Senior Compliance Specialist Resume Sample
Nash Huels
3545 Braden Locks,
Philadelphia,
PA
+1 (555) 301 5842
Work Experience
Senior Compliance Specialist
02/2016
-
PRESENT
New York, NY
- Participate in firm wide and other department projects/initiatives as the GRC representative/subject matter expert to provide GRC guidance and interpretation of rules, regulations, risks, and best practices
- Participate in the filing and creation of the GRC goals
- Act as a firm representative or testify in arbitrations, lawsuits, regulatory enforcement matters, and other cases
- Ensure expertise in relevant technology; proactively use most current technology to further teamwork, client service, and efficiency
- Ensuring optimum compliance for solicitation programs across the Enterprise by overseeing prevention and detection practices for the following: FTC / FCC Do Not Call (DNC); federal TCPA texting; e-mail practices covered by the FTC’s CAN-SPAM Act; Do Not Mail (DNM); FTC’s FACTA. Participate in corrective action when needed to mitigate future regulatory exposure
- Conduct research and analysis to help ensure that Allstate’s DNC practices remain consistent with federal (FTC and FCC) and state-specific rules
- Work across organizational lines to help business units succeed in their respective programs while providing guidance to ensure DNS practices are aligned with DNS Rules and Allstate’s expectations
Senior Compliance Specialist Dental Platform
10/2011
-
08/2015
Los Angeles, CA
- Monitor business units and third party vendors to ensure adherence to DNS Rules and Allstate’s Corporate Policies (text, call, email, mail). Recommend corrective action as needed
- Help oversee Allstate’s DNC Investigator Mailbox and provide timely responses to Allstate’s field partners’ inquiries regarding DNS issues
- Help ensure that Do Not Mail concerns are addressed and that practices are consistent with Direct Marketing Association requirements and Allstate’s expectations
- Answer 30 - 40 incoming calls and 15—20 emails per day from Advisors and their support staff, Financial Institutions and other members of the firm
- Escalate items to Marketing Regulatory Review Management in a timely manner when necessary
- Acting proactively to identify any potential issues
- Work in a fast paced environment to handle multiple and competing deadlines and handle high volume
- Serve as primary point of contact for Customer and Regulatory Agency communications
- Lead the preparation, planning & logistics, inspection management, and management of formal response/follow-up for Customer and Regulatory Agency Inspections
Senior Compliance Specialist, Moscow
04/2009
-
08/2011
Houston, TX
- Collaborate with/Influence key operations customers to drive the site Compliance Improvement Program
- Provide compliance expertise to the site, consulting with customers and helping to identify compliance gaps, recommending compliance improvements or solutions for the supply site
- Core team participant on Issues Management Teams, driving resolution of complex compliance issues
- Author/Publish regular Compliance Reports to site and quality leaders
- Lead/actively participate in site Quality Forums including: Quality Review Board, Quality Assessment, and Compliance meetings
- Design/Develop/Deliver site cGMP site Training Programs as needed
- Support Medtronic’s businesses by handling compliance matters to the highest professional standards, supporting business objectives and managing risk in a pragmatic, timely and compliant manner
Education
Strayer University - Baymeadows Campus
2004 - 2008
Bachelor's Degree in Business
Professional Skills
- Possesses and applies a broad knowledge of principles, practices, and procedures of particular field of specialization to the completion of difficult assignments. For legal positions, specializes in a particular area, such as title insurance and settlements, licensing, and state rules and regulations of these areas, etc
- Excellent time management, writing / communication skills, decision making, presentation, human relations, and organizational skills
- Advanced research and summation skills; strong analytical and investigative skills
- Excellent written skills and a demonstrated ability to express
- Effective organization skills and project management skills
- Strong attention to detail and excellent research skills
- Excellent interpersonal and communication skills with ability to effectively interface with technical personnel at various levels of the organization
How to write Senior Compliance Specialist Resume
Senior Compliance Specialist role is responsible for database, facilitation, analytical, organizational, interpersonal, training, advanced, negotiation, organization, powerpoint.
