Compliance Manager Resume Samples

The main job of a Compliance Manager is to develop and oversee the control systems so as to prevent violations of legal guidelines and policies. A well-drafted Compliance Manager Resume falls nothing short of the following duties – developing and overseeing personnel to ensure adherence with internal policies, evaluating the control efficiencies, and improving such efficiencies, revising procedures and reports, identifying hidden risks or non-conformity issues, drafting and implementing company policies, monitoring enforcement of standards and regulations and identifying compliance issues.

Apart from proven work experience, employers look forward to these skills and abilities – in-depth knowledge of the industry’s standards and regulations, excellent knowledge of reporting procedures, business acumen, methodical approach to work, and an analytical mindset to view the complexities and issues. A Bachelor’s degree in law, finance or business administration is commonplace among Compliance Managers. Possessing a compliance certification will be an added merit.

Compliance Manager Resume

Objective : Particularly effective in identifying, assessing, and resolving complex operational problems effectively and quickly. Met and exceeded company goals, targeted expectations, and guidelines; while modeling the same. Exceptional problem solver that is driven by success, results, and desire to protect the company's best interest.

Skills : Micosoft Office, OSX Operating Systems, NMLS, Encompass, Avista, ProLaw, Perfect Practice, LPD Desktop, Clarfire, Vendorscape, CaseWare, Gators, Mortgage Licensing.

Description :

    1. Developed, initiated, maintained, and revised policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
    2. Managed day-to-day operation of the Program.
    3. Collaborated with other departments (e.g., Risk Management, Internal Audit, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
    4. Consulted with the corporate attorney as needed to resolve difficult legal compliance issues.
    5. Ensured proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
    6. Identified potential areas of compliance vulnerability and risk; developed/implemented corrective action plans for resolution of problematic issues, and provided general guidance on how to avoid or deal with similar situations in the future.
    7. Provided reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts, State/Federal Examinations, etc.
    8. Monitored, and as necessary, coordinated compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Science


Compliance Manager/Coordinator Resume

Summary : Expertise with areas of excellence Reviewed credit, title, assets and appraisals for policy and regulatory adherence Extensive knowledge in income and tax return review Provides compliance risk expertise and consulting Develops testing strategies and methodologies Consults with business and Reports clear and concise findings.

Skills : Advance Tax Return Business Income Analysis, Appraisal Review, Credit Review, Income Review, Consumer Loan Underwriter, Regulatory Lending Compliance, Management.

Description :

    1. Managed compliance testing team for Retail Fulfillment Group of Home Equity.
    2. Developed long term, sustaining relationships with legal, advice and lines of business Directed compliance testing activities and managed compliance testing processes and training for six direct reports.
    3. Developed and implemented regulatory compliance testing program, created testing strategies, methodologies, and test scripts for Home Equity lines of business.
    4. Developed compliance testing policies, procedures, and other testing tools to meet applicable federal laws and regulations, standardization of processes, and accurate compliance reporting.
    5. Implemented test planning steps and created standardized work papers and documentation requirements.
    6. Concise reporting of potential deficiencies Reviewed test findings, identified issues, worked with business line to resolve issues, made Recommendations and implemented action plans to address deficiencies.
    7. Provided compliance risk expertise on business line policies and procedures for accuracy, consistency, and proper regulatory coverage.
    8. Designated contact for OCC examinations and internal audits including gathering compliance testing items requested during exams and audits.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Mortgage Underwriter


Sr. Compliance Manager Resume

Summary : Positive, results oriented person, who enjoys the rewards of successful employees through hands on management and training. Extensive twenty-seven (27) years experience in Automotive Business Management in the capacity of Controller/Business Manager.

Skills : Microsoft Office, BLS, Compliance, Healthcare.

Description :

    1. Exercise daily oversight of compliance and HIPAA operations, such as report quality, staff development, presentation of information to clients or external authorities including state and federal agencies, and regulatory change management.
    2. Research and support response to investigative and corrective action plans and queries.
    3. Conduct audits and reviews to ensure operational procedures are being followed.
    4. Display exceptional problem solving and interpersonal communication skills through support of client's compliance and regulatory issues, escalating to the appropriate client engagement staff and internal business teams.
    5. Developed strategic corrective actions, for both business teams and Medicare Part D through the process of design, tracking, execution and completion, decreasing discrepancies in monthly and annual audits.
    6. Decreased risk by utilizing in-depth knowledge and staying up-to-date on legislation and regulations, and conducting comprehensive analyses of numerous factors and extensive research of state and federal laws.
    7. Represent government program compliance through strong understanding of regulations and requirements and knowledge of business processes, providing appropriate solutions.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Master Of Health Administration

Global Compliance Manager Resume

Summary : Obtain an administrative position that maximizes my experience in management support, office operations, and process improvement to drive productivity and attain operational excellence. An exceptionally quick learner, absorbing processes and learning systems very rapidly.

Skills : SEO, Social Media Marketing, Social Networking, Social Media Management, Accounts Receivable, Account Management, Marketing Strategy, Photography.

