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Compliance Resume Sample

Compliance Resume Sample
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Compliance Resume Samples(Text format)

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About Me

Compliance Officer

  • 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 

EDUCATION

Sales management, Master of Business Administration, Completed, March 2004

Abc school

CBSEMarks 70%

Noida, Uttar Pradesh

Work Experience

April 2006 - April 2008

Buisness

Madhulata

Noida, Uttar Pradesh

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)
  • 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 Officer 

July 2009 - August 2011

Buisness

Madhulata

puru, Goa

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????

Training Certifications

  • Arvind Rawat Dr. M..g.r eduicational institute, 2008

Skills

Computer Proficiency

  • windows
  • MS Office

Languages

  • Hindi
  • English

Personal Interest

International travel: Make and plan annual trips to different countries to experience new cultures.

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