To write great resume for senior compliance specialist job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Senior Compliance Specialist Resume
The section contact information is important in your senior compliance specialist 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 Senior Compliance Specialist Resume
The section work experience is an essential part of your senior compliance specialist 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 senior compliance specialist responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular senior compliance specialist position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Senior Compliance Specialist resume experience can include:
- Proven consultative skills to effective outcomes
- AGood time management skills and the ability to meet deadlines
- Effectively communicate with QC Chemists, management and off site CROs to resolve technical issues and aberrant results presented during testing
- Problem solving and innovative thinking skills
- Proven experience of contracts, pricing & channel processes is required
- Proven and strong training ability
Education on a Senior Compliance Specialist Resume
Make sure to make education a priority on your senior compliance specialist resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your senior compliance specialist 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 Senior Compliance Specialist Resume
When listing skills on your senior compliance specialist 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 senior compliance specialist skills:
- Solid analytical skills; excellent attention to detail
- Strong Project Management, technical, analytical & problem solving skills
- Sound reasoning ability to prioritize, act and effectively direct others
- Computer skills including experience with Microsoft Office; willingness and ability to learn and use implemented software solutions
- Experience applying negotiation and conflict resolution skills
- Strong technical skills – comfortable using a variety of software systems (Excel, Access, Sequel, SharePoint, etc.)
List of Typical Experience For a Senior Compliance Specialist Resume
1
Experience For Senior Compliance Specialist Dental Platform Resume
- Validate the effectiveness of controls through testing, including process walkthroughs with management and detailed review of supporting documentation
- Strong business and financial acumen, with demonstrated understanding of core business processes
- Computer Skills – Microsoft Word, Outlook, Excel
- Computer Skills – Microsoft Word, Outlook, Excel, Automated Compliance Systems
- Preview, monitor and evaluate the adequacy and effectiveness of the Company’s compliance program and design and recommend improvements to manage risk
- Review, monitor and evaluate the adequacy and effectiveness of the Company’s compliance program and design and recommend improvements to manage risk
- Provides support for production model consolidation
- Strong knowledge of Design Lifecycle and Quality Risk Management
2
Experience For Senior Compliance Specialist Rotating Hour Day Shift Resume
- Measuring performance of the quality system and reporting on this at the management review meeting and during quality performance meetings e.g. SPM
- Drafting and escalation of potential issues identified during reviews
- Monitoring the tracking of GCP distribution; and
- Working knowledge of word processing, spreadsheet, PowerPoint and database management software
- Identifying GRC-related deficiencies in existing and proposed architectures
- Mentoring team members across the security, networking, and system groups with regards to GRC fundamentals
3
Experience For Senior Compliance Specialist, Moscow Resume
- Coordinating the quality system, ensuring full compliance by all personnel with its requirements
- Understanding of all regulatory requirements and knowledge of reporting requirements
- Addressing/assessing compliance risks on identified issues
- Maintaining the Firm’s GIPS Compliance Presentations (“GCPs”) and Advertisements
- Maintaining the Firm’s GIPS Manual
- Acting proactively to identify potential issues and lead staff initiatives to improve and streamline surveillance procedures
4
Experience For QC Senior Compliance Specialist Resume
- Providing ad-hoc support of compliance cases to analysts
- Coordinating change control and Change plan activities
- Establishing Corrective / Preventive Action system and procedures
- Reporting requirements exist on a monthly, quarterly and annual schedule
- Provides daily and ongoing monitoring of state and federal regulation changes covering marketing conduct rules, as well as risk conduct monitoring
- Povide guidance to employees on Medtronic’s compliance policies and programs, including developing and running training programs
- Participate and assist in the Company’s distributor management program, including contracting, compliance reviews, monitoring and training
5
Experience For Mitg Senior Compliance Specialist SH Resume
