SAP’s India entities and ensure compliance principles are adhered to in Management decision-making, so that SAP acts in accordance with best-in-class compliance standards
- Provide compliance advice on Compliance matters relating to SAP’s Brazil entity and ensure compliance principles are adhered to in Management decision-making, so that SAP acts in accordance with best-in-class compliance standards
- Monitor compliance trends in Brazil, including compliance initiatives, industry compliance failures and other internal and external Compliance trends to provide insight for leadership knowledge forums, newsletters and employee groups
- Support administrative tasks relating to product compliance to enable retail or import with a focus on pre-registration tasks
- Collation of necessary compliance documentation to enable pre market registration of Mothercare products (e.g. product technical files, certification)
10
Skills For Compliance Officer, Global Markets SEA Resume
- Compilation of technical information required for customs declarations / compliance registrations (e.g. product material compositions)
- Operational responsibility for and ongoing continuous improvement of the Fabrics Division Compliance Program, in alignment with the Enterprise Compliance Program
- Advising Division leadership and Enterprise leadership on risks, compliance program effectiveness, and strategies for enhancing Fabrics Division compliance program
- In partnership with Fabrics Division senior leaders, developing compliance priorities aligned to business strategies and drive compliance initiatives
- Leading compliance training initiatives for Fabrics Associates on key risk areas, such as anti-bribery compliance
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