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Chief Compliance Officer Resume Samples
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6-10 years of experience
Supervised direct reports in managing the corporate compliance program, including oversight of foreign subsidiaries and independent producers, for this $4 billion life and annuity insurance company. Monitored legislative and regulatory compliance developments, and testified before regulatory and legislative bodies.
- Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
- While serving as Chief Compliance Officer, also served as the company's Chief Privacy and Risk Officer for one year. Led the development and implementation of group enterprise risk initiatives.
- Recipient of the "People's Choice Award for Professionalism" for the highest ethical performance.
10+ years of experience
Developed and implemented firm's policies and procedures manual for Registered Investment Advisor with $100 million of assets under management.
- Monitored and verified firm's compliance with SEC regulations.
- Developed and implemented internal control tests to verify employee compliance with firm's policies and procedures.
- Performed quarterly variance analysis to test the firm's productivity and trends.
- Managed approximately 90 client investment portfolios for individual and company retirement plans.
- Prepared personal financial plans.
- Assisted with implementation of paperless office.
6-10 years of experience
Company co-founder and head of operations and compliance departments for a Registered Investment Advisory firm managing over $300 million in client assets.
- Directed company strategy and operations as part of the Executive Committee.
- Oversaw two mergers & acquisitions, one involving private equity and one by a large public financial company.
- Regular interaction with C-level executives throughout the merger & acquisition process.
- Negotiated and drafted contracts with business partners, clients, and vendors.
- Served as the company's spokesperson with local and national media.
6-10 years of experience
Developed, implemented, and maintained a compliance program for variable annuities and variable life Insurance products pursuant to SEC Rule 38a-1 and state insurance regulations involving a risk assessment, annual review process, and an Anti-Money Laundering (AML) Program.
- Designated Chief Anti-Money Laundering Officer and developed and maintained an AML program covering proprietary registered insurance products.
- Coordinated SEC and State Insurance examinations.
- Monitored for SEC and State Insurance Department regulatory changes and implemented policies and procedures designed to address new regulations.
- Monitored for market timing and late trading and coordinated the SEC Rule 22c-2 program.
0-5 years of experience
Active in the development of new assets for the firm. Also assisted in development of marketing materials and campaigns.
- Maintained and strengthened relationships with existing clients.
- Played instrumental part of firm's assets doubling in two years
- Developed, implemented and monitored company's compliance program.
- Completed all of the initial state and federal government filings for creation of a new business entity, as well as required annual filings.
- Completed all initial paperwork required by the Securities and Exchange Commission for the development for a Registered Investment Advisory firm.
- Developed, implemented and oversaw company's policies and procedures.
- Orchestrated all client operational activities, including gifts, transfers and other client request.
0-5 years of experience
Developed policies, procedures and practices to ensure compliance with all laws and regulations.
- Established a Company Compliance Management System based on the
- Analyzed compliance risk and created strategies to provide risk mitigation
- Corporate point of contact for all attorney relations, and all regulatory
- Collaborated with management team to ensure support of compliance
- Created and maintained corporate complaint logs to analyze trends - YTD
- Support QA department in the development and deployment of compliance training program
- Directly responsible for investigating and responding all regulatory
- Formal Bi-Monthly Executive Review presentations
0-5 years of experience
National Broker-Dealer specializing in foreign stock traded directly on foreign exchanges
Managed major aspects of firm, including trading, IT, branch network, and compliance. Oversaw growth of firm from $3.9 Million to $25.5 Million in annual revenue.
- Controlled organization and administrative management of firms sales force during explosive sales growth including creating and maintaining systems for lead distribution, dispute resolution, manager training, opening of new branch offices, and implementing firm-wide commission grid revisions
- Primary contact for all clearing firm and major vendor relationships
- Responsible for review and submission of firms foreign trading activities, primary contact for after-hours trading partner interaction
- Continual review and upgrade of systems to support annual revenue growth of over 50% per year
6-10 years of experience
Responsible for worldwide legal affairs for a $6.9 billion public retail and b2b distribution company. Responsibilities included litigation management, contract drafting and review, master form database, securities law and compliance, acquisitions and other corporate
transactions, governmental and political affairs, corporate compliance, and legal support for employment and labor, environmental, finance, and real estate. Additional related responsibilities include Board of
Directors administration, corporate records, and development of corporate policies. Also, oversaw the management and operation of corporate aircraft.
- During 2013 was a primary architect of merger with Office Depot.
- Established new legal department following the spin-off of the company's forest products assets.
- Established the corporate compliance function in 2005; in 2012 and 2013 the company was named to list of "world's most ethical companies".
