Director Of Compliance Resume Samples

As a Director of Compliance, the person will be responsible for enforcing regulations at all levels and aspects of business and also provide guidance to the Compliance team in all matters. Typical duties and responsibilities are seen on the Director Of Compliance Resume include the following – developing and overseeing control systems, preventing and dealing with violations of all legal guidelines; evaluating the efficiencies of controls; revising procedures and reports; drafting and modifying company policies; assessing the business’s future ventures; overseeing report preparation and staying abreast of regulatory developments.

Apart from proven work experience, the following are certain core skills expected for this role – strong knowledge of the industry’s standards and regulations; excellent knowledge of reporting procedures and record keeping; business acumen; analytical mindset, excellent communication skills; and outstanding planning abilities. A degree in the field of finance or business administration is preferred. A certified compliance professional will be a plus.

Director Of Compliance Resume example

Director Of Compliance Resume

Summary : Obtain a challenging opportunity where can expand compliance experience while maximizing leadership, project management and problem solving skills and make a positive contribution to the company.

Skills : Master's Of Social Work, Dual Diagnosis.

Description :

    1. Developed and implemented corporate Compliance Program.
    2. Created annual work plan based on risk assessment.
    3. Oversaw the compliance function of the insurance plan across all insurance products.
    4. Provided staff with regulatory guidance and interpretation.
    5. Assisted leadership with implementing and understanding new regulatory requirements.
    6. Worked throughout organization to implement requirements, best practices and process improvement through PDSA cycles.
    7. Developed an internal auditing and monitoring program and mandatory compliance training program for all employees and vendors.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
MBA In Business Administration


Sr. Director Of Compliance Resume

Headline : Self -motivated individual with a passion for human services who works well in stressful and adverse situations. Organized and thorough with a constant commitment to confidentiality while maintaining personal and professional standards. Passionate about giving back to the community in order to foster increased self awareness and education for consumers.

Skills : Budget and Forecast, Cash Management, Operations Finance.

Description :

    1. Supervised a staff of 6 in three different states and was apart of an integral team that designed a software program to predict and grade production .
    2. Corporated compliance oversight for the Domestic Accident and Health Division of Chartis.
    3. Compliance oversighted includes, regulatory review and examinations consumer complaint resolution, OFAC compliance, privacy issues, monitoring and testing, risk assessment oversight and remediation, legislative and advertising review.
    4. Developed and implemented policies and procedures to comply with the Department of Treasury's Office of Foreign Assent Control.
    5. Investigated and resolved potential violations and serve as Division point person for all OFAC related questions/inquiries.
    6. Identified training deficiencies and develop training necessary to meet needs.
    7. Directred the privacy policy and strategy for the applicable member companies for compliance with GLBA and HIPAA.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Science In Marketing


Jr. Director Of Compliance Resume

Summary : Exceptional time management, analytical/problem-solving skills in a professional setting. Dedication and drive as a hard-working, organized and detail-oriented individual. Proven ability to work independently, manage multiple tasks, and meet deadlines in a pressured environment.

Skills : Administration, Regulatory Cmpliance, Operations Management, Leadership, Managed Care, Healthcare, Quality Management.

Description :

    1. Oversaw the voluntary exclusion program.
    2. Chaired of the compliance committee which reviews rule and regulatory violations, waivers and other casino issues to provide recommendations.
    3. Executed and negotiated settlement agreements with the casinos.
    4. Hired as an Affordable Housing Regulatory Specialist.
    5. Promoted to Regional Compliance Manager and promoted to Director of Compliance.
    6. Performed all duties noted below as a District Compliance Auditor as well as the following additional responsibilities.
    7. Supervised the staffing of the compliance department as it relates to affordable housing compliance competence, ensuring the portfolios are maintaining all current Regulatory Federal, State and/or local laws.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Bachelor Of Science In Business Management

Asst. Director Of Compliance Resume

Objective : Highly experienced, strategic organizational development professional with extensive experience in human resources management, administrative leadership, customer service, organizational advancement, training, planning, development, and project management.

Skills : Management Experience, Compliance, Leadership Development, Leadership Development.

Description :

    1. Responsible for accurate and timely submission of all Federal, State and City regulatory required reports.

       

    2. Responsible for ensuring company compliance for Oxford and three subsidiary companies (selling in 35 states) Supervision of five paralegals.

    3. Oversaw and maintained a comprehensive compliance management system.

    4. Managed compliance staff.

    5. Developed and maintained methods to track compliance.

    6. Consulted by certification bodies, industry partners and publications as an 'industry expert' on compliance and mobility related topics.

    7. Created and implemented quality control processes throughout the organization including implementation and development of work instructions.

Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Business Administration

Associate Director Of Compliance Resume

Summary : To get a challenging opportunity where can get compliance experience while maximizing leadership, project management and problem solving skills.

Skills : Excellent communication, writing and interpersonal Enthusiastic.