Description :

    1. Managed state and local agency reporting and advised staff of regulatory requirements and updates, and audited data, documents, and processes to ensure compliance Managed annual reporting to authorizing agencies, including research, data analysis, and report development.
    2. Facilitated implementation of multiple new applications, data transfers, testing, and troubleshooting Reduced data analysis errors for internal and external reporting by 20 percent.
    3. Led process reengineering for records and data processing, significantly reducing processing Directed office operations, including facilities management, desktop and spreadsheet support, and supplies.time and improving error detection.
    4. Administered state assessments for multiple locations, including securing facilities, training, data submission, inventory management, results analysis, and state reporting.
    5. Managed official school records, policies, and document updates in accordance with federal and state regulations.
    6. Established comprehensive operational compliance calendars, eliminating late reporting to state and local agencies.
    7. Administered onboarding, terminations, faculty pay and invoices, improving deliverable time by 30% over 1 year.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Diploma

Financial Compliance Manager Resume

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

Skills : Compliance, Internal Controls, Audit, Audit, Security.

Description :

    1. Implemented and executed Risk Assessments, Security Emergency Programs, Compliance and Internal Audit Programs.
    2. Met with external federal and state agencies regarding Operational Reviews, Investigations, Emergency Plans, Financial/Internal Audit Reviews, and Federal/State Audits/Reviews.
    3. Subject matter expert on State laws, Federal Bank Secrecy Act, OFAC, US Patriot Act, Compliance Training, and KYC Programs.
    4. Created an electronic system to file certain federal/state documents timely with Regulators Leadership.
    5. Presented findings/issues, investigation results, management responses and recommendations to the Board of Directors (Audit and Regulatory Committees) and Executive team.
    6. Proposed and executed processes/control improvement opportunities to maximize efficiencies and reduce costs.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
MBA

Tax Compliance Manager Resume

Headline : Registered Nurse with over 25 years of experience in a variety of clinical and administrative settings. In almost all of these setting, and particularly in the last 12 years, enjoyed extensive writing responsibilities. Seeking a transition into a career focused exclusively on medical writing, preferably writing for consumers or care staff.

Skills : Microsoft Access.

Description :

    1. Expediently coordinate and facilitate the move-in process for all new residents with a focus on creating a positive experience for the customer and in compliance with established regulations.
    2. Work with prospective residents and their families to complete and gather all necessary information and documentation to complete and expedite all applications including tax-credit files, market rate applications, and Medicaid applications.
    3. Process Tax Credit Application for both new and renewing residents by Third Parties verifying all sources of income and assets.
    4. Analyze the data to determine applicant income level and obtain corporate approval.
    5. Order and collect physician paperwork and forward to nursing for approval and/or follow up.
    6. Determine resident portion of private pay covered services portion of rent based on income and asset verification.
    7. Prepare tenant Move-In and Move-out forms for Business Office Manager and Executive Director.
    8. Prepare all resident lease packages for signing, including: lease, addendums, TICs( YARDI), authorizations, handouts, extraneous documents, and tenant move-in form.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Accounting

Compliance Manager III Resume

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

Skills : Customer Service CBHS, Employee Relations- Equal Opportunity Representative, Sexual Harassment, Instructor, Video Teller-Trainer Instructors Training Course-.

Description :

    1. Responsible for evaluating companies to ensure they are in compliance with equal opportunity laws, guidelines, and policies.
    2. Investigates reports of noncompliance and acts as an arbitrator to settle disputes in the cases of equal opportunity complaints.
    3. Investigated violations of equal opportunity laws and policies to ensure companies are employing people without regard to race, religion, color, national origin, sex, age, or disability.
    4. Helped the commander and first sergeant (1SG) prepare and conduct EO training Helped prepare and conduct ethnic observances.
    5. Recognized and assessed indicators of the EO climate, and advised commanders on suitable actions.
    6. Conduct surveys and evaluate findings in order to determine if systematic discrimination exists.
    7. Investigate employment practices and alleged violations of laws, in order to document and correct discriminatory factors Meet with persons involved in equal opportunity complaints in order to verify case information, and to arbitrate and settle disputes Prepare reports of selection, survey, and other statistics, and recommendations for corrective action.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
General Studies

Compliance Manager II Resume

Summary : Self-motivated, detail-oriented and enthusiastic legal and compliance professional with 15+ years of experience. Demonstrated ability to lead multiple initiatives, including investigations and audits which have directly led to the recovery of substantial monies and to the implementation of corrective actions, continuously improving the company's compliance program.

Skills : Creation of templates and policies, procedures.

