Third Party Compliance Manager Resume

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Christa Tim

Third Party Compliance Manager




A versatile and industry-adaptable compliance people person with a diverse skill-set; comfortable interacting with internal stakeholders, senior management and external clients, both at local and international level. Key areas of specialism include compliance risk assessment, monitoring, thematic analysis, KYC/KYBP, Third Party Risk Management, process improvement, implementation and risk mitigation in high-risk jurisdictions. Advisory on high risk Third Parties. I attend compliance, risk events hosted by both Dow Jones and Navex Global to keep up to date with current affairs. Completed Fundamental AML Course: ManchesterCF Financial Intelligence/Dow Jones. AML Level 3 CPD Higher Distinction Certificate, AML & Financial Crime Certificate – FCA Approved: Student Academy.



  • 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)


Work Experience


Third Party Compliance Manager (FTC)

Morico International

Mar 2019


  • Responsible for delivering a global Third-Party Due Diligence process; Third Party Risks SME.
  • Compliance risk analysis, assessment, monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
  • 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, Ultimate Beneficial Ownership.
  • Monthly, Quarterly monitoring of Third Party Screening Process
  • Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates
  • Reviewed policies in-line with operational standards.

Key Achievements:

  • Implemented a Third Party Screening Risk Management Process and improved current compliance risk framework.
  • Delivered global Third Party Screening training on third party risks, process.
  • Reviewed Gifts and Hospitality Policy and process; created the Gifts and Hospitality Register including regional testing – SharePoint.
  • Implemented a thematic and compliance risk assessment due to global presence in high risk jurisdictions.
  • Managed and reviewed the annual compliance certification process (ISO Certification Standards 9001:2015, 14001:2015)

Quality Executive

UPI Group

Feb 2018


  • Identified solutions for under-performing Investigators, ensured complaints handling process is adhered to. First-Line Support for compliance queries
  • Reviewed, improved compliance process to minimise regulatory compliance risks
  • Authorised compensation payments including Flight Delay Claims, liaised with AP Finance.
  • Managed, trained internal stakeholder Aegis Call Centre of the complaints investigation process.

Key Achievements:

  • Delivered a Compliance Database for the Compliance Department leading to process improvement
  • Multi-functional; supported all areas of the department during business requirements – Compliance, Complaints Handling, Flight Delay Litigation
  • Focal point for Investigator improvement; advised on areas of development – NPS (Net Promoter Score) rise from 13% to 46% in 8 months

Group Compliance Analyst (FTC)

Zen Group

Mar 2017


  • Improve the efficiency of compliance management system
  • Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Identification and Assess using ARM.
  • Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML).
  • 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 RiskCenter.
  • 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.

Key Achievements: 

  • Reviewed, implemented new KYC/KYBP Screening tool for the business: Dow Jones RiskCenter
  • Improved the Quarterly Compliance Risk Reporting Process
  • Heat Map Analysis to illustrate impact against likelihood of business entity risks
  • Minimised compliance risks by improving the Compliance Risk Assessment Process
  • Promoted the importance of the compliance culture during quarterly training weeks; 26% increase of knowledge, understanding of compliance modules of employees at Q1 FY 16/17
  • Grew key relationships with clients – Dow Jones and EY GmbH, internal Functions





San Jose State University

Jul 2009


Subjects in Commercial, Immigration and Race Relations, Family, European Union, Laws of Tort, Criminal, Criminology and Criminal Justice and Property Law.




  • English
  • French
  • Arabic
  • German

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What Should Be Included In A Third-Party Compliance Manager Resume?

When writing a third-party compliance manager resume, it’s important to include key information that will demonstrate to employers your qualifications and experience in this field. To make sure your resume stands out, include the following details:

First, emphasize your qualifications in areas such as risk management, corporate governance, and internal controls. Showcase any certifications or certifications in progress, such as Certified Internal Auditor (CIA) or Certified Information Security Manager (CISM).

In addition, highlight any experience you have in developing and implementing processes to ensure third-party compliance with standards and regulations, such as Sarbanes-Oxley (SOX) and Anti-Money Laundering (AML). Detail how you have contributed to theauditing process, identifying any risks and developing mitigation strategies.

For a third-party compliance manager, having the right technical skills is a must. In your resume, list any software programs and tools you are familiar with, such as analytics and data mining. Also, mention any programming and scripting languages you are proficient in, such as SQL, Python, or Java.

Finally, show the employers you have the necessary experience in leading a team and mentoring junior staff. Give examples of how you have managed and led compliance projects, overseeing the work of the team to ensure all standards and deadlines were met.

By including the above details in your third-party compliance manager resume, employers will have a better understanding of your qualifications and experience in this field. This will help you stand out from the competition and get the job you want.

What Skills Should I Put On My Resume For Third-Party Compliance Manager?

As a Third-Party Compliance Manager, your resume should demonstrate that you have the required expertise and knowledge to ensure that third-party vendors and partners comply with legal and regulatory requirements. When writing your resume, you should focus on the essential skills, qualifications, and experience necessary to be successful in this role.

When writing your resume, it’s important to include the relevant skills you bring to the table. You should highlight your ability to manage complex projects, review and analyze contracts and documents, and develop policies and procedures. Additionally, your resume should demonstrate strong organizational, communication, and problem-solving skills.