- Member of executive committee involved in development and implementation of company strategy and high level decision making.
0-5 years of experience
[company name] provides debit and credit card transaction processing for community financial institutions along with fraud detection and rewards programs.
- Facilitated formation and organization documentation
- Drafted Master Services Agreement for products and services
- Negotiated contracts such as software development agreements, marketing agreements,
0-5 years of experience
Overall responsibility for the company's Ethics and Compliance program. Architect for the evolution of the program to industry leading standards in the heavily regulated business of construction.
- Redesigned the overall Compliance and Ethics program, including:
- Implementation of state-of-the-art hotline reporting and investigation program
- Rewrite of Code of Ethics and Business Conduct
- Design and delivery of company-wide compliance and ethics training program
- Development of compliance function to enhance constituent awareness
- Directed company-wide fraud risk assessment and delivered results and recommendations to Executive Management team.
- Developed and published a four-part Compliance Manual for all projects with federal funding.
- Created a culture of compliance through relentless marketing of the return on investment of an effective compliance program.
0-5 years of experience
Supervised team of advisors consulting by providing direction, establishing goals and projecting outcomes- all with Comprehensive Financial Planning as the focus
- Performed needs assessment to identify training needs, applied teaching strategies and developed business planning and enhancement tools
- Monitor process used to monitor trading of all Access Persons of Advisor as required by LPL Code of Ethics.
- Communicate policies and procedures to Designated Supervisors and Advisory Representatives of the firm to ensure proper use of forms and understanding of Registered Representative responsibilities.
0-5 years of experience
Reporting to the Chief Compliance Officer as an independent compliance partner to multiple Broker Dealers and is responsible for ensuring that the firm's compliance programs appropriately address the regulatory risks relative to the firm's business activities. Actively engaged with multiple business process owners to provide compliance advice, monitoring and oversight of effective programs. Business units supported include: compliance, AML, retail broker dealers, legal and operations. Collaborate with business unit owners and executive management to foster an open and honest risk management and compliance culture across the firm and ensure timely reporting and escalation of regulatory risk issues. Responsible for driving a culture of accountability, partnership, and compliance within the firm.
- Implemented a compliance program during time of transition while providing stability and support to other business units.
- Recognized by executive management team for effective management of regulatory risk and compliance program.
- Manage all compliance processes and regulatory filings for the firm.
- Successfully implemented privacy policy and business continuity plan for the firm.
- Built and expanded compliance team to address robustness of compliance program and provide operational support to executive operational management.
0-5 years of experience
Administrator involved in the daily management of business and personal events, projects, record-keeping,
traveling, publishing, and the supervision, development, and organization of the Corporate Compliance
Department.
- Supported and managed all activities of the CCO's office, including the coordination of meetings and investigations, travel, expense reporting, and document management and processing.
- Extended support of Domestic and Global Senior, Executive Staff, and Teams.
- Corporate Governance coordination and compliance for Board of Directors and the CEO office.
- Prepared and coordinated Board of Directors meeting materials and presentations.
- Logistical coordination of Global Code of Business Conduct Training and database management.
- Event planning; space planning, allocation, and coordination; Communications coordinator.
0-5 years of experience
Full ownership of off-site meetings and handling of travel for the Vice President, including car service, detailed itineraries, domestic & international travel, etc. Also management of two off-site meetings for 70 attendees (including the handling of the catering, negotiating hotel contracts, seating, A/V set up, etc.)
- Supervise 2 contractors and provided coaching and guidance when needed.
- Able to anticipate any and all situations that could arise and make superior aware of any meetings or issues that require immediate attention.
- Experienced with the overall Resolution Committee process, including but not limited to, monitoring the inbox, scheduling the meetings, attending the meetings, capturing the outcomes and updating same in the Everest database.
- Handle confidential/high-profile meetings and ad hoc requests. Very heavy calendar scheduling and rescheduling. Scheduled over 400 meetings for the VP for the full year.
- Work closely with Upper Level Leadership Members and their executive assistants.
- Effective communication and coordination with cross-functional administrative assistants, as well as daily collaboration with the 11 Executive Assistants throughout the company.
