CV / English / Compliance Director
Personal Information
- Phone: +1 (555) 123-4567
- Email: [email protected]
- Address: 142 Compliance Way, Regulatown, TX 99999
Professional Summary
A highly dedicated and results-driven Compliance Director with over 12 years of experience in developing, implementing, and enhancing compliance programs within financial institutions. Proven track record in leading compliance teams, managing regulatory relationships, and ensuring adherence to the latest laws and regulations. Committed to fostering a culture of compliance and ethical standards across all organizational levels.
Core Competencies
- Regulatory Compliance Management
- Policy Development & Implementation
- Risk Assessment & Management
- Team Leadership & Training
- Compliance Monitoring & Reporting
- Regulatory Affairs & Liaison
- Financial Crime Prevention
- Ethical Governance & Culture Building
Technologies & Certifications
- Technologies: Proficient in Compliance Risk Management Software (e.g., Actimize), Microsoft Office Suite
- Certifications:
- Certified Compliance & Ethics Professional (CCEP)
- Certified Anti-Money Laundering Specialist (CAMS)
Professional Experience
Global Finance Corp, New York, NY
Compliance Director March 2015 – Present - Lead a team of 20+ compliance professionals in the implementation of regulatory changes across all business units. - Developed and oversaw the compliance risk management program, resulting in a 40% reduction in non-compliance incidents over 5 years. - Acted as the key regulatory liaison, significantly improving relationships with the SEC, FINRA, and other regulatory bodies.
Trustmark National Bank, Jackson, MS
Senior Compliance Manager June 2010 – February 2015 - Implemented a comprehensive anti-money laundering program, enhancing detection and prevention measures. - Conducted thorough compliance audits and risk assessments, ensuring adherence to federal and state laws. - Facilitated training sessions on compliance and ethical practices for new and existing employees.
Education & Training
- Master of Laws (LL.M.) in Financial Regulation, New York University 2010
- Bachelor of Science in Finance, University of Texas at Austin 2008
Referees
Available on request.