COMPLIANCE MANAGER SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Updated: Jan 01, 2025 - The Compliance Manager boasts extensive experience in the insurance or financial service industry, excelling in executive-level communication both in writing and verbally. Equipped with profound skills in identifying, analyzing, and prioritizing compliance-based risks, potential impacts are determined and strategic KPIs developed to monitor these risks effectively. Highly analytical and organized, expertise is demonstrated in interpreting rules, conceptualizing policies, and leveraging Governance Risk and Controls software to manage regulated operations.

Essential Hard and Soft Skills for a Standout Compliance Manager Resume
  • Regulatory Knowledge
  • Risk Assessment
  • Compliance Auditing
  • Data Analysis
  • Policy Development
  • Legal Research
  • Reporting
  • Governance Risk and Controls Software Proficiency
  • Microsoft Office Suite
  • KPI Development.
  • Communication Skills
  • Problem-Solving
  • Decision-Making
  • Leadership
  • Attention to Detail
  • Ethical Judgment
  • Adaptability
  • Collaboration
  • Initiative
  • Strategic Thinking.

Summary of Compliance Manager Knowledge and Qualifications on Resume

1. BA in Business Administration with 3 Years of Experience

  • Experience as a Compliance Officer, Compliance Manager in bank / finance institution
  • Strong knowledge of industry best practices and regulations.
  • Experience in risk management
  • Knowledge of legal requirements and controls with international compliance (e.g. Anti-Money Laundering, or AML)
  • Integrity and professional ethics
  • Have experience of implementing and working within an ISO 9001-2015 accredited organisation and maintaining and audit/amending the organisations QMS to improve the quality of the product and maintain compliance with the regulations.
  • ISO experience exposure to automotive and emergency vehicle regulatory requirements
  • Ability to rapidly assimilate new regulatory requirements of this industry sector (e.g., CEN 1789-2007, Type Approval) so that in conjunction with Engineering Department, the company is always fully compliant with the regulatory requirements of the industry.
  • Hands-on experience of identifying the critical quality parameters within the process and ensuring appropriate quality checks are built in to ensure quality is maintained and built into the process to ensure RFT is order of the day so that customer gets the completed conversion to the required quality standard.
  • Ability to undertake root cause analysis and identify improvements to prevent repeat occurrences in the future.
  • Ability to implement ‘Continuous Improvement’ across the whole production cycle in an industry that is continuously challenged to improve efficiency and effectiveness.

2. BS in Finance with 7 Years of Experience

  • Insurance or Financial Service industry experience
  • Excellent written and verbal executive-level communication skills
  • Experience identifying, analyzing and prioritizing compliance-based risk and determining potential impact to an organization.
  • Strong analytical, organizational, problem solving, and follow-up skills. 
  • Ability to interpret rules and guidelines, and ability to conceptualize policies, procedures, and controls
  • Experience in developing compliance related KPI’s to track and monitor evolving compliance risk
  • Strong understanding of business processes, internal controls, and risk
  • Ability to work independently yet collaboratively, with internal and external teams
  • Excellent analytical, problem-solving and decision-making skills
  • Ability to articulate complex matters and associated risks to key stakeholders and the business
  • Demonstrate sound business judgment as well as apply logical/critical thought processes
  • Experience in using Microsoft applications Excel, Word, PowerPoint
  • Experience using Governance Risk and Controls software to integrate and manage operations subject to regulation