Description :

    1. Responsible for implementation, enforcement, and monitoring of ModSpace's Compliance Program.
    2. Organize and facilitate quarterly Compliance Review Board meeting, attended by CEO, CFO and executive leadership for Risk, Internal Audit, Legal, EHS, IT, Operations and Sales.
    3. Conduct audits on compliance with company policies and governmental regulations, including those related to conflicts of interest, 3rd party relationships, data privacy and fair labor standards.
    4. Perform research to analyze legal, regulatory and compliance issues that may impact the company and identify ways to mitigate any associated risks.
    5. Develop, implement and track employee training related to legal and compliance initiatives.
    6. Editorial responsibilities for all compliance and ethics related materials, including the Compliance & Integrity Handbook and Code of Conduct.
    7. Draft and distribute communications throughout the company relating to compliance initiatives.
    8. Manage anonymous reporting hotline, including initial case review, assignment and necessary investigations, in collaboration with HR and Internal Audit.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Bachelor Of Arts

Compliance Manager I Resume

Objective : To utilize all my property management and compliance knowledge to create a positive experience for all customers, while effectively reducing turn over and increasing revenue on a monthly/annually basis.

Skills : Leadership Development, Leasing, Customer Service, Management, Clerical, Administrative, Teaching, Coordinating, etc.

Description :

    1. Investigated escalations and conducted quarterly anti money laundering trainings.
    2. Served as an anti-money laundering resource to other all business units.
    3. Reviewed mortgage submissions for accuracy and adherence to guidelines Researched and reviewed Suspicious Activity Reports on a daily basis while ensuring compliance with federal guidelines.
    4. Compliance Manager Provided training on Bank Secrecy Act and Anti-money Laundering procedures and guidelines for employees.
    5. Determined suspicious activities and conducted further research on such accounts Monitored and reviewed customer account transactional activities and made recommendations for further review and/or closure.
    6. Conducted reviews of client documentation, and ensured it was consistent with AML policy and procedures and satisfied regulatory requirements.
    7. Administrative Coordinator In step with filing, telephone answering techniques, preparation of documents, record retention, faxing, mail distribution, and buying supplies.
    8. Communicated with management, and peers regarding scheduled meetings.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
B.S. In Criminal Justice

Trade Compliance Manager Resume

Objective : Obtain an administrative position that maximizes my experience in management support, office operations, and process improvement to drive productivity and attain operational excellence. An exceptionally quick learner, absorbing processes and learning systems very rapidly.

Skills : Regulatory compliance documents, Manual design, Patient Education, Staff Development, Forms design.

Description :

    1. Responsible for product safety, regulatory and testing compliance associated with raw material suppliers including fabric, trim, print and end product suppliers including garments.
    2. Create brand testing protocol, communicate with each supplier and be primary internal contact for policies and programs that dictate supplier compliance.
    3. Work with suppliers to publish all documents and collect signatures of restricted substance list agreement.
    4. Manage implementation of all product safety regulations and compliance especially focused on youth wear sizes.
    5. Including design and product review and upkeep of relevant internal standards.
    6. Execute all full scale material development testing, pre-production testing and production testing programs related to physical properties, product safety and government regulations.
    7. Work with global testing team in VF Asia to develop and maintain product testing protocols and specifications.
    8. Oversight during product creation of Youth Product Safety and ensuring accurate Marketing claims for performance and legal claims.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
MBA

Head Compliance Manager Resume

Summary : A highly dependable professional with experience spanning over 15 years in the fields of financial accounting, auditing, compliance, management, administration, and superior customer service. Recognized as a motivated, results-driven, and consistent individual.

Skills : Excel, Word, Powerpoint.

Description :

    1. Project manager and team participant of multiple corporate initiatives.
    2. Project leader of effective initiative to implement litigation against past due accounts, negotiated attorney rates, and performed analysis of costs and fees related to collection versus potential revenue production.
    3. Identified, monitored and reported on key performance indicators to evaluate the success of the initiative.
    4. Developed the business requirements of technology solutions.
    5. Lead training sessions for compliance related topics on a corporate level, training front-line employees and executives.
    6. Creation of visual models and reports from compiled analysis regarding current corporate process and future needs.
    7. Facilitated multiple collaboration sessions with varying groups along a dedicated timeline to gather all information required and possible process enhancements to arrive at a final best-case scenario.
    8. Review and interpreted state and federal regulations to ensure business organization complied to the strictest of adherence to ensure compliance.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Certificate In Paralegal

Compliance Manager Resume

Summary : To obtain a position that will utilize planning, prioritization, personal relations, issue resolution, management and computer skills that I have obtained through work experience and education with a company that will value strong ethical standards and dedication.

Skills : Microsoft Office, Compliance 360.

Description :

    1. Provide expertise and guidance in interpreting State and Federal laws, CMS Requirements, and internal policies to assure compliance.
    2. Monitor regulatory changes and conduct legal research to verify ongoing compliance with dynamic federal and state legislation.
    3. Review and create corporate policies and procedures to substantiate compliance with the appropriate state statutes and federal regulations.
    4. Monitor, track and distribute regulatory notices and guidance received from CMS and other Regulatory agencies to ensure appropriate implementation and compliance with requirements.
    5. Assist the Corporate Compliance Officers with identifying and diagnosing where compliance activities are required.
    6. Identify and highlight critical compliance areas where immediate action is needed and prioritize resolution of these criticalities.
    7. Assist with the development of training on compliance-related topics.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Health Law