Risk & Compliance Officer Resume Sample
Casimir McClure
119 Swift Loaf,
Detroit,
MI
+1 (555) 547 8898
Work Experience
Lead Risk & Compliance Officer
12/2015
-
PRESENT
Los Angeles, CA
- Collates suggested audit, inspection and evaluation inputs for the annual work of the oversight bodies (The United Nations Board of Auditor, Joint Inspection Unit (JIU) and Office of Oversight Service (OIOS))
- Facilitates briefings to the oversight bodies on Missions policies, procedures, guidelines and systems
- Coordinated and prepares responses to oversight queries and reports based on the comments received from offices
- Monitors the implementation of oversight recommendations and guides offices on the action required to implement outstanding oversight recommendations
- Educating colleagues and contribute to customer communication
- Provide independent check and challenge to all Enterprise Risk Management activities conducted by first line colleagues across the relevant businesses of the Group, including business initiatives, incident recording and management, risk & control assessment registers
- Deliver appropriate training and awareness on all elements of the Enterprise Risk Management Framework and on regulatory and compliance matters to first line colleagues
- Manage the process for elevating control risks to senior levels when appropriate
- Lead in the developing and improving management reporting
Risk & Compliance Officer
03/2013
-
07/2015
Boston, MA
- Support the Risk Assurance & Compliance Monitoring teams as required to ensure that all Governance and Compliance requirements are adhered to and all reporting and reviewing activities required by the Regulatory Bodies are carried out to the standards required
- Provide advisory support to the business where required, including but not limited to, new products, business initiatives, queries raised by third party partners, and projects
- Advise the First Line of Defence on the impact of regulatory change on their business processes
- Active participation in relevant risk and compliance committees and ExCo committees
- Act as the point of contact with the Central Bank of Ireland in respect of matters relating to licensing and conduct of business regulation
- Keep up to date with local regulatory developments through contact with advisors and engagement with relevant trade associations
- Ensure training materials and policies appropriately reflect local regulatory requirements, including, if necessary, providing specific training on regulatory matters
Compliance & Risk Management Officer
05/2006
-
09/2012
Phoenix, AZ
- Provide support to the Financial Crime team to ensure that financial crime risk is appropriately mitigated in the Irish businesses
- Behave at all times in line with Close Brothers ‘Vision and Values’
- Relevant third level qualification ideally in Law, Business or Finance
- Experience within Financial Services working primarily within compliance, risk or internal control
- Previous exposure to Project management is an advantage
- Knowledge of EU banking regulations
- Hands on knowledge of risk assessment techniques with strong cross-experience in financial Services, the Fund Services environment is preferential
Education
Towson University
2000 - 2005
Bachelor's Degree in Related Discipline
Professional Skills
- Excellent verbal and written communication skills and the ability to develop strong stakeholder relationships
- Excellent verbal, written and interpersonal communication skills English
- Maintaining a commitment to continuous learning and developing knowledge and skills to competently and efficient execute assignments
- Ensuring the regulatory change process is effectively managed, and that changes are socialized effectively with relevant stakeholders
- Analytical skillsPersuading and influencing
- Problem solving/decision making and analytical skills
- Report writing and presentation skills essential
How to write Risk & Compliance Officer Resume
Risk & Compliance Officer role is responsible for english, training, finance, credit, database, auditing, security, reporting, design, research.
