Compliance Resume Samples (Text format)
- 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
Finance, Master of Business Administration, Completed, 2004-03-01
JH Business School
ITM– Marks 70,
Chief Compliance Officer
GGH Pvt Ltd.
- Kept up to date with, and understand relevant laws and regulations.
- Monitored compliance with laws, regulations, and internal policies.
- Ensured that your findings are recorded and followed up with management so that issues can be rectified.
- Educated employees on not only the regulations but also the impact on the organization if these aren't complied with.
- Reported back to business functions on current risk and compliance performance.
- Reviewed marketing materials, presentations, and websites to ensure compliance with regulatory requirements; investigate irregularities and non-compliance issues.
- Assisted in the gathering of internal information in response to regulatory requests.
- Performed various general administrative duties (such as file creation and maintenance of ongoing administrative projects).
- Collaborated with other departments to create a culture of compliance.
- 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 an audit of company procedures, practices, and documents regularly to identify possible weaknesses or risks; resolved employee concerns about legal compliance
- Assessed company operations to determine compliance risk
- Ensured all employees are educated on the latest regulations and processes
JOG Communications Pvt Ltd.
- Created, edited, and sent communications on the executive’s behalf.
- Organized and prepared for meetings by gathering materials and taking care of meeting logistics.
- Responded to phone calls and messages to the executive while doing this.
- Set email priorities and replied as needed.
- Organized all the travel plans.
- Kept different records and documents for the businesses and company executives.
- Critical Thinking
- Result Oriented
- Communication skills
- Leadership Skills
- Risk Assessments
- Detail oriented
- Interpersonal Skills
- Teamwork Skills
- Leadership Skills
- Adaptability skills
- People skills
- Organization Skills