Compliance Manager Cover Letter Examples

Dear Ms. Hall:

When I learned of Principal Financial’s search for a seasoned Compliance Manager, I quickly decided to submit my resume for your review. With more than 12 years of experience leading teams in comprehensive compliance oversight and maintenance, I am poised to make a significant and positive impact on Principal Financial in this position.

My expertise lies in ensuring full corporate awareness, understanding, and compliance with all pertinent laws and regulations. From developing and implementing key policies and driving operational compliance to facilitating compliance audits and overseeing high-performing teams, my experience has prepared me to excel in this role. With proven success in compliance program oversight and improvement—complemented by my strengths in team leadership, communication, and data analysis—I am well positioned to make a strong contribution to your company.

Consider the following highlights of my achievements:

Spearheading ethics and compliance programs for WellStart Insurance Group and Digimark Financial, respectively; successfully leading companies through 25+ annual regulatory license examinations and audits for licenses covering residential and commercial lending activities, insurance, and debt collection.

Developing, establishing, and directing an annual enterprise risk assessment and action plan to address and mitigate risk at Digimark Financial.

Implementing and managing a company-wide reporting system at WellStart Insurance to facilitate disclosure of violations of codes of conduct, laws, and/or policies; immediately saw a 27% reduction in violations.

Reviewing and evaluating new regulations, informing cross-functional departments regarding updated requirements, and developing new business procedures to enforce compliance.

Coaching, developing, and managing teams in all facets of compliance and ethics, assigning daily tasks, defining employee goals, and conducting performance evaluations for up to eight direct reports.

Demonstrating expertise in training program development, documentation, records management, and audit coordination and execution while leveraging key partnerships with senior management to support business practices.

Completing professional development program in Corporate Compliance and Ethics through the SCCE; possess current CCEP certification.

With my established success in overseeing compliance programs, coupled with my excellent project management and analytical talents, I am certain that I could swiftly exceed your expectations. I would welcome the opportunity to discuss the position in more detail.

Thank you for your time and consideration.

Sincerely,

Connie P. O—Neill