17 December 2018
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Compliance Officer resume 1

Maxine Curry
Dayjob Limited
The Big Peg
120 Vyse Street
Birmingham B18 6NF
England
T: 0044 121 638 0026
E: info@dayjob.com


PERSONAL SUMMARY

Maxine is able make key decisions and recommendations on difficult and important compliance issues. She has a spirit that drives her to do more and is an expert at planning, organising, and controlling the day-to-day administrative and operational compliance activities of a company. In her present role she plays an essential part in the overall management of her department and is instrumental in ensuring the correct implementation of operational procedures. Her key strengths include carrying out investigations, providing an advisory service to senior managers, establishing controls and mitigating risks. Right now she would like to work for a company where there is an environment where team members are engaged, supportive of one another and enthusiastic about what they do.


CAREER HISTORY

Compliance Officer - Start Date - Present
Employers name - Location
Responsible for all of the company’s regulatory and compliance issues.

Duties;

  • Drafting compliance procedures and work instructions from the ground up.
  • Regularly liaising with internal legal counsel to ensure operational compliance with all relevant laws and regulations.  
  • Analysing information as well as questioning and investigating results from compliance reports.
  • Managing compliance operations.
  • Setting employee standards of conduct and clearly relaying to staff what is expected of them.
  • Carrying out assessments to determine the effectiveness of any corrective actions.
  • Monitoring internal anti-money laundering policies and procedures.
  • Developing test plans.
  • Looking out for any financial conflicts of interest.
  • Initiating corrective actions for the resolution of problematic issues.
  • Monitoring critical compliance risks issues.
  • Oversees any audits carried out by an external auditing firm.


JOB TITLE - Start Date - End Date
Employers name - Location

JOB TITLE - Start Date - End Date
Employers name - Location


KEY SKILLS AND COMPETENCIES

Professional

  • Identifying unusual transaction patterns.
  • Time and effort reporting.
  • Can work effectively with professionals from different departments.
  • Excellent communication and interpersonal skills.
  • Able to work in both an office environment as well as out there if the field.
  • Willingness to use own independent judgement to make decisions.
  • Can balance competing priorities.


Personal

  • Assertive and able to take control of a situation.
  • Superb memory and able to remember key details for a long period of time.
  • Willing to travel and stay away overnight on occasions.


AREAS OF EXPERTISE

Risk tolerance
Risk response
Fostering relationships
Money laundering
Risk assessments


ACADEMIC QUALIFICATIONS

University name   -  Degree details              Study Dates
College name      -  Qualifications                Study Dates
School name       -  Subjects / Grades          Study Dates


REFERENCES

Available on request.
 



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