To write great resume for risk & compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Risk & Compliance Officer Resume
The section contact information is important in your risk & 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 Risk & Compliance Officer Resume
The section work experience is an essential part of your risk & 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 risk & 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 risk & compliance officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Risk & Compliance Officer resume experience can include:
- Excellent IT skills and ability to assess documents & systems for conformity to internal and external standards
- Project management skills and ability to analyse project progress and direct/redirect team efforts
- Advanced PC skills in the Microsoft Office suite of applications
- Diplomatic and mediation skills
- Demonstrate detailed knowledge and understanding of regulatory and operational risk, and operational risk principles
- Experience in dealing with complex complaints
Education on a Risk & Compliance Officer Resume
Make sure to make education a priority on your risk & 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 risk & 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 Risk & Compliance Officer Resume
When listing skills on your risk & 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 risk & compliance officer skills:
- Can work effectively under supervision or with little supervision
- Effectively works under pressure
- Maintaining an effective reporting suite of risks and issues across the organisation
- Experience in identifying consumer banking AML risks and providing advice to business
- Experience managing and reporting on risks within a large enterprise
- Experience of interacting in an international environment
List of Typical Experience For a Risk & Compliance Officer Resume
1
Experience For AML Risk & Controls Compliance Officer Resume
- Assess control effectiveness in the business processes
- Ensure the business operates within agreed risk appetite
- Reviewing AML/CTF training decks and provide training to business
- Handling KYC review upon request
- Contributing to various AML related projects as an AML/CTF and Sanctions subject matter expert
2
Experience For Compliance & Risk Management Officer Resume
- Act as backup to senior compliance risk officer to Initiate and coordinate the quarterly Manager’s Control Assessment (MCA) testing
- Liaise with Business and Risk teams to ensure timely reporting to regulators
- Designs and executes test plans, procedures and testing for assigned compliance reviews
- Ensures the timely completion of assigned reviews while producing quality work
- Potential to work on some group projects with other MUFG Fund Services ORC staff
- Provide training to local process champions on relevant topics like increasing awareness of policies in their area, defining / collecting / analyzing / reporting on metrics, defining and documenting processes that implement a policy, assessing use and effectiveness of policies and how to follow up on agreed actions for improvement etc
- Act as the focal point for any policy and process related questions. Capture feedback and present that to the Policy and Process chapter as input for policy and process improvements
3
Experience For Risk Awareness Compliance Officer Resume
- Perform review and assessment of Manager’s Control Assessment (MCA) testing results, control weaknesses, CAPs, and other relevant analysis with Risk units/Country Risk Manager and other stakeholders
- Track and monitor the timely renewal of department’s Risk Policy manuals, Local Operating Procedure manuals and Local Regulatory Reporting Guidelines Documentation
- Basic understanding of the Bank Secrecy Act and the functions and procedures involved for compliance with the regulation
- Read and interpret legal documents and government regulations, work well under pressure, and meet regulatory reporting deadlines
- Validate the Global Policy Standards, Mandatory Absence, Manual Payment Processing, Maker Checker Controls, Supporting Documentation and evidence of execution of test
- Promote the confidence from the teams that each one of the situations of risk and issues can be told to R&C to get a proper guidance of policies, processes and standards that are applicable to the process and operations not only in Costa Rica but also around the Globe
- Monitor the milestones, CAPs and incident Report until its fulfillment and completeness
4
Experience For Risk Compliance Officer Resume
- Ensure the coordination of the review/creation of CFT/GBS policies and procedures; and
- Incumbents are responsible for ensuring that the organization conducts business in compliance with ethical business practices, company policies and legal requirements
- Serve as an early warning indicator for potential control(s) deterioration
- Provide a continuance feedback loop to inform the Program (e.g. training, automation, policy)
- Lead Controls Forum and provide Control reporting into other forums
- Development of the risk assessment for the broker dealer, registered investment advisor and insurance agency
- Identification of control gaps
5
Experience For Rohq-css-risk & Control Office Compliance & Control Officer Resume