- Provide guidance to employees on Medtronic’s compliance policies and programs, including developing and running training programs
- Coordinates programming and other reporting activity with IT Develops, coordinates, communicates and/or implements compliance training and awareness programs
- Monitors department reporting to determine additional needs for compliance training and serves as a lead reviewer/approver of training modules
- Performs research and analysis on supporting data and information needed regarding various compliance issues of the organization
- Assists in preparation of training materials and performs actual training/webinars
- Support the processing and maintaining of New Supplier Requests, Supplier Notices of Change and Supplier Corrective Action Reports
- Handles new law and new regulation analysis, communication and resulting action planning to assure compliance
6
Experience For Senior Compliance Specialist, Ermc Resume
- Contribute to continued efforts to enhance risk management awareness across Global Finance through on-going communication and training
- Perform targeted and repetitive testing as part of the monitoring program
- Review metrics and reporting from across the organization in order to identify emerging or potential risks and trends
- Monitor distributor compliance, including working with Audit function to perform compliance audits of distributor network
- Provides compliance-related training to sales and marketing personnel related to areas of responsibility
- Review Loan Estimates and Closing Disclosures for accurate placement of the fees and timing requirements
- Distribution and tracking correspondence, setting up of new complaint and investigation cases
- Critical thinking and problem solving: ability to develop and implement new ideas to improve processes
7
Experience For Senior., Compliance Specialist Resume
- Communicate directly with clients, advisors, and business partners regarding compliance related issues and case status, providing compliance reports to leaders
- Develop and manage training programs. Conduct training for colleagues and proposed business partners
- Leads and manages investigations, including remedies resulting from complaints and violations
- Prepares for audit by researching materials; formulating a plan for audit
- Supports external auditors by coordinating information requirements and/or collaborating as assigned
- Provide mortgage servicing subject matter expertise to business partners, including
8
Experience For Cib Senior Compliance Specialist Resume
- Complete transactional testing/sampling, as needed
- Clearly document the review, including drafting of compliance memos and reports
- Assist in preparing for and responding to state and CFPB examinations
- Collaborate with affiliate and manufacturing sites to perform monthly, quarterly and annual trending of Divisional Compliance metrics
- Responsible for reviewing sponsorship and exhibit opportunities, grant requests, HCP needs assessments and FMV, and drafting of related contracts
- Well organized and capable of handling a demanding workload across SEA
9
Experience For Cib-senior Compliance Specialist Resume
- Contribute to anti-corruption compliance risk mitigation through continuous analysis of risk, handling specific issues and remediation measures
- Adherence to deadlines pertaining to service level agreements
- Facilitate cooperation and collaboration with partnering departments
- Work along with QA Team commitment owners and QA Sr. Manager on developing deliverables
- Retrieve, analyze, evaluate, summarize and tabulate data for informed reporting to the site and upper management
10
Experience For Senior Compliance Specialist Resume
- Coordinate meetings, calls and meeting minutes as needed
- Education: BS in Chemistry, Microbiology, Engineering or other science related discipline
- Provides support for completing deficiency responses to health authorities
- Work closely with underwriting counsels and other state/regional counsels as necessary
- Responsible for the implementation and maintenance of the Supplier Quality Supplier Monitoring Program
List of Typical Skills For a Senior Compliance Specialist Resume
1
Skills For Senior Compliance Specialist Dental Platform Resume
- Excellent problem-solving skills. Develops solutions to complex problems, ensuring consistency with organization’s objectives
- Excellent problem-solving skills. Develops solutions to complex problems, ensuring consistency with organization’s
- Strong interpersonal, organizational, analytical, project management and problem solving skills
- Good PC skills and proficient in Microsoft Office
- Excellent computer skills with proficiency in Microsoft Word, Excel, and PowerPoint
- Strong analytical and process definition skills required
- Strong organizational, analytical skills and attention to detail
- Prior experience working on a Federal Government project and knowledge of the
- Mentors other team members according to employees’ abilities and skills
2
Skills For Senior Compliance Specialist Rotating Hour Day Shift Resume