0-5 years of experience
- Provided administrative support to Chief Compliance Officer, Operational Risk Manager and Team
- Coordinated internal/external meetings; managed calendar to ensure appropriate meeting/conference scheduling
- Performed general administrative support, including incoming and outgoing mail, incoming and outgoing e-mails; prepared correspondence, compliance certifications, registration renewals, expense reports, materials for team meetings, client presentations and other documents; maintained filing system
- Handled registration to offsite conferences, coordinated domestic travel arrangements, and generated detailed itineraries
- Worked extensively with the Code of Ethics team to ensure compliance throughout the firm
- Assisted with scheduling of compliance training sessions
- Maintained working knowledge of relevant Wellington policies and procedures
- Performed other administrative duties or projects as assigned
0-5 years of experience
Developed, initiated, maintained, and revised policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Managed day-to-day operation of the Program
- Developed and periodically reviewed and updated Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
- Collaborated with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consulted with the Corporate attorney as needed to resolve difficult legal compliance issues
- Responded to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Developed and oversaw a system for uniform handling of such violations
- Acted as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization were being appropriately evaluated, investigated and resolved
- Monitored, and as necessary, coordinated compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
- Identified potential areas of compliance vulnerability and risk; developed/implemented corrective action plans for resolution of problematic issues, and provided general guidance on how to avoid or deal with similar situations in the future
- Provided reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts
- Ensured proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required
- Worked with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
- Monitored the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness
0-5 years of experience
Serve as Chief Compliance Officer and member of executive management
team for [company name] prescription drug plan
- Start-up insurance plan which acquired over 90,000 members within six
- Oversee staff charged with Delegation Oversight, Monitoring and Quality
- Charged with reporting to Board compliance program implementation,
- Respond directly to federal government oversight actions including multiple
- Ensure regulatory compliance and implementation of guidance updates
- Serve as Corporate Secretary for Smart Insurance Company, fully licensed
6-10 years of experience
Responsible for Risk Management, Corporate Compliance and oversight of Ancillary Departments
- Function as member of Senior Management and report to the Board of Directors
- Implemented Computerized Physician Order Entry (CPOE) aspect of EMR for facility and successfully demonstrated meaningful use for Stage I CMS requirements.
- Initiated and oversee Emergency Operations Plan for facility
- Function as Staff Nurse in all departments as needed
- Initiated and oversaw Wound Clinic, Bariatric Program and Diabetes Education
0-5 years of experience
Serve as primary administrator for Compliance11 by addressing C11 lockouts, answering C11 related questions, reviewing and approving brokerage account disclosures, adding and removing accounts updated electronically and resolving open cases
- Utilize weekly New Hire, Transfer and Termination Reports from Human Resources to ensure employee compliance designations are accurate
- Provide new hire compliance orientation to domestic employees and coordinate with regional offices to ensure employees outside the US receive orientation
- Distribute new hire and quarterly compliance affirmations, run delinquency reports and follow up with employees before due dates
- Organize new hire compliance training sessions; update and maintain master training log
- Handle special projects for the Chief Compliance Officer to increase effectiveness of the company compliance program
- Administer and maintain the Legal and Compliance webpage, ECM &PM Repository and TS Docs
- Perform general administrative duties: faxing, filing, copying, scheduling meetings and conference calls, typing correspondence and memos, calendar maintenance
0-5 years of experience
Directed the compliance department for a broker/dealer firm with 100 financial advisors.
- Client Relations -
- Correspondence/Advertising
- Policies and Procedures- Responsible for firms WSP
- Monitoring Trades
- Branch Audits
- Licensing/Registration
0-5 years of experience
Lead and organized voluntary benefits department including putting together processes and designing procedures. Specialized in welfare plan compliance and individual insurance policies.
- Managed team of two
- Began project of revamping the department
- Looked thoroughly at compliance procedures and updated/change where needed
0-5 years of experience
Responsible for developing and managing a comprehensive compliance program
- Develop, execute and revise policies and procedures in accordance with legal, ethical and regulatory requirements
- Review business processes, services and client and vendor relationships to identify and mitigate compliance risks
- Collaborate with Information Technology and other functional areas to develop and modify processes to address identified risk
- Draft, implement and manage compliance assessments and audits
- Review contracts for compliance and privacy related issues
- Coordinate and deliver training to employees and vendors on compliance program and policies
0-5 years of experience
Complete audits in accordance Office of Inspector General's Work Plan.
- Monitor facilities compliance with State and Federal regulations.
- Oversees the Corporate Compliance Program.
- Develops maintains and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
- Prepares Quarterly Reports to Executive Management detailing status of Compliance Program and recommending improvement/changes.
- Monitors and as necessary, coordinates compliance activities of Corporate and facility processes to remain abreast of the status of all compliance activities and to identify trends.
- Provides support on a regular basis, and as directed or requested, to keep Senior Management informed of the operations and progress of compliance efforts.
- Consults with Corporate Attorney as needed to resolve difficult legal compliance issues.