- Plan and deliver assurance activities to monitor compliance with the ISO9001, ISO14001, ISO27001 and CyberEssentials certifications and manage the relationships with the external auditors for these certifications
- Identify, report on and remediate any non-conformances with relevant standards through ensuring appropriate corrective actions are agreed and completed by the relevant action owners
- Experience of an audit environment and knowledge of ISO9001, ISO14001, ISO 27001, Cyber Essentials and GDPR requirements
- Ensure that staff are suitably inducted, trained, supported and monitored by senior and local management
- Respond to requests for information from tenders, customers, suppliers and other sources, co-ordinating across IFS to provide supporting information and documentation to the requestors and responding to follow up queries
- Support the Head of Legal to manage and develop appropriate processes for GDPR and other regulations
- Support the management and mitigation of risks in close co-operation with various teams and functions across IFS
- Obtain and maintain security clearance checks as required by the business for all IFS colleagues
- Build relationships at all levels across a business and ability to influence others to achieve positive outcomes
6
Experience For Lead Risk & Compliance Officer Resume
- Provide prompt, accurate and high quality Compliance updates to the Australia Compliance Lead for input in Country governance forums and local and regional reporting
- Highly developed communication skills with ability to build relationships across organisation at all levels
- Analyze Regulatory issues and ensure corrective actions designed by Business are sustainable, appropriate and effective
- Financial services compliance experiences
- An comprehensive understanding of consumer regulation i.e. National Credit Act, ASIC regulatory guidelines, Privacy Act, Code of Banking Practice, Corporations Act
- Experience dealing with regulatory enquiries, particularly ASIC
- Understand and maintain awareness of applicable AML laws and regulations, including local law, international standards, and industry leading practices; understand their respective product/functional areas and the impact of applicable AML requirements
7
Experience For Operational Risk & Compliance Officer Resume
- Ensure Citi’s adherence to applicable AML laws and regulations in China with the development and implementation of a business-specific Global/Regional/Country AML Program
- Maintain policies, processes and controls are up to date and effective
- Understanding of European Benchmark Regulation and FCA Handbook would be an advantage
- Deliver ongoing and risk focussed engagement to assist local business management in their risk assessment, evolution and enhancement of the control environment
- Oversight the country AML Name search process; Partnering with business stakeholders to drive the process
- Establish China GCB related AML program/policies/standards, and develop when necessary other documentation
- Keep abreast of new trends and developments in the field of AML, as well as of legal/regulatory changes
- Under the guidance from GCB AMLCO, support the assigned China implementation of the Citi AML Policy, and the various Global AML Directives in the relevant Citi GCB business
- Undertake the AML name screening by providing the guidance to respective screening units, and review the escalated match or potential matches and participate the governance meeting with GSO to provide oversight
8
Experience For Conduct Risk Compliance Officer Resume
- Perform name search as requested ad hoc by the global or regional office and liaise with them for timely feedback of the search result
- Assist with higher risk customer KYC periodic review, assess the potential risk that associated with and provide advisement on action to be taken
- Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements
- Provide back up support to the wider risk and compliance team as and when required, including guidelines monitoring
- Review of marketing materials to support cross-border sales activity
- Assist in the development and maintenance of risk and compliance frameworks and related policies and procedures
- Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department’s activities
- Carry out sample audits of IOSCO accredited prices to ensure compliance with processes and controls and report on monthly basis
9
Experience For Senior Risk Compliance Officer Resume
- Assist with the documentation and processes for IOSCO and BMR
- Keep up to date with regulatory changes which affect price reporting agencies and apply such changes deemed necessary to ensure compliance levels are maintained
- Relationship management with regulatory bodies and external auditors
- Develop and implement business continuity tests, disaster recovery plans and maintain risk registers
- Assist with formal complaints investigations
- Present at conferences, workshops, webinars
- Provide compliance introductory sessions to staff
- Monitor Risk & Compliance mailbox
- Part of the team responsible for the maintenance and adherence of all Company Policies
10
Experience For Compliance Control & Risk Management Officer Resume
- Broad and pragmatic thinker, ability to quickly interpret information and present in clear and reasoned way