- Demonstrated experience with the following compliance frameworks: PCI-DSS, SOC 2/3, ISO 27001, GDPR
- Guides Compliance Specialist and supports Director of Compliance as needed to effectively manage the Corporate Compliance Program
- Advanced communication and presentation skills are required
- Intermediate to advanced computer skills in Word, Excel, Access, and PowerPoint
- Work effectively as an individual, a team player, and in a cross-functional role
- Dealing with management and building effective relationships without compromising independence
- Overseeing research initiatives, the data collection process, and the compilation of state applications for the Authority to Operate new and existing programs
- Performing daily and periodic surveillance and analysis of consolidated reporting activity and other activities of Financial Advisors
- Two (2) or more years of experience investigating, documenting and providing outcomes
3
Skills For Senior Compliance Specialist, Moscow Resume
- Experience successfully supporting, communicating or negotiating with clients/vendors in a business-to-business environment required
- One year experience in or knowledge of accounting and finance functions and processes in a large banking or financial services firm
- Skilled in interpreting and closely following policies, rules and regulations
- Experience with inspecting or investigating wastewater treatment facilities or watersheds for water quality compliance
- Experience positively influencing or leading others
- Mortgage banking/lending experience
- Establish and maintain programs for ongoing monitoring and improvement of the effectiveness of the Quality System
- Provide real time QA input to enable effective, compliant solutions to emerging issues in the manufacturing areas
4
Skills For QC Senior Compliance Specialist Resume
- Excellent working knowledge of domestic and international medical device regulatory compliance requirements and operating procedures
- Typically has 5-8 years of related experience in title and/or closing production and/or licensing of national title agencies
- Experience in creating and maintaining compliance management
- Responsible for tracking supplier audit corrective actions and verifying the effectiveness
- Compliance support for the GxP system and processes across SQRC to ensure ongoing compliance and validation
- Two years of business, finance, risk management or consulting experience
- Two years of combined experience across internal or external auditing, compliance, risk management or other related field
- Extensive experience in Quality Systems, Quality operations and Product Development and Manufacturing a distinct advantage
5
Skills For Mitg Senior Compliance Specialist SH Resume
- Two (2) or more years of experience working with PUC codes, tariff rules and rates
- Experience communicating complex technical issues to the public
- Experience with teaching complex tasks in a professional environment
- Experience on engineering, procurement, construction project(s)
- Experience with at least two of the following: procurement and/or contract administration
- Experience in using an automated investment compliance system such as CRD, Bloomberg AIM and similar systems
- Maintains knowledge of current good manufacturing practices cGMPs
6
Skills For Senior Compliance Specialist, Ermc Resume
- Design and establish internal benchmarking tools to identify trends and program effectiveness
- Direct experience in complaint handling, post-market regulatory response, and /or field action management highly desired
- Verification of effectiveness of corrective / preventive actions arising out of product, process and quality system non-compliance
- Strong understanding of regulatory requirements relevant to the RB portfolio of products and electronic systems (GAMP)
- Experience working in an environment where controls and deadlines are required
- Proven knowledge and ability to develop standard operating procedures
7
Skills For Senior., Compliance Specialist Resume
- Independently manage multiple assignments simultaneously, prioritizing based on risk
- Working experience in a regulated industy
- Experience in performing audits is required
- Financial services experience, preferably in a Registrations or Licensing
- Experience with business protocol to communicate/ consult with team members, clients and management
- Excellent knowledge of laws and regulations applicable to legal entities, real property, title insurance, and settlement
8
Skills For Cib Senior Compliance Specialist Resume
- Provide effective solutions to the business to mitigate compliance risk
- Or relevant experience
- Able to apply effective time and project management
- Compliance representative for governance frameworks (Change board & Computer Validation Team)
- Ensure validation and change control is carried out correctly, particularly to satisfy regulatory & RB requirements
- Industry experience
- The requirements listed below are representative of the knowledge, skill, and or ability required
9
Skills For Cib-senior Compliance Specialist Resume