- Performs independent review and evaluation to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
0-5 years of experience
Responsible for day-to-day Firm compliance and branch supervision, including but not limited to:
- Review of previous days' trades and order tickets, checking for:
- Administration of broker registrations, examinations and terminations through CRD
- Along with senior management and legal counsel, formulating responses to regulatory requests for information and documents and customer complaints
- Overseeing routine regulatory examinations
- Maintaining/overseeing firm's books and records (other than financial records)
- Conduct annual mandatory compliance meeting
- Continue to maintain and or establish selling agreements with mutual fund and variable product companies
- Oversee Registered Investment Advisor registrations and related activities
0-5 years of experience
Responsible to CEO and Board of Directors for all areas of compliance for this healthcare staffing company (per-operative services), including Privacy/Security (HIPAA), Stark/Anti-Kickback, billing and coding compliance audit and review, state licensure (healthcare clinics, physician, nursing, advanced nurse practitioner, Physician Assistants and pharmacy), OSHA and employment-law compliance and state/federal law compliance.
- Responsible for investigation and response to compliance complaints in a timely and legally appropriate manner.
- Responsible for review, drafting and implementation of Compliance Policies and Procedures.
- Report to CEO.
0-5 years of experience
General Duties. Responsible for all managing a one million dollar budget that includes direct supervision of one
vice president, two directors a corporate compliance officer.
- Operational Audit and Quality Assurance. Created a new director level position to oversee this area, which
- Coding Audit and Quality Assurance. Replaced coding director with a new hire that more diverse coding
- Physician Contracting. Directed VP to implement new contract tracking system that tracked key clauses,
- Control Structure. Currently working with the Senior Vice President of Operations to develop and document a
- General Compliance Program. Developed a comprehensive compliance manual that translates varies state and federal regulatory requirements into detailed policies and procedures, which includes identification of responsible
- General Contracting. Responsible for all corporate contracting with clients and vendor. Established a contract
- Board Reporting and Training. Prepare annual compliance plan for board review and approval, provide
0-5 years of experience
Process all incoming and outgoing paperwork
- Assist company representatives via phone and e-mail
- Maintain confidential client information
- Track all investment purchases
- Make all company payments
- Manage and maintain company accounts and transactions
10+ years of experience
Develop, initiate, maintain and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical or improper conduct. Manage day-to-day operations of the Program.
- Monitor and coordinate compliance activities of other departments to remain abreast on the status of all compliance activities and to identify trends.
- Collaborate with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with the corporate attorney as needed to resolve difficult legal compliance issues.
- Respond to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations.
- Act as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
- Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for the resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
- Provide reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
- Institute and maintain an effective compliance communication program for the organization, including promoting the (a) use of the Compliance Hotline; (b) heightened awareness of Standards of Conduct; and (c) understanding of new and existing compliance issues and related policies and procedures.
- Work with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
6-10 years of experience
Provide day-to-day operational support to Senior Vice President, Chief Compliance Office, Global Compliance & Ethics.
- Lead Executive Assistant for a team of 8 Administrative Assistants including coordinating office services such as purchasing, payroll, records controls and, asset management; interpreting operating policies; exercising independent judgment in the resolution of administrative problems; and on a regular basis, assume responsibility for decisions, consequences, and results having an impact on people, costs, and/or quality of service within the compliance team.
- Real Estate Liaison serving as the single point of contact between Compliance and Real Estate and responsible for coordinating voice, data, and desktop services for the Compliance Team
- Scan Senior Vice President's emails for meeting invitations (both in calendar and email form).
- Confidentially reviewing of emails to identify any items of urgency; flagging follow-up items, requests for information or any other items that require a deliverable.
- Management of meeting calendar to anticipate needs for scheduled meetings, including documents, materials, meals, confirmation of attendees, conference dial in numbers and coordination, etc.
- Responsible for expense management which includes promptly filing Senior Vice President's expense report and following up as required on missing receipts and additional details as required.
- Travel schedule coordinator which includes booking all company related travel itineraries (airfare, lodging, car service or rental) and coordinating to resolve and last-minute, anticipated or unanticipated, changes to itinerary.
- Cruise Director - event planning for team building activities and events to foster relationship building amongst [company name] employees; includes working with vendors to coordinate logistics and communications to attending employees.
6-10 years of experience
Provide day-to-day operational support to Senior Vice President, Chief Compliance Office, Global Compliance & Ethics.
- Lead Executive Assistant for a team of 6 Administrative Assistants including coordinating office services such as purchasing, payroll, records controls and, asset management; interpreting operating policies; exercising independent judgment in the resolution of administrative problems; and on a regular basis, assume responsibility for decisions, consequences, and results having an impact on people, costs, and/or quality of service within the compliance team.