- Challenge constructively and enforce appropriate boundaries
- Implement and Execute the Local AML & Sanctions List Management Process
- Co-ordinate the Global AML Name search and ad-hoc Name search request from local authorities
- Oversight the AML & Sanctions related training program to ensure it is in compliance with Citi Policy and local requirements; Monitor the completion of AML & Sanctions related training to ensure no delinquency; Co-ordinate with other AML and FIU team member to develop the training plan and material
- Co-ordinate with ACRM in Ignorance List review
- Other tasks as assigned by direct manager or unit/department managers
- Define / influence compliance policies and procedures
List of Typical Skills For a Risk & Compliance Officer Resume
1
Skills For AML Risk & Controls Compliance Officer Resume
- Excellent research, written, and oral communication skills and the ability to analyze information
- Great stakeholder management skills are also key to the position
- Experience of owning and delivering risk, compliance or audit plans and continuous improvement initiatives
- Experience of managing own workload with limited supervision and working under pressure to achieve deadlines
- Exposure/experience of internal auditing process
- Experience of implementing policies and procedures across multi-functional business areas
- Experience in risk management methodologies or frameworks including ISO7001
2
Skills For Compliance & Risk Management Officer Resume
- Experience in AML compliance, legal, risk, audit, banking or finance
- Acquire an excellent and thorough understanding of the business within appropriate time
- Good time management and deadline driven
- Excellent communicator at all levels, both written and verbal
- Risk and internal audit experience
- Experience of risk management methods within information technology and cyber security
- Conformance / Assurance experience
3
Skills For Risk Awareness Compliance Officer Resume
- Experience of technical application of risk
- Experience in another foreign bank or a large local bank
- Experience of Risk Management within a MiFID firm is desirable
- Validations and reviews of data are as follows
- Ensuring adherence to requirements within KYC/AML and other Compliance disciplines, including writing and maintaining
4
Skills For Risk Compliance Officer Resume
- Drafting, reviewing and implementing AML guidelines
- Establishing a proactive risk governance aligned with the bank including taking operational responsibility for risk assessments
- Influencing the application of resource within the organisation and ultimately improving compliance and reducing risk
- Supporting compliance by monitoring and highlighting any areas of key concerns
- Providing advice where required on any AML risk scoring methodologies adopted by the business
- Conducting MCA (Management Control Assessment) testing on all AML Compliance functions as allocated
5
Skills For Rohq-css-risk & Control Office Compliance & Control Officer Resume
- Understanding banking products and systems
- Accounting Processes, E-Recon, Reconciliations and supporting documentation for all concepts uploaded in the local systems
- Working knowledge of cross-border marketing rules
- Ensuring the timely completion of assigned reviews while producing quality work
- Providing timely status and potential issue updates to Compliance Testing Manager
- Preparing responses to information requests and general updates to regulatory bodies (e.g FCA and Lloyd’s)
6
Skills For Lead Risk & Compliance Officer Resume
- Providing advice, interpretation on the application of AML/CTF legislation and relevant AML policy
- Completing KYC and due diligence reviews
- Ensuring that AML Compliance risks are adequately identified, assessed, monitored, controlled and reported to senior management
- Monitoring the changes in policies, procedures and processes in the businesses assigned
- Providing local regulatory guidance to businesses as well as Compliance advice on Citi Policies
- Providing technical research and consultation to support risk and compliance programs and initiatives
- Working with the team and across the business to co-ordinate the timely delivery of actions and updates
- Ensuring that risk is known and understood throughout the organisation
7
Skills For Operational Risk & Compliance Officer Resume
- Familiarity with law and regulation relating to consumer credit and the CBI rules and codes applicable to CBL’s lending activities
- Responsible for the development, auditing, testing and implementation of Business Continuity Plans
- Assist with tailor made training course designed to the GCB business especially on KYC and AML Screening related to promote the awareness of all stakeholders
- Monitor regulatory developments relating to conduct and customer care, globally, and provide feedback and updates to the Conduct Risk Manager
- A pro-active, motivated and confident individual proficient with compliance systems, reporting and analysis of data
- Use mature professional judgement reporting independently significant issues directly to the Accountability and Risk Management Committee
- Willingness to present at conferences / workshops and provide compliance training to staff in global offices
8
Skills For Conduct Risk Compliance Officer Resume
