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Highly professional and industry-adaptable compliance people person with a diverse skill-set; comfortable in interacting with internal stakeholders, Group Directors and external clients both at local and international level. Key areas of specialism include thematic analysis, compliance risk assessment, KYC/KYBP due diligence and a SME in Third Party Risks. Process improvement, implementation and mitigating risks in high-risk jurisdictions. Advisory on high risk Third Parties.
- Compliance Risk Assessment, Monitoring, Testing, Reporting
- Thematic Analysis, False Positive Remediation
- Third Party Risk Management, Global Training, Stakeholder Relationship Management
- KYC/KYBP/AML/Global Sanctions Advisory, EDD
- Effective Communication (global cultures), Emotionally Intelligent
- Process Improvement and Implementation
- Tableau, Power BI, Office 365, SharePoint
- Industry-Adaptable, Versatile, B2C Sales
- Dow Jones Risk & Compliance, Navex Risk Rate, RDC
- ARM (Formerly Magique Galileo of Sword GRC)
- Responsible for delivering a robust Third-Party Due Diligence process; Third Party Risks SME.
- Reviewed policies in-line with operational standards.
- Stakeholder advice on global sanctioned high risk third parties prior to issue of contract
- Trained key internal stakeholders including Project Managers, Directors and Group Functions on screening process of Navex Global Risk Rate Management and Ultimate Beneficial Ownership.
- Monthly, Quarterly monitoring of the Third Party Due Diligence Process; reporting analysis
- Compliance risk analysis and monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
- Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates
- Analysed legal cases for Junior Barristers and Head of Chambers regarding Aviation and Commercial disputes.
- Researched, conducted due diligence on potential clients prior to contractual agreements within Aviation, Banking and provided detailed report analysis.
- Identified solutions for under-performing Investigators, ensured complaints handling process is complied with. First-Line Support for compliance queries
- Reviewed, improved compliance process to minimise regulatory compliance risks
- Authorised compensation payments including Flight Delay Claims in-line with regulatory requirements, liaised with AP Finance.
- Managed, trained internal stakeholder Aegis Call Centre of the complaints investigation process.
Group Compliance Analyst (FTC)
- Improved the regulatory compliance framework, drafted checklist reports.
- Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Indentification and Assess using ARM.
- Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML). Presented results for Board-Level audiences.
Conducted market surveillance, monitored KYC/KYBP checks of potential Third Party Suppliers, Clients. Reviewing, approving high-risk clients.
- Identified AML risks such as PEPs, Risk Associates, Adverse Media, Sanctioned Countries of suppliers, suspicious activities using Dow Jones Risk and Compliance.
- Provided support and solutions for Managing, Finance Directors, Compliance Officers on the Compliance Risk Assessment.
- Trained Head Compliance Officers on use of the Compliance Monitoring Program (CMP).
- Liaised with Group Audit and Group Risk to identify internal investigations status’ and effectiveness of CMP
- Conducted Quarterly Compliance Risk Reporting; Prevent, Detect and React Process. Monitoring of regulatory breaches, investigations, employee training.
Subjects in Commercial, Immigration and Race Relations, Family, Criminal, Criminology and Criminal Justice and Property Law.
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