- Demonstrated ability to understand and explain Federal DOT and FAA regulations
- Previous surveillance, compliance, or operations experience in financial services
- Experience. (Focus in Data Analytics is ideal)
- FINRA registration and insurance appointment administration experience required
- Experience with compliance or enforcement of environmental rules and regulations
- Experience in a quality and/or compliance function as well as in performing audits is required
10
Skills For Senior Compliance Specialist Resume
- Strong customer service orientation toward both internal and external customers
- Manages multiple priorities either independently or as part of a team in order to meet key department deadlines and communicate issues and progress
- Through knowledge and experience with Electronic Test and Measurement Equipment
- Experience in Post-Market surveillance and data analysis, medical device failure modes and associated statistical analysis is desired
- Job-related experience as a financial institution internal auditor, compliance officer, or compliance auditor
- At least three (3) years of overall experience in audit activities
- Performing and managing housekeeping audits to ensure that they are scheduled, executed and closed on time
- Working knowledge of the law library, state and federal regulations, code sections, legal decisions and Commerce Clearing House volumes
List of Typical Responsibilities For a Senior Compliance Specialist Resume
1
Responsibilities For Senior Compliance Specialist Dental Platform Resume
- Strong leadership capabilities and organizational skills
- Strong written and verbal communication skills (proposals, summaries, memos, etc.)
- Strong people skills – ability to earn the respect of and influence senior managers and executives
- Proven written and verbal communications, decision making and organizational skills required
- Internal Audit Experience in the Financial Services Industry
2
Responsibilities For Senior Compliance Specialist Rotating Hour Day Shift Resume
- Design metrics and perform routine data analysis and reporting to ensures effective communication to management of known or potential compliance risks
- Strong communicator to represent team at cross functional quality meetings
- Drive risk assessment and compliance priorities for countries and support implementation
- Documents all issues and supporting documentation in the Compliance database in an effective and timely manner
- Direct experience in complaint handling, post-market regulatory responses, and /or field corrective action management highly desired
- Experience in drafting formal technical communication is highly desired
- Validation compliance of bill presentation, completeness/accuracy of bill messages and onserts
3
Responsibilities For Senior Compliance Specialist, Moscow Resume
- Build effective working relationships and interact with other project departments and functions
- Strong knowledge of RSO processes and broad knowledge of Customer Service Operations Division (CSOD) processes
- Strong interpersonal and teamwork abilities to work across departments, divisions and organization units
- Strong knowledge of General Rate Case Process
- Experience with water quality laws, rules, and permits in the State of Washington
- Understanding of data mining and system surveillance
- Auditing the quality system with other management personnel
- Attains compliance by isolating and resolving non-compliance issues; recommending product and process changes; initiating engineering change orders
- Assists in drafting and revising collections and loan servicing policies, procedures and desktop instructions, as well as process flows
4
Responsibilities For QC Senior Compliance Specialist Resume
- Responsible for monitoring, analyzing, and escalating the status of issues on the compliance log
- The physical demands include close vision for computer work, standing, sitting and repetitive use of hands and fingers, occasional lifting of up to 25 pounds
- Develops training documents and presentations to assist with employees’ understanding of requirements of AS9100, Nadcap, OSHA, etc
- Assists in complaint tracking and identifying complaint trends
- Organizes compliance program by preparing timetables, cost estimates, and required resources including test laboratories and equipment
- Support the development, execution and tracking of new and revised procedures managing change control
- Works with the line of business in developing controls, improvement in plans and procedures to ensure compliance resulting in change in behavior and processes
5
Responsibilities For Mitg Senior Compliance Specialist SH Resume
- Mortgage compliance knowledge -- RESPA, TILA, FCRA, SCRA, TCPA, Fair Lending/Servicing, GLBA, EFT, E-Sign, State Requirements, etc
- Detailed understanding of the cGMP and CFR’s
- Develop and execute a monitoring plan for assigned business lines based on Key Risks
- Is a liason on Business regulatory exams and audits that impact CRA or Fair Banking
