Compliance Director Resume Samples

The main duty of a Compliance Director is to accomplish the compliance objectives of the business by producing value-added employee results, directing staff members, integrating objectives with business units, and offering information and opinion as a member of the senior management. Other crucial duties are mentioned on the Compliance Director Resume as – accomplishing compliance human resource strategies by determining the accountabilities; developing compliance organization strategy; establishing compliance operational strategy after evaluating trends and establishing critical measurements; and avoiding legal challenges by understanding the current legislation.

As this is a senior-level post, the Directors who take charge of the compliance objectives are expected to embrace the following skills – people management skills; the ability to deal with complexity; strong knowledge and experience in developing budgets, a strong understanding of legal compliances both present and the potential; technical leadership skills, and profound knowledge of financial planning and strategy. A Master’s qualification preferably in compliance management or operations is considered suitable for this post.

Compliance Director Resume example

Compliance Director Resume

Headline : Highly accomplished Compliance Director with extensive audit experience. Proficient at compliance and supervisory oversight of Registered Representatives. Ensure that firm and regulatory requirements are met by specified deadlines.

Skills : MS Office, Writing Skills, Customer Service.

Description :

    1. Minimized potential non-compliance issues for the business.
    2. Ensured insurance policies and vehicle service contracts meet regulatory requirements.
    3. Directed compliance issues to appropriate departments for resolution.
    4. Maintained compliance guidance updates.
    5. Consulted with IT to implement new programs.
    6. Coordinated compliance training and activities. 
    7. Acted as a trusted advisor to Siemens Healthcare Diagnostics management with respect to compliance matters.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
GED


Compliance Director Resume

Headline : Highly qualified Compliance Director with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment in which your the company prides itself.

Skills : Regulatory Compliance, Planning, Administrative skills.

Description :

    1. Served as a member of the compliance senior leadership team.
    2. Attended and participated in team meeting calls and offsite.
    3. Established, reviewed, and maintained strong and effective compliance standards and programs.
    4. Managed a team of eight full-time employees located in three different states.
    5. Prepared monthly dashboards of monitoring and transaction testing results for key stakeholders.
    6. Collaborated with stakeholders to resolve compliance issues. 
    7. Defined and developed process improvements to support business activities in a compliant manner.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Degree


Compliance Director Resume

Objective : A Compiance Director with 2 years of experience in Partnering with all levels of key business functions to provide moderate to complex OEC and functional policy interpretation and providing guidance on the requirements.

Skills : MS Office, Creative Suite, Customer Service, Creative Problem Solving.

Description :

    1. Provided compliance rules, changes, issues, and deadlines to the applicable departments, executive staff, and board members.
    2. Created compliance department policies, procedures, and training materials.
    3. Performed third party vendor due diligence, card brand registrations, and maintained the relationships.
    4. Completed project management and implementations of products, systems changes, and software required due to compliance demands, projects, or acquisition.
    5. Implemented and managed a PCI Program and IRS reporting program for all 45k merchants that reduced potential losses and increased company revenues over 300k annually.
    6. Managed account data compromising minimizing losses for clients and company.
    7. Monitored program compliance for all grants.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
G.E.D

Compliance Director Resume

Headline : Compliance Director with 6 years of experience in Monitoring and implementing national letters of intent, financial aid renewals and summer financial aid for all sports, and also Reviewing and approving all camp/clinic materials.

Skills : MS Office, Writing Skills, Customer Service.

Description :

    1. Monitored eligibility status, prepared squad lists, and handles financial aid allocations for student-athletes.
    2. Oversaw and approved campus visits for all sports.
    3. Performed program presentations for the recruitment of prospective student-athletes and parents of prospects.
    4. Administered the NCAA coaches certification exam.
    5. Oversaw and point person for waivers and transfer portal.
    6. Assisted with NCAA and Mid-American Conference bylaw interpretations.
    7. Prepared NLI and scholarship paperwork.
                    Years of Experience
                    Experience
                    5-7 Years
                    Experience Level
                    Level
                    Executive
                    Education
                    Education
                    GED

                    Compliance Director Resume

                    Objective : Seeking a Compliance Director position, responsible for developing, delivering, and updating OEC' s comprehensive training program on moderate to complex OEC and functional policies and procedures.

                    Skills : Computer Skills, Communication Skills, Verbal Skills.

                    Description :

                      1. Ensured internal compliance procedures are consistent with current regulations and made changes as necessary.
                      2. Developed positive partnerships with Operations team members to assist in their success in complying with necessary programs and procedures.
                      3. Identified and incorporated opportunities to streamline compliance-related processes.
                      4. Developed/improved effective relationships with state and monitoring agencies.
                      5. Gathered, validated, and submitted the required monthly quarterly, and annual reports due to agencies in a timely manner.
                      6. Ensured that others with these same responsibilities meet their deadlines as well. 
                      7. Prepared and conducted annual Compliance Risk Assessment for Siemens Healthcare Diagnostics.
                    Years of Experience
                    Experience
                    2-5 Years
                    Experience Level
                    Level
                    Executive
                    Education
                    Education
                    Bachelor Degree

                    Compliance Director Resume

                    Objective : As a Compliance Director, responsible for Assisting in the training of third parties (i.e., distributors, agents, authorized service contractors) as appropriate, Overseeing and training compliance interns, and also Serving as the primary contact for agents.

