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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

Finance, Master of Business Administration, Completed, 2004-03-01

JH Business School

ITMMarks 70,

Noida, UP

Work Experience

2006-04-01 - Current

Chief Compliance Officer

GGH Pvt Ltd.

Noida, UP
  • 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.

2009-07-01 - 2011-08-01

Compliance Officer

ABCD Ltd

Puru, GA
  • 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

1988-01-01 - 2009-01-01

Executive Assistant

JOG Communications Pvt Ltd.

Hapur,
  • 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.

Skills

  • Critical Thinking
  • Result Oriented
  • Communication skills
  • Leadership Skills
  • Risk Assessments
  • Detail oriented
  • Interpersonal Skills
  • Teamwork Skills
  • Leadership Skills
  • Reasoning
  • Adaptability skills
  • People skills
  • Organization Skills

Languages

  • Japanese
  • English
  • Hindi
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Compliance Resume Sample

Compliance Resume Sample
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