- Conduct review of testing results in support of release of intermediates
- Prepare required federal contract government reports, such as EEO-1 and VETS-4212 reporting and assist with Affirmative Action Plans
6
Responsibilities For Senior Compliance Specialist, Ermc Resume
- Act as a liaison between Engineering & Automation and onsite quality and regulatory groups to define and address compliance related items
- Speak to large groups of people (including senior management and regulatory agencies)
- Creates and maintains records, reports, knowledge databases, SharePoint sites, etc. as necessary related to compliance and reporting
- Manage and participate in file compliance processes, including review of files for compliance with processes and procedures
- Communicate to impacted Business Units new regulations or updates to existing changes
- Lead monthly RCM update call with business and control partners, including preparation of the status deck
- Development or assessment of compliance-related training materials
- Participate in the compliance risk assessment process, including identification of inherent risks and documentation of the control environment
7
Responsibilities For Senior., Compliance Specialist Resume
- Timely and accurately execute reviews within the annual Servicing Compliance Assurance Plan
- Contribute to the Compliance Monthly Report by providing month-end statuses for RCM, advisory, and assurance activities
- Procures documentation and data required for regulatory filings including new submissions, renewal, site registrations, and variations
- Performs on-site supplier audits for contract manufacturers, API, contract labs, components, clinical suppliers and packaging material
- Partners with Global Purchasing & Procurement and R&D to right size the supplier base and continuously improve supplier relationships
- Development and implementation of procedures affecting several business groups and functions
- Identifies targeted areas of improvement that impact changes in behavior and processes resulting in a more compliance conscious culture
8
Responsibilities For Cib Senior Compliance Specialist Resume
- Responds to DOI inquires resulting from the market conduct examination
- Relationship Building- Builds and maintains positive relationships with co-workers across a variety of functions and locations within the organization
- Technical knowledge of LOS (Loan Origination System) and Servicing systems
- Provide review and support of Annual Product Reviews (APR’s)
- Partner with functional teams across Global Finance and other risk & compliance organizations to support proactive identification, assessment, monitoring and testing of process level risks and controls and to drive issue resolution and risk mitigation activities
- Obtain and maintain a process-level understanding of assigned business areas across Treasury, Tax, Balance Sheet Management, Controllers Organization, and LOB Finance
- Perform detailed reviews over policies, procedures, process flows & other documentation to learn process functions and identify & recommend process and documentation improvement opportunities
- Support the assessment and on-going monitoring of key risk processes and controls; identify areas for improvement and implement strategies to create more efficient and controlled operational processes
9
Responsibilities For Cib-senior Compliance Specialist Resume
- Develops and maintains formal process documentation including procedures and process flow diagrams
- Obtain and maintain expertise in assigned enterprise wide program (e.g. Model Governance, Data Quality, Business Continuity) requirements & deliverables and serve as a liaison, or key collaborator, between the Business Areas and the Corporate program owners
- Facilitate and track the Business Areas’ compliance with program requirements & deliverables through the creation of project plans, regular status reports & other ad hoc tools
- Creating budgets to achieve and maintain all required regulatory authorizations
- Compile management and committee level reporting to communicate and monitor key risk indicators and key performance indicators
10
Responsibilities For Senior Compliance Specialist Resume
- Lead, coordinate and maintain SRA related compliance processes related to ingredient, product, package, label, claims, communication development, etc., working cross-functionally with BU, Group and Corporate functions, as required (e.g., with SRA, PAC, Legal, Formula Governance, R&D, Quality)
- Review and manage ingredients approval to comply with local regulations and TCCC policies for both existing and new product development
- Oversees/executes and/or performs tasks from beginning to end
- Maintain and update SRA tools, systems and processes
- Researches very complex regulatory issues with a special focus on Vendor Management
- Conducts and leads testing efforts, documents findings, presents findings to appropriate levels of management, and serves as reviewer of written reports within assigned teams
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