Compliance Manager Resume Examples

compliance manager (3 month contract)

  • Establish and oversee administrative procedures to meet objectives set by boards of directors or senior management.
  • Successfully completed and submitted Medi-cal contract. 
  • Successfully maintained Medicare contract. 
  • Successfully completed yearly regulatory audit.

compliance manager

  • Identifying relevant risk model and defining Compliance operating landscape
  • Planning, coordinating, conducting and finalizing Investigations
  • Investigation reports and remediation via Disciplinary sanctions
  • Flagging and Applying Anti-Money laundering preventive checks on relevant transactions
  • Planning remediation  and preventive controls subsequent to adverse findings
  • Advisory and assurance
  • Compliance Review Board

compliance manager/training coordinator/prea coordinator

  • Consult with government regulatory and licensing agencies to assess and report the institution’s conformance with applicable standards.
  • Establish operational policies and procedures and make necessary modifications, based on analysis of operations, demographics, and other research information.
  • Develop training curricula, and recommend revisions as needed.
  • Conduct Investigations related to misconduct reports requiring disciplinary action, and presented findings and recommendations to administrators, government entities and law enforcement .
  • Consult with department administrators and managers in duties such as teaching classes, conducting orientation programs, issuing certificates, data management and scheduling events.
  • Model and train therapeutic methodologies to guide the institution from a “Correctional” to a “Rehabilitative” model. 

senior compliance manager

  • Document and formalize KYC, AML, CIP policies
  • Effectively managing compliance/KYC team.
  • Taking care of compliance issues like action on suspicioususers, three-level of verifications, recovery of funds, legalcommunication if any
  • An authorised representative of all related compliance mattersescalated by government agencies like ED, CID, Cyber cell,EOW and police
  • Playing a lead role to plan and direct the KYC & complianceprocess development from the tech perspective.
  • Monitoring high volume transactions and taking necessaryaction on suspicious transactions
  • Assisting other team leaders in the implementation of various features

compliance manager

  • Identify or develop strategies or methods to minimize the environmental impact of industrial production processes.
  • Promote use of environmental management systems (EMS) to reduce waste or to improve environmentally sound use of natural resources.
  • Developed Environmental Health and Safety Management System (EHSMS) for the company and helped obtain/maintain R2, ISO, OHSAS certifications.
  • Analyse operations to evaluate the performance of the company and its staff in meeting objectives, program improvement, or policy change.

compliance manager

  •  Ensure the tickets are assigned, acknowledged and resolved on time
  • In case of aging tickets, work with the Technical Tower leads to understand the delay and take the ticket to closure
  • Generate daily / weekly / monthly report and present it internally and with the client
  • Ensure the target ticket number is met every month 
  • Ensure the daily / monthly SLA and KPI is met
  • Ensure that all the requested changes have necessary data such as detailed test plan, change/release plan, back out / rollback plan in detail 

compliance manager

  • Worked with business leaders, product teams, technology experts and others to ensure proprietary loan processing system was compliant with applicable regulations.
  • Trained and advised internal staff and customers (Banks and Credit Unions nationwide) on new and existing regulatory requirements.
  • Identified areas of risk of non-compliance and offered solid solutions to mitigate risk.
  • Created and implemented a Compliance Program for Trust activities for a Bank client in addition to being the subject matter expert in lending regulations.  

compliance manager

  • Performed several compliance reviews and trained staff on applicable state and federal laws.