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Compliance - Free Resume Sample

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ARVIND RAWAT

Contact: 999999999 | E-Mail: [email protected]


An Accomplished Compliance

Strong working knowledge of federal and state regulatory guidelines and standards; monitoring accounting and regulatory guidelines as they relate to financial reporting and documentation; possess excellent analytical, project management, communication and organizational skills


PROFILE SUMMARY

  • Extensive experience of XX years in designing or updating internal policies to mitigate the risk of the company breaking laws and regulations, and leading internal audits of procedures; possess knowledge of compliance standards and policies, audit techniques, regulatory issues, operations and procedures
  • Skilled in helping that company maintain policies and procedures to remain within an industry's regulatory framework; reviewing and setting standards for outside communications by requiring disclaimers in emails or examining facilities to ensure they are accessible and safe
  • Adept in organizing regular training sessions for employees to communicate key regulatory changes and updates; working with business units and management to ensure appropriate contingency plans are in place that set guidelines on how to respond to a possible compliance breach
  • Familiar with all phases of development and implementation of an effective legal compliance program; performing risk assessments to understand risk level, significance and scope; investigating irregularities and non-compliance issues; contributing to robust and effective compliance controls within the organization

ORGANIZATIONAL EXPERIENCE

Since MM YY | XYZ Ltd, Delhi | Senior Compliance
Key Result Areas:
  • Keep up to date with, and understand, relevant laws and regulations
  • Monitor compliance with laws, regulations and internal policies
  • Ensure that your findings are recorded and followed up with management so that issues can be rectified
  • Educate employees on not only the regulations, but also the impact on the organisation if these aren't complied with
  • Report back to business functions on current risk and compliance performance
  • Highlight or escalate areas of concern
  • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements; investigate irregularities and non-compliance issues
  • Assist in the gathering of internal information in response to regulatory requests
  • Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
  • Provide facial and body massages refer clients to medical personnel for treatment of serious skin problems
  • Collaborate with other departments to create a culture of compliance
Key Highlights:
  • Any existing systems/ processes streamlined???? Results obtained???? Major assignments handled????
  • Any unique initiative taken to improve customer satisfaction level???? Any major accounts/clients handled???
  • Awards/appreciation letters received???? Other relevant achievements????
MM YY – MM YY | ABCD Ltd, Delhi | Compliance
Key Result Areas:
  • Implemented and managed an effective legal compliance program.
  • Developed and reviewed company policies.
  • Advised management on the company’s compliance with laws and regulations through detailed reports
  • Created and managed effective action plans in response to audit discoveries and compliance violations
  • Carried out audit of company procedures, practices, and documents regularly to identify possible weaknesses or risk; resolved employee concerns about legal compliance
  • Assessed company operations to determine compliance risk
  • Ensured all employees are educated on the latest regulations and processes
Key Highlights:
  • Any existing systems/ processes streamlined???? Results obtained???? Major assignments handled????
  • Any unique initiative taken to improve customer satisfaction level???? Any major accounts/clients handled???
  • Awards/appreciation letters received???? Other relevant achievements????

EDUCATION

YYYY MBA in Finance from ABC College, Delhi

TECHNICAL PURVIEW

  • MS Office – Word, Excel & PowerPoint
  • Internet Applications

PERSONAL DETAILS

Date of Birth: 01st October 1981 | Languages Known: English & Hindi

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