- Real Estate Liaison serving as the single point of contact between Compliance and Real Estate and responsible for coordinating voice, data, and desktop services for the Compliance Team
- Scan Senior Vice President's emails for meeting invitations (both in calendar and email form).
- Confidentially reviewing of emails to identify any items of urgency; flagging follow-up items, requests for information or any other items that require a deliverable.
- Management of meeting calendar to anticipate needs for scheduled meetings, including documents, materials, meals, confirmation of attendees, conference dial in numbers and coordination, etc.
- Responsible for expense management which includes promptly filing Senior Vice President's expense report and following up as required on missing receipts and additional details as required.
- Travel schedule coordinator which includes booking all company related travel itineraries (airfare, lodging, car service or rental) and coordinating to resolve and last-minute, anticipated or unanticipated, changes to itinerary.
- Cruise Director - event planning for team building activities and events to foster relationship building amongst [company name] employees; includes working with vendors to coordinate logistics and communications to attending employees.
6-10 years of experience
Supervised entire day-to-day operations of above two Investment Advisory firms (same group of Portfolio Managers and staff); Instituted strong internal procedures and controls; Coordinated Operations support staff's workflow ensuring accurate and efficient execution; Cross-trained support staff for greater efficiencies; Oversaw recruitment of Portfolio Managers and support personnel.
- Maintained all client accounts daily; Responsible for the settlements of trades, margin and short account maintenance, new account documentation and processing, deposit and disbursements of funds, transfers of assets, accurate recordkeeping and other various operational issues.
- Conducted daily compliance review of all trading activity, focusing on suitability, block trading/average pricing, best execution and employee transactions; Held quarterly account performance reviews with the Portfolio Managers ensuring strict adherence with client goals and asset allocation.
- Developed and maintained Investment Advisory Policies and Procedures Manual; Responsible for all Investment Advisory filings, including Form ADV, Part I & II; Reviewed and approved all correspondence, investment advisory contracts, marketing materials and portfolio appraisals. Headed SEC audits. Calculated and prepared quarterly management fee billing.
6-10 years of experience
Supervised entire day-to-day operations of above two Investment Advisory firms (same group of Portfolio Managers and staff); Instituted strong internal procedures and controls; Coordinated Operations support staff's workflow ensuring accurate and efficient execution; Cross-trained support staff for greater efficiencies; Oversaw recruitment of Portfolio Managers and support personnel.
- Maintained all client accounts daily; Responsible for the settlements of trades, margin and short account maintenance, new account documentation and processing, deposit and disbursements of funds, transfers of assets, accurate recordkeeping and other various operational issues.
- Conducted daily compliance review of all trading activity, focusing on suitability, block trading/average pricing, best execution and employee transactions; Held quarterly account performance reviews with the Portfolio Managers ensuring strict adherence with client goals and asset allocation.
- Developed and maintained Investment Advisory Policies and Procedures Manual; Responsible for all Investment Advisory filings, including Form ADV, Part I & II; Reviewed and approved all correspondence, investment advisory contracts, marketing materials and portfolio appraisals. Headed SEC audits. Calculated and prepared quarterly management fee billing.
0-5 years of experience
- Responsible for all back office operations to support the highest levels of service to high net worth and institutional clients.
- Maintain accounting system to ensure data accuracy and integrity.
- Create specialized monthly and quarterly performance reports for clients.
- Analyze client revenues verses cost to service to determine profitability of prospective clients and future target markets.
- Compile competitive analysis of local and national advisors to better understand company growth strategy.
- Perform periodic and annual compliance audit to make recommendations to the company.
- Contribute to website development process to ensure data accuracy of client web portal.
- Participate in firm branding and strategic planning for future growth purposes.
- Research various outsourcing solutions to maximize employee productivity and operational efficiencies.
- Train and supervise junior financial analyst.
0-5 years of experience
Chief Compliance Officer (CCO) & Chairman of Compliance Committee and SLT Team
- Directing the Law Firm's development, execution and monitoring of all local, state and federal compliance and regulatory programs while heading the partner network compliance counsel and Chair of the Firm's internal compliance and legal charters & committees.
- Directing and managing the implementation of all operational and legal compliance requirements while overseeing all ethical and compliance standards. Ensure alignment of Firm policies & procedures.
- Providing guidance on all compliance initiatives, corporate legal disputes and overseeing the Firm's on-going commitment to all compliance & training initiatives in order to best respond to each and every client's needs while maintaining the Firm's commitment to education for all levels of staff.
Compliance Cover Letter Examples