3. BS in Accounting with 10 Years of Experience

  • Experience in the Information Security / Cybersecurity domain with a focus on cybersecurity and compliance
  • Experience leading a team responsible for compliance management, audit or assurance
  • Experience building compliance programs, including assessing and managing compliance against agreed standards at the level of individual security controls (administrative, technical / logical, physical) for multiple organizations or business units
  • Experience with ServiceNow, Archer, or other compliance management tools is preferable
  • Experience in building a compliance assurance process and driving growth from an immature state to a mature state is preferable
  • Experience preparing mutual fund board materials
  • Knowledge in Cryptocurrency/Blockchain 
  • Ability to identify and recommend tools, processes, and software to automate and continuously improve compliance practices
  • Demonstrated knowledge of regulatory frameworks in the finance sector and regarding GDPR especially in the EU
  • Demonstrated experience with controls definition, development, implementation and assessment
  • Highly organized and resourceful, able to develop a compliance strategy to execute on while also remaining flexible regarding changes or spontaneous needs
  • Highly strategic thinking skills and the ability to come up with new initiatives and ideas
  • Self motivated and thrives in a startup environment
  • Strong project management skills

4. BA in Economics with 6 Years of Experience

  • Experience in any of the following: Healthcare, Dental, SUD, mental health or similar Quality Assurance and Compliance role.
  • Exceptional skills in patient focus and care, leadership and program management.
  • Strategic mindset, and a strong communicator and collaborator with high emotional intelligence.
  • Values diverse perspectives and has high cultural awareness.
  • Exceptional decision-making skills with a focus on quality and accountability.
  • Adept in Microsoft Office, including Word, Excel and PowerPoint.
  • Must be able to physically assist clients to exit facility in case of an emergency and/or who are undergoing seizures or other major withdrawal symptoms to include ambulatory escort to a medical facility
  • Able to create and implement training programs for all types of Affordable programs.
  • Experience in Property Management and affordable housing.
  • Strong analytical and problem-solving skills
  • Ability to organize and prioritize work
  • Proficient in all HUD, LIHTC, HOME and Fair Housing regulatory requirements.
  • Working knowledge of Microsoft Office, specifically Word and Excel
  • Ability to learn and adopt to new technology and utilize it to support property staff.

5. BS in Risk Management with 10 Years of Experience

  • Experience in licensed Payment Services Provider (“PSP”), FinTech, ecommerce, RegTech, financial services or consulting firms 
  • Ability to multitask effortlessly and handle challenging priorities under demanding deadlines
  • Ability to understand larger picture and environment while operating in focused manner
  • Outstanding time management, presentation, and relationship building skills
  • Familiarity with laws and regulations in China, in particular the PSP industry
  • Experience in data protection and privacy
  • Experience in implementing privacy policies and programs in accordance with APPI
  • Expertise in providing advice related to privacy or technology
  • Understanding of systems security, information systems and application development or management
  • Collaboration skills
  • Fluent level English and Japanese
  • Proven track record of implementing/creating a proactive compliance culture while working with line management to move the business forward
  • Proficiency in examination principles and practices for the securities industry

6. BA in Legal Studies with 8 Years of Experience

  • AML/OFAC bank advisory and risk management experience.
  • Experience within the financial services industry; OCC, FED, FDIC.
  • Experience providing effective/credible challenge of risk assessments and risk mitigation strategies for new Bank products.
  • Experience in overseeing, advising and providing guidance to the Bank businesses on KYC, and other Policies and Standards.
  • Experience providing direction to the Enterprise AML Compliance Operations team on escalations and/or investigations related to Bank customers.
  • Experience developing, maintaining and delivering targeted AML training for Bank employees and management.
  • CAMS, AMLP, CAFP or CRCM or other financial services industry compliance certifications
  • Experience building compliance programs within a highly regulated environment.
  • Proven experience in pharmacovigilance case management and/or compliance monitoring.
  • Understanding of GxP requirements.
  • Ability to function in a global matrix environment.
  • Excellent communication and writing skills.
  • Ability to influence without authority.
  • Ability to lead teams to make decisions.
  • Ability to handle and resolve issues independently.