Description :

    1. Recommended appropriate remedial action including, but not limited to counseling, progressive discipline, single or joint referrals.
    2. Prepared periodic and annual reports of activities.
    3. Developed, maintained, and enforced ethics guidelines to be followed by all departments.
    4. Responsible for administering laws imposing financial disclosure requirements and governing conflicts of interest with respect to all Directors, Department Heads and employees of the City of Canton.
    5. Received information, confidential reports and/or complaints regarding improper gift giving and acts upon credible information.
    6. Ensured jobs were posted for Federal Contractors and Sub-contractors to meet OFCCP Compliance Regulations.
    7. Supported product development and clinical trial design Quality management system development and management
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
MBA In Business Administration

Director Of Compliance/Executive Resume

Objective : To obtain a full time position in an environment that will allow to utilize skills and provide opportunities for advancement and growth. Highly motivated, results driven. Excellent internal and external customer service skills.

Skills : Data Analysis, Database management.

Description :

    1. Create annual work plan and audit schedule based on risk assessment.
    2. Oversee the compliance function of the insurance plan across all insurance products.
    3. Audit and monitor corporate practices.
    4. Work collaboratively throughout organization to implement requirements, best practices and process improvement through PDSA cycles.
    5. Provide staff with regulatory guidance and interpretation.
    6. Assist leadership with implementing and understanding new regulatory requirements.
    7. Develope an internal auditing and monitoring program and mandatory compliance and HIPAA training program for all employees and vendors.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Associate's In Business

Director Of Compliance/Representative Resume

Summary : Administrative specialist with extensive background in nonprofit, for profit and governmental communications and project management.

Skills : Microsoft Office, Customer service.

Description :

    1. Ensured jobs were posted for Federal Contractors and Sub-contractors to meet OFCCP Compliance Regulations.
    2. Managed the fastest growing division.
    3. Assisted department in preparation or updates to Internal Controls.
    4. Submitted Internal Controls and other required reporting to the Indiana Gaming Commission.
    5. Created AML/BSA Title 31 program and Compliance program for property.
    6. Instituted Title 31 and SAR training program and trained all team members annually as required.
    7. Successfully completed IRS Audit of AML/BSA Title 31 program for property.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
JURIS DOCTOR

Director Of Compliance II Resume

Objective : To apply financial services industry and Internal Revenue Service expertise and skills to a customer service position for an established entity that needs committed and quality talent.

Skills : Cost Point, Microsoft Office, SAP.

Description :

    1. Worked closely with wholesalers to improve municipal fund sales.
    2. Responsible for writing key internal and external communications Contributed content .
    3. Develop digitized files of Medicaid required documentation
    4. Responsible for oversight of contractual compliance.
    5. Previously revised SOX program to conform to PCAOB Auditing Standard No.
    6. Assumed responsibility for auditing of IT SOX testing, eliminating outside consultant cost.
    7. Emphasized remediation of exceptions and control deficiencies, reducing reportable item count.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Master

Director Of Compliance III Resume

Summary : A highly motivated, creative and personable team player with ample knowledge of the oil and gas sector. Results driven, problem solving oriented and goal oriented business professional. Capable of grasping new concepts and ideas quickly and responding to change as well as adaptable to managing priorities and associates with the highest level of professionalism.

Skills : Microsoft Office, Microsoft Word, Microsoft Excel, Medical Billing, Collections, Customer Service.

Description :

    1. Implemented internal controls to ensure compliance with Federal Election Commission (FEC) regulations.
    2. Managed processing and reporting.
    3. Provided Implementation and/or Support of a clearly defined Compliance Management System.
    4. Provided specific Compliance Division leaders with direction .
    5. Established and implemented internal control tests to verify employee compliance.
    6. Supervised all new business and trade activity for 67 Registered Representatives and 27 Insurance Agents on a daily basis, enforcing disciplinary.
    7. Accelerated Learning Solutions.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Bachelor's In Economics

Director Of Compliance Resume

Objective : Results driven, highly qualified individual with previous experience in cardiac nursing, surgical intensive care, substance abuse nursing, palliative/hospice nursing, pediatric nursing, care of the newborn.

Skills : Supervisory, Management.

Description :

    1. Monitored student enrollment in the appropriate courses based on state promotion standards.
    2. Implemented internal controls to ensure compliance with Federal Election Commission (FEC) regulations Managed processing and reporting of over $1 .
    3. Responsible for managing operations to ensure compliance with corporate policies, procedures, laws, statues and the Corporate Quality Control plan.
    4. Responsible for reviewing and interpreting contracts, broker agreements and disseminating regulatory information updates.
    5. Responded to subpoenas, interrogatories and consumer complaints.
    6. Supervised state licensure activities, quality control audit reviews and State mandatory compliance reporting.
    7. Worked closely with the VP of Compliance to oversee Cablevision's Compliance Program Draft, review and maintain compliance policies Create and conduct .
Years of Experience
Experience
2-5 Years
Experience Level
Level
Entry Level
Education
Education
Nursing