                    Skills : Planning, Maintenance Skills, Risk Assessment Skills.

                    Description :

                      1. Served as 504 Compliance Coordinator ensuring compliance with all ADA regulations.
                      2. Included facilitating internal and external reporting requirements for all entities with a partnership interest.
                      3. Provided guidance and training to compliance specialists to ensure all properties are in compliance.
                      4. Conducted 100% file reviews for all initial files due to a syndicator for rehab properties.
                      5. Conducted suitability review for securities transactions within the broker-dealer as management approval for elevated accounts. 
                      6. Managed Siemens Healthcare Diagnostics compliance processes on a global basis.
                      7. Identified and resolved compliance issues promptly and ensure open communication with internal stakeholders.
                    Years of Experience
                    Experience
                    2-5 Years
                    Experience Level
                    Level
                    Junior
                    Education
                    Education
                    BS

                    Compliance Director Resume

                    Objective : Seeking a Compliance Director position, Responsible for the initial registration of products/labels in the States and maintaining products currently registered in the States; including coordinating, preparing a review, tracking, and following up on all registrations.

                    Skills : Problem Solving Skills, Critical Thinking, Interpersonal Skills.

                    Description :

                      1. Responded to renewals and data call-ins.
                      2. Applied for registration of new active compounds and end-use products.
                      3. Interacted and communicated with third parties, registration consultants, and legal firms.
                      4. Monitored legislation for nutritional products and adjuvants to anticipate regulatory changes and proposed actions that may affect national registrations.
                      5. Supported regulatory requirements to obtain company authorizations required to start registration.
                      6. Assured compliance of main registration documents such as sales certificates, manufacturer licensing, labels, and SDS through the current knowledge base and knowledge of upcoming regulations and standards (AAPFCO).
                      7. Maintained internal programs, which included the Consumer Federal Protection Bureau (CFPB) regulations, Federal Reserve Bank regulations, FDIC.
                    Years of Experience
                    Experience
                    2-5 Years
                    Experience Level
                    Level
                    Junior
                    Education
                    Education
                    GED

                    Compliance Director Resume

                    Objective : Highly skilled Compliance Director with 4 years of experience in Targeting areas include trade surveillance, personal trading, control room, registration, training, anti-money laundering, account review, and disclosure of interest.

                    Skills : Managing Skills, Training Skills, Directing Skills.

                    Description :

                      1. Responsible for the strategy and design of back-office Compliance controls for the Investment Bank and Asset Management, such as trade surveillance, account review, and personal trading.
                      2. Collaborated with numerous business and technology units to merge separate broker-dealers and Compliance departments.
                      3. Integrated trade surveillance and reporting within seven months.
                      4. Participated in and monitoring activities of governmental and/or industry working groups and associations.
                      5. Provided support for registrations and renewals by advising and interpreting regulatory rules and requirements including ensuring labeling requirements for compliance.
                      6. Devised a proactive, program based business model that generated the firm's first profit and grew revenues over 200%. 
                      7. Monitored and modified the Anti-Money Laundering Program and Business Continuity Plan for the firm.
                    Years of Experience
                    Experience
                    2-5 Years
                    Experience Level
                    Level
                    Junior
                    Education
                    Education
                    MS

                    Compliance Director Resume

                    Headline : Highly motivated, experienced, and passionate candidate seeks to further a career in a Compliance Director position that can utilize my technical skills and management knowledge to benefit mutual growth and success.

                    Skills : Coordinating SKills, Analyzing SKills, Detail-Oriented.

                    Description :

                      1. Developed, maintained, and oversaw regulatory compliance programs.
                      2. Enhanced, developed, and implemented compliance policies and procedures.
                      3. Interfaced with portfolio managers, traders, legal, and regulators.
                      4. Drafted and maintained written policies and procedures for the compliance programs.
                      5. Worked closely with the Broker-Dealer Chief Compliance Officer to monitor employee training and notify CCO of any problems or concerns.
                      6. Coordinated Firm Element courses for all registered representatives and conduct annual compliance meetings for all employees and monitor attendance.
                      7. Approved and/or denied personal securities transactions request.
                    Years of Experience
                    Experience
                    5-7 Years
                    Experience Level
                    Level
                    Junior
                    Education
                    Education
                    BS

                    Compliance Director Resume

                    Objective : Compliance Director with 5 years of experience in Developing, implementing, modifying, and overseeing corporate and/or functional monitoring plans and any corrective actions to ensure compliance with policies and procedures.

                    Skills : Multitasking, Managing SKills, Monitoring Skills.

                    Description :

                      1. Developed, implemented, monitored, and audited the Siemens Compliance system for the Healthcare Diagnostics division.
                      2. Assisted with the administration of the departments compliance education
                      3. programs.
                      4. Assisted with investigating possible NCAA rules violations and reports on rules infractions to the NCAA and MAC office.
                      5. Evaluated and approved playing and practiced season declarations for all sports.
                      6. Determined and monitored student-athletes eligibility to engage in countable athletically related activities (CARA).
                      7. Assisted with a comprehensive financial aid program (institutional and non-institutional aid).
                      8. Served as liaison between the compliance office and financial aid office.
                            Years of Experience
                            Experience
                            2-5 Years
                            Experience Level
                            Level
                            Executive
                            Education
                            Education
                            GED