7. BS in Information Systems with 5 Years of Experience

  • Experience conducting research and investigations related to Fraud, AntiMoney Laundering, Customer/Enhanced Due Diligence investigation or verifications, Sanctions monitoring
  • Proven ability to analyze large amounts of data in order to report critical information
  • Exceptional oral, written and interpersonal communication skills with the ability to communicate complex information accurately, clearly and quickly to all levels
  • Ability to lead teams in a manner that encourages Investigators to work efficiently with an attention to detail in investigations, analysis, and writing
  • Ability to understand opposing points of view on highly complex issues and to negotiate and integrate different viewpoints within team and across the organization
  • Ability to recognize the need for change management initiatives, and the ability to lead these while maintaining and driving engagement throughout the team
  • High level of professionalism, self-motivation and sense of urgency
  • Have a strong sense of ethics and principles but have a pragmatic and in-it-for-the-long-game work attitude where proactive, thorough and a willingness to keep learning are leading words.
  • Have worked with implementation of compliance programs in a fast-growing agile environment
  • Familiar with standards such as ISO 27001,14001 and 9001, and share belief that it is the essence of standards that is important. 
  • Experience in a SEC Rule 38a-1 or 206(4)-7 related role
  • Ability to analyze and evaluate firm practices and policies against new or changing regulatory requirements

8. BA in Public Administration with 7 Years of Experience

  • Experience in compliance, legal/regulatory or risk (anti-corruption experience preferred).
  • Proven success driving strategy and large scale and complex projects to completion.
  • Experience leading a functional group or work stream.
  • Ability to work independently with minimal supervision and exercise sound judgment.
  • Effective and energetic collaborator committed to contributing to a positive team environment.
  • Excellent written and verbal communication skills, including the ability to present concise findings in a persuasive manner.
  • Flexible, adaptable to shifting priorities, uses sound judgement, and navigates ambiguity to get things done.
  • Able to work in a fast-paced work environment.
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
  • Have extensive experience working with a diverse set of stakeholders to figure out reasonable ways forward
  • Have good enough legal understanding such that working together with a legal team is second nature 
  • Have experience with change management in fast moving agile companies
  • Have a get-shit-done attitude and are comfortable breaking own path in the absence of clear directions

9. BS in Corporate Governance with 5 Years of Experience

  • Ability to work at strategic, tactical and operational levels and execute on decided initiatives.
  • Strong personal integrity and drive
  • Great attention to detail.
  • Ability to maintain strong working relationships with demanding internal and external clients.
  • Strong analytical capabilities and judgment.
  • Solution-oriented and proactive approach that balances commercial goals and business ethics and data privacy risks.
  • Excellent time management skills with the ability to prioritize and multitask and work under shifting deadlines in a fast-paced environment.
  • Ability to work independently and in a team environment with both the local and global Compliance and Legal teams and the global privacy, data, and information security teams.
  • Prior corporate experience.
  • Prior experience with a corporate compliance function, especially in a highly regulated industry.
  • Proficiency with and affinity for data.
  • Have experience of the legal and regulatory standards of the healthcare sector

10. BA in Business Administration with 7 Years of Experience

  • Thorough skills and abilities related to controls around the risk reporting, compliance and operational processes within an organization, including business process and internal controls.
  • Experience leading the adaption of a work program and practice aid, as well as perform assessments, using relevant tools to evaluate controls and potential for optimization
  • Project management skills, including developing project plans, resource budgets, and deliverables schedules
  • Demonstrated knowledge of providing services related to controls around the risk reporting, compliance and operational processes, including business process and internal controls, which includes a proven record of success with facilitating and completing deliverables 
  • Demonstrated knowledge of Risk management reporting on business risks, processes and controls
  • Demonstrated knowledge of COSO Framework, ISO Standards (9001, 13485, 14000, 20000, 22301, 27001/2, 27701, 30000), CoBIT and/or other leading business and control frameworks
  • Knowledge of Current and emerging risk governance processes and trends
  • Experience working in a regulatory environment in healthcare.
  • Knowledge of and experience with standard industry best practices for verification and accreditation.
  • Experience of working with NHS Digital, MHRA and/or other accreditation bodies.
  • Awareness of mandatory standards and accreditations for healthcare IT systems including for connectivity to national NHS systems.
  • Experience of working in Verification and Validation situations in aspects such as Test strategies, plans and execution. 
  • Able to advise customer and internal staff on optimal strategies.
  • Experience dealing with complex application deployments.

