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Compliance Manager Resume Samples
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0-5 years of experience
Accountable and responsible for all aspects of Trade Compliance and Export Administration on a worldwide base to ensure an uninterrupted supply chain. Consults with engineering and development to ensure compliance throughout the product life cycle. Primary point of contact for all Customs services. Selected and managed customs brokers on a world wide basis. Managed a staff of five.
- Developed a Global Trade Department hiring four people resulting in increased compliance.
- Implemented a system to generate documentation, import and expert, and all Export Administration for all Gateway countries.
- Reduced the number of customs brokers to one, resulting in increased compliance and a 35% reduction in fees ($500K cost avoidance yearly).
- Implemented a new payment process with the Canadian broker resulting in a 2.5% savings on the cost of money ($250K cost avoidance yearly).
0-5 years of experience
Oversaw of ethics and compliance program including Helpline investigation. Oversaw of enterprise compliance information system and ethics & compliance education and training system. Managed licensing operations for commercial and consumer lending operations. Managed compliance personnel work assignments, daily decision making (e.g. recruitment input, training, assignment of projects) and goal setting, and performance evaluations for direct reports. Implemented and maintained company-wide reporting system to facilitate disclosure of violations of code of conduct, law and/or policy and procedure. Lead on annual compliance risk management initiatives. Subject Matter Expertise: Federal (OFAC, US Patriot Act, Bank Secrecy, etc.) and State Law (50 state lending, collection, and insurance laws). Member of Textron Inc. Ethics & Compliance Working Group. Advisor to Steering Committee. Accomplishments:
- Successfully lead organization through more than twenty (20) annual external regulatory license examinations and audits for licenses covering residential and commercial lending activities, insurance and debt collections.
- Effectively maintained several hundred lending, insurance and collection agency licenses issued by regulatory bodies across throughout the United States and other countries and foreign regions.
- Maintained licensing and corporate governance processes for more fifty (50) independent corporate entities.
- Formalized enterprise policy (Know Your Customer (KYC), Customer Identification Program (CIP)) to ensure systems and processes meet regulatory requirements.
- Developed, implemented and managed annual enterprise risk assessment and the organization action plan to address enterprise risks.
- Successfully organized and planned quarterly Steering Committee meetings and reporting from various business units domestic and international.
- Redesigned several enterprise Compliance processes.
0-5 years of experience
Senior Compliance Manager for internal General Agency, tracked and ensured compliance with Regulatory requirements for 100 associates via: writing and revising drafting supervisory procedures, Agency Audits, Compliance Reviews, and surveillance review of field transactions for trends and best business practices. Worked with Broker Dealer to ensure compliant security transactions. Prepared Compliance and Regulatory Reports for Management, trained associates on Regulatory Requirements and Company Best Practices.
- Conducted system audits and partnered with key stakeholders, Legal, Business leaders to ensure compliant recertification of Business systems and programs resulting in improved time service.
- Handled field compliance escalation issues promptly and addressed with Field Reps to determine appropriate corrective action.
- Monitored and updated FINRA, NAIC regulations affecting industry incorporated changes to company policies which reduced Company liability and potential government fines.
- Partnered with Broker-Dealer, in providing security transaction review and written supervisory procedures
- Oversight for non-proprietary products; or other marketing initiatives undertaken to determine best third party product for company inventory.
- Conducted Review of Sales Material which resulted in reduced Company liability and security violations.
0-5 years of experience
Ascertained compliance of 356 employees, including licensed insurance agents and marketing associates, to HIPAA, FCC, and CMS regulations.
- Developed, implemented, and trained employees on a risk-based Compliance Program for an insurance field marketing
- Supervised, coached, and lead 23 compliance and quality personnel of various technical and managerial levels
- Implemented and managed several client quality programs over two lines of business
- Implemented document management standards and protocols as well as initial implementation of a QMS organizationally
- Created and implemented physical security standards policies
- Trained Vice Presidents and all Executive Directors on implementation of auditing response plans and behaviors; lead
10+ years of experience
Managed team of 6 analysts; met 99%+ inventory integrity in $33M in assets and annual corporate objectives.
- Worked with IT department to automate data via EDI for 13 3PLs and assisted development of automated ISF shipment data, driving attainment of 95%-100% ocean import compliance (CBP).
- Negotiated 3PL/legal contracts for new sites or countries to expand supply global reach.
- Coordinated with internal departments on special new product initiatives and rework projects.
- Maintained tracking on domestic, export, and inter-port shipment volumes requiring an average of 20 transport lanes.
0-5 years of experience
Planned and implemented an internal auditing program for administrative and maintenance procedures.
- Worked with other team members to update policies and procedures.
- Worked with management, as well as the safety inspector to ensure a program was in place to identify and correct major risk areas.
- Instituted an audit program for maintenance for compliance with all OSHA rules and regulations.
- Developed a webinar for Administrative and Maintenance policies and procedures.
- Trained all applicable associates on policies and procedures currently in place. Prior to training, internal audit scores ranged from 45%-65%. After training, scores increased to 80%-95%.
- Provided suggestions on the procedures and systems being reviewed, reported on the recommendations and findings.
- Cross trained with other team members and will begin training associates in those areas.
- Participated in all due diligence activities.