- Support the Risk & Compliance Manager to facilitate Group and Divisional reporting requirements and escalations
- Develops reporting formats and distribution timelines for all risk management matrices
- Support the Risk & Compliance Manager to maintain and administer the Group Reporting Tool in a timely manner
- Ensure the coordination of the relevant Compliance training to be rolled out to GBIS staff
- Provides a full range of strategic compliance advice and services with specialist knowledge supporting a particular line of business or function
- Development of testing that supports the risk assessment
9
Skills For Senior Risk Compliance Officer Resume
- Development and delivery of executive level risk reporting
- Development and monitoring of key risk indicators or key performance indicators
- Assist team to complete periodic Manager Control Assessment (MCA) program and Compliance Monitoring Plan (CMP) when necessary
- Fast learner and detail oriented
- Qualified in the COBIT IT Governance Framework (COBIT Foundation Course, COBIT 4.1, Val IT 2.0 and/or Risk IT frameworks) is highly desirable
- Knowledge across all key risk types
10
Skills For Compliance Control & Risk Management Officer Resume
- Supports more experienced peers during collaboration with the internal Product team to determine the application of legal/regulatory/card brand requirements and ensure optional/user requirements support strategic direction while preserving compliance as they pertain to existing products
- Begins to build sufficient technical acumen to provide compliance guidance and feedback for proposed technical solutions
- + programme and administrative reviews; and
- + post facto reviews of EMR budget centres' operations
- 10- Coordinate the implementation of the annual work plan for risk-based office reviews; provide clear and consistent updates, analyses and reports on risks and threats to RD with actionable recommendations
- 11- Support the development of internal capacity building for risk management at all levels of the Organization; develop training tools in risk management and compliance applicable to the different audiences in the Region and foster a and a culture of risk management and compliance, raising staff awareness
- Reviews and co-ordinates BMOFG’s position on proposed amendments to existing legislation and proposed new legislation, working within existing organization processes for responding to regulatory proposals
List of Typical Responsibilities For a Risk & Compliance Officer Resume
1
Responsibilities For AML Risk & Controls Compliance Officer Resume
- Deliver high quality reports of the results to local and regional management through excellent verbal and written communication
- Auditing to ensure compliance with external regulatory bodies and internal Group and BU specific policies
- Independent and objective outlook with the ability to challenge accepted ways of doing things in a constructive and professional manner
- Engage in continuous knowledge development regarding sectors rules, regulations, best practices, tools, techniques and performance standards
- Have a sound working knowledge of the Lettings business
- Gain significant business, products and operational and risk management knowledge as exposure to multi product lines and businesses
- Enable proactive identification and management of risk
2
Responsibilities For Compliance & Risk Management Officer Resume
- Expanding the industry network or country-wide network by closely interacting with the Regional line, Local Management/Business/Functions, or peers on all AML compliance matters
- Assist business partners with preparation for internal and external examinations applicable the Compliance Program. Also, work with business partners to ensure corrective action plans are implemented timely
- Drafts reports to communicate potential issues; discussing findings with management; and ensuring corrective action implemented satisfactorily addresses any issues noted
- Maintains a commitment to continuous learning and developing knowledge and skills to competently and efficiently execute assignments
- Actively participate and work as part of a team
- Conduct compliance & risk assessments; monitor compliance with various laws and regulation, compliance reviews, evaluations, and generate relevant documents/reports
3
Responsibilities For Risk Awareness Compliance Officer Resume
- Assist internal clients to evaluate compliance with regulatory requirements. Understand the scope of work requested by the internal clients
- Perform procedures and prepare deliverables for the task assigned
- Information Management System ownership in accordance with ISO certifications
- Compliance with applicable Capita Group policy and standards
- Applicable Contractual, Statutory and Regulatory frameworks
- Understand contractual certification requirements and work closely with and support the business in maintaining ISO certification (9001, 20000, 22301, 27001, CAS(T), 14001)
- Facilitate and deliver Divisional Information Security requirements for each Business Unit
- Support the Risk & Compliance Manager to facilitate and coordinate all audit activities, remediation actions and build relationships with key business stakeholders, both internally and with external audit providers
- Experience in risk management methodologies or frameworks including ISO 31000
4
Responsibilities For Risk Compliance Officer Resume
- Undertake Lettings branch audits, follow up audits, including special investigations, in line with the annual Audit Plan
- Identify control weaknesses and opportunities for improvements, providing appropriate findings to a high standard within audit report
- Ensure all relevant standards, processes and policies are understood, and implemented across the business
- Knowledge of ISO Management Systems and their applications
- A highly organised individual who can manage multiple work streams simultaneously
5
Responsibilities For Rohq-css-risk & Control Office Compliance & Control Officer Resume
- Understand complex interrelationship of factors that create risks to successful accomplishment of the objectives of the EMR
- Focus on impact and results and respond positively to feedback
- Advocate and provide advice to senior management
- Maintain confidentiality and exercise judgement with respect to sensitive information, as well as operation under emergency context
- Achieve consensus on weaknesses identified in processes for evaluation and risk management and ways to remedy them
- Remain open to change and manage complexities
6
Responsibilities For Lead Risk & Compliance Officer Resume
- Contribute to, and participate in department meetings
- Build positive relationships within business/function areas
- Communicate with Lettings Senior Management, Risk and Audit team and Group equivalents
- Be familiar with Lettings specific regulations and preferably have a relevant Lettings qualification
- Learn audit principles and methods and techniques
- IT literate with a high level of proficiency in Microsoft programs particularly Excel
- Capable of thorough, detailed investigations and evaluation of systems and procedures
7
Responsibilities For Operational Risk & Compliance Officer Resume
- Able to work independently, arrange and manage audits in timely manner / self-motivated
- Monitor and embed XL Catlin’s 1st line Conduct Risk governance framework and processes to ensure customer outcomes are an integral part of the business
- Reviw the service provided to XL Catlin’s customers, both commercial and retail, throughout the customer lifecycle
- Respond to conduct queries from XL Catlin colleagues, Coverholders, third-party administrators or brokers
- Perform triage on new Consumer Products to ensure all compliance and regulatory information is present and product reviewers can commence their reviews
- Assess and report on XL Catlin’s cultural state of mind around conduct and the customer
8
Responsibilities For Conduct Risk Compliance Officer Resume
- Liaise with XL Catlin departments to support the conduct risk initiative including: Delegated Underwriting Management, Compliance, Claims, Wordings and Underwriting. Escalate any issues to the Conduct Risk Manager
- Review audits of Coverholders and third-party administrators to provide customer challenge and ensure XL Catlin service standards to customers are maintained
- Identifying, investigating and escalating AML issues, red flags and policy exceptions and assure that senior management are fully informed of significant AML issues on a timely basis
- 1) the managerial KPIs
- 2) programme and administrative reviews; and
- 3) post facto reviews of EMR budget centres' operations
9
Responsibilities For Senior Risk Compliance Officer Resume
- 8- Regularly monitor and report to the RD status of the risk register and be alert to emerging internal risks, as well as the effectiveness of the instituted risk measures
- 9- Act as the secretary to the Accountability and Risk Management Committee and present on a quarterly basis the results of the systematic measurements of: + the managerial KPIs
- Assists in implementation of a risk management process in the Mission in accordance with the DPKO/DFS Guidance
- Maintains the Mission’s Risk Register and facilitates the performance of a risk assessment
- Coordinates and prepares a regular ‘Mission risk Management Report’ specifying the activities and progress of the risk management initiative and ensure that all required risk information is recorded in the risk management system for analysis and reporting purposes
- Strong compliance and project management experience
10
Responsibilities For Compliance Control & Risk Management Officer Resume
- Qualified internal auditor
- Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instrumentsPrior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards e.g. IMMFA, Money Market Fund rating providers
- Support the Risk & Compliance Manager in ensuring alignment to 22301, working collaboratively with functional areas, mentor, validate and exercise appropriate Business Impact Analysis (BIAs) and BC Plans (BCPs) and support the Crisis Management (CM) processes and facilitate invocation of the crisis community, including delivering CM duty on a forecast basis
- Develop and implement a customer conduct training programme aimed at colleagues throughout XL Catlin UK & Ireland, including Service Companies. Additionally provide a conduct training programme to XL Catlin’s Coverholders, third-party administrators and brokers to ensure they are aware of regulatory requirements and offer customers a high level of service
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