11. BS in Finance with 7 Years of Experience

  • Experience in a rapidly growing fintech, consumer finance business or bank
  • experience of people management.
  • Knowledge and application of consumer protection laws and regulations, including, Reg. Z, ECOA/Reg. B, Fair Lending, UDAAP and FTC standards
  • experience with BSA/AML compliance 
  • Experience within a credit card issuer / consumer lender
  • Compelling communication skills, both verbal and written. 
  • Independent initiative-taking. 
  • Willingness to roll up sleeves to handle and resolve operational issues and challenging initiatives. 
  • Strong organization, process orientation and attention to detail.
  • Comfort in a fast-moving environment with continuous change. 
  • Thrives on challenge, deadlines, and comfortable dealing with ambiguity. 
  • Ability to integrate into a company that prioritizes ideas and reason over hierarchy and experience.

12. BS in Accounting with 7 Years of Experience

  • Experience in compliance, risk management, law, finance, or a related field
  • Experience working in a regulated financial services entity (or consulting firm focused on financial services, not least compliance)
  • Experience with compliance under the Investment Advisers Act of 1940 favorable
  • Experience with healthcare compliance 
  • Experience working for a publicly traded company 
  • Experience in financial services compliance (including the design and implementation of compliance programs)
  • Experience working with regulators/supervisors (not least in leading exam responses)
  • Independence and the ability to challenge the first line of defense and escalate issues as appropriate
  • Ability to prioritize and handle multiple competing deadlines
  • Ability to work with individuals from all levels of the firm, from junior staff to executive leadership and the board
  • Excellent writing, speaking, and analytical skills, with an ability to articulate complex problems and solutions through clear and concise messaging
  • Intellectual curiosity with the ability to think both strategically and tactically
  • Self-starter, critical thinker, problem solver, team-oriented leader

13. BA in Economics with 6 Years of Experience

  • Experience in a compliance or risk related role with a regulator, financial institution or similar
  • Working knowledge of credit laws, financial services laws, and the financial services and credit industries
  • Experience in producing submissions to external bodies such as AFCA, ACMA and ASIC
  • Experience in producing Board and Committee reporting
  • Strong written and oral communication skills, with the ability to engage, build relationships and influence stakeholders
  • A self-starter who can manage tasks and work to a defined set of deliverables with minimal direction 
  • Experience in working for Public company 
  • Good command of spoken and written English with company literacy.
  • Good ability with Ms Office (Word, Excel, Power Point)
  • Good coordination skill, good personality, open-mind, eager for new work experiences with positive and flexible attitude, enthusiasm, able to work as team.
  • Strong analytical, process management and implementation skills, sensitivity to issues, strong facilitation and problem-solving skills

14. BS in Risk Management with 3 Years of Experience

  • An independent, motivated, self-starter.
  • Excellent knowledge of the compliance and regulatory environment, with particular focus on and Gibraltar gambling regulations.
  • Compliance and regulatory experience in a fast paced, regulated environment.
  • Compliance qualification and equivalent related work experience.
  • Experience working on several projects at once, across multiple geographical locations.
  • Detail focused but able to see the “big picture” and maintain progress.
  • Excellent listening, interviewing, presentation, facilitation and influencing skills.
  • Demonstrated strong performance in prior roles, with increasing levels of responsibility and independence.
  • Strong oral and written communication skills to deliver messages clearly and confidently at all levels.
  • A team player who shows respect and values the views of others.
  • Demonstrate a flexible approach - equally comfortable managing top level activity and also getting involved operationally to make things happen.
  • Excellent stakeholder management