0-5 years of experience
Administered compliance activities for ten team members and eight properties. Consisted of training, disseminating information, implementation of rules and regulations. Maintained a thorough and current understanding of auditing principles. Provided guidance, assistance, coordination and follow-up on complex problems and ensures resolution.
- Reviewed files submitted for approval to ensure compliance within program guidelines.
- Determined eligibility for clients interested in affordable housing.
- Calculated income and assets to determine program eligibility.
- Coordinated and facilitated unit and file audits.
- Processed and maintain all necessary program compliance documentation.
- Conducted file audits to ensure compliance with program requirements.
- Compiled and prepared reports necessary for compliance program requirements.
6-10 years of experience
Led 6-person team overseeing Human Resources and resource allocation. Oversaw HR operations; trained, coached, and evaluated subordinate staff. Ensured security and protection of all district government facilities. Assured compliance with employment and labor laws. Oversaw resume database and assured integrity of applicant data. Managed new hire orientations and processed visa documents for out-of-country employees. Coordinated physical exams, passports, visa applications, and travel arrangements for foreign employees. Cooperated with management to support contract compliance and labor relations initiatives. Assisted in administering Collective Bargaining Agreements; assured collective bargaining compliance. Served as expert resource to employees regarding labor law and collective bargaining policies. Prepared department-wide 2nd and 3rd-step grievance processes. Maintained grievance databases and investigated grievances; recommended resolutions to HR management.
- Reorganized processes governing employment applications, enhancing efficiency.
- Chosen to develop and deploy instruction program for more than 75 senior-level management trainees regarding supply and property book accountabilities.
- Coordinated deputation of over 1,000 external law enforcement officers to ensure security of 2009 Presidential inauguration.
- Initiated outgoing communication strategy ensuring proper de-briefing of departing staff.
- Improved employee engagement by developing internal communications for 90-person workforce regarding training requirements, performance measurements, and HR matters.
- Improved employee engagement and motivation by introducing new discipline tracking program resulting in clarified management strategy and compliance with district and federal regulations.
- Negotiated beneficial terms on $1.3 million security contract at District National Armory facility.
0-5 years of experience
Managed, developed and implemented the corporate wide Agent Network AML Program to optimize risk, return, growth and capital for a fast growing Money Service Business.
- Successfully managed an AML Program for an Agent Network of 15,000 US agents.
- Collaborated and lead a team in the design, implementation and management of an AML Program in all areas of compliance requirements for our Agent Network, including company policy, and federal and state regulations.
- Implemented an effective AML training program for all products including wire transfers, money orders, check cashing, and bill pay.
- Actively participated in conferences and other educational opportunities in order to stay abreast of new market requirements and best industry practices.
0-5 years of experience
In light of an upcoming SEC Exam, responsibilities to assist CCO enhance the compliance program
included; Implementing and managing an automated vendor Personal Trading application for the company
which included all aspects of our Personal Trading Policy and quarterly employee certifications; Code of
Ethics Administrator.
- Responsible for 206(4)-7 policies and procedures Compliance Program; Worked with business units to review applicable policies and procedures and amended as needed.
- Reviewed and approved all Sales and Marketing literature to existing and prospective clients which included
- Completed board reporting, contract renewals requests for Mutual funds, both advised and sub-advised.
- Client guideline monitoring; Create and troubleshoot client restrictions and guidelines using Charles River.
0-5 years of experience
- Supervised the accreditation and renewal process for over 200 continuing education course offerings.
- Educated internal stakeholders and clients of nationwide insurance continuing education requirements; ensured course delivery systems accurately met regulations.
- Kept informed of industry trends and changes while assessing operational risk; provided recommendations for dealing with emerging compliance issues to management.
- Accountable for the success of a team of six service representatives providing exemplary daily support to customers and carrying out core business functions.
- Evaluated training and professional development goals for service team members, facilitating individual growth and improving service to customers.
0-5 years of experience
Established company compliance plan pertaining to Medicare, Medicaid and Private insurance
programs.
- Evaluated medical necessity requirements in relation to program integrity guidelines to ensure
- Supervision of all training pertaining to Joint Commission (JCAHO) accreditation.
- Provided ongoing training to physicians, home health agencies, nurse managers and support staff
- Administered internal audits to ensure company compliance exceeded industry standards.
0-5 years of experience
- Provided outstanding customer service and education to homeowners regarding compliance violations and architectural modifications.
- Conducted weekly inspections of 2,866 homes for cc&r compliance as well as landscape and architectural modification assessment.
- Investigated homeowner complaints and maintenance requests.
- Designed and implemented various architectural submittal processes.
- Supervised part-time Compliance Administrator and assigned daily work.
- Liaison to the Lifestyle Enhancement Committee for all architectural submittals.
0-5 years of experience
Fleet Operations, Convenience Store & Gasoline Sales, Subway Restaurants, Deli’s, Liquor, Tobacco &Lottery Sales
- Researched and wrote compliance policy and procedures as it applied to different aspects of the business
- Trainer for (TiPS) Training for Intervention Procedures. Conducted certification training classes on safe and legal selling of alcohol as required by state and local authorities for employees in stores that sell alcohol.
- Handled Workman’s Compensation and insurance related issues for all aspects of the company
- Researched appropriate safety training courses for hazmat drivers, mechanics, construction personnel and carpenters
- Conducted safety and compliance training classes
- Special projects and research assignments as assigned by the Owner/CEO
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
