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