You should also include any relevant qualifications, such as a degree in a related field, certification in compliance management, or other relevant certifications. In addition, your resume should highlight any experience you have in a similar role, such as working with third-party vendors or managing compliance activities.

Finally, your resume should demonstrate your ability to manage and lead a team, as well as any experience you have in developing and implementing compliance programs. By showcasing your qualifications, experience, and skills, you will increase your chances of getting an interview and being hired as a Third-Party Compliance Manager.

What Is The Job Description Of The Third-Party Compliance Manager?

The job description of a Third-Party Compliance Manager is to ensure third-party partners comply with organizational policies, procedures and regulations. This could include compliance with industry regulations, corporate policies and customer requirements. The Third-Party Compliance Manager is responsible for developing and implementing a comprehensive third-party compliance program and ensuring that the company’s third-party partners are compliant with applicable laws, regulations and customer requirements.

The Compliance Manager also oversees the implementation of compliance policies and procedures, collaborating with other departments to ensure that any changes in the compliance requirements are communicated in a timely manner. The Third-Party Compliance Manager also works with other departments to ensure that the appropriate resources are allocated to monitor, audit and enforce compliance with third-party partners.

Compliance Manager is responsible for providing training and guidance to third-party partners on compliance policies and procedures, and for reporting any compliance issues that arise. It is also important for the Third-Party Compliance Manager to remain up-to-date on changes in laws and regulations and to identify potential risks or violations related to third-party relationships.

What Is A Good Objective For A Third-Party Compliance Manager Resume?

When writing a resume for a role as a third-party compliance manager, it is important to have a well-crafted objective that succinctly and accurately summarizes your skills, abilities and qualifications. The objective should clearly communicate what makes you a standout candidate and how you can contribute to the success of the organization.

A good objective should focus on the skills and qualifications that make you well-suited for the role. For a third-party compliance manager, this could include an understanding of relevant laws and regulations, knowledge of the processes and procedures necessary for compliance, and the ability to identify potential risks and develop effective strategies for mitigating those risks. Additionally, your objective should also emphasize your ability to handle complex tasks and interact with colleagues and staff members in a collaborative way.

Your objective statement should also convey how your previous experience and education can be used to benefit the organization. In particular, highlight any training or certifications you have related to compliance, as well as any successful projects or initiatives you have been involved in. Showing how you have successfully implemented strategies to ensure compliance and improved processes can demonstrate your commitment to the role and your value to the organization.

Overall, the objective statement should be succinct, focused, and make clear why you are the best person for the job. Stating your qualifications and skills in a few sentences can give potential employers a quick understanding of why you are a suitable candidate and why you should be given a chance to show what you can do.


What Are The Career Prospects In The Third-Party Compliance Manager?

.The job of a third-party compliance manager is one of the fastest-growing career paths in business today. As more organizations begin to outsource their compliance functions, the demand for third-party compliance managers is expected to grow exponentially. The job of a third-party compliance manager is to ensure that all contract requirements, regulations, and procedures are followed in order to prevent legal issues and protect the organization from financial loss.

The career prospects of a third-party compliance manager are quite promising. Companies are constantly looking for qualified individuals to manage their compliance programs, and the demand for experienced professionals is sure to increase in the coming years. To become a successful third-party compliance manager, one must have a thorough understanding of the laws and regulations governing their industry, as well as excellent communication and problem-solving skills.

A third-party compliance manager should also possess strong analytical skills and the ability to identify potential risk areas and develop strategies for mitigating them. Additionally, they will need to have the ability to stay abreast of any changes in the laws and regulations, and keep up with the latest industry trends. With experience, a compliance manager can potentially move into higher positions within the organization, such as a director or executive management level position.

As the demand for third-party compliance managers continues to rise, now is the perfect time to enter this field. With the right qualifications and experience, you can expect to find a great career opportunity with a competitive salary. Therefore, if you are looking for a rewarding and exciting career in the compliance management field, look no further than a third-party compliance manager role.

Key Takeaways for an Third-Party Compliance Manager resume

When crafting a resume for a Third-Party Compliance Manager role, there are several key takeaways to keep in mind. When writing a resume for a Third-Party Compliance Manager position, it is important to highlight your experience in making sure that the organization follows government regulations, industry regulations, and ethical standards. Additionally, make sure to list any relevant certifications that you hold as this will demonstrate your commitment to the field and understanding of the regulations and requirements.

When it comes to highlighting your experience, make sure to include any previous management of the Third-Party Compliance process. Additionally, resume writers should emphasize any audits they conducted to confirm compliance and any reports they generated to evaluate compliance. Furthermore, be sure to include any experience you have in developing and implementing policies and procedures to ensure compliance.

When it comes to skills and qualifications, Third-Party Compliance Managers should have a strong background in industry regulations, government regulations, and ethical standards. Furthermore, resume writers should emphasize any skills they have in communication, negotiation, and problem-solving as these are important components in the management of Third-Party Compliance.

Finally, it is important to emphasize any experience you have in working with teams. Third-Party Compliance Managers often work with employees from different departments to ensure compliance, so having the ability to work well with teams is essential. Therefore, be sure to include any team management experience on your resume.

By making sure to include these key takeaways on your resume, you can be sure to showcase your qualifications and experience for a Third-Party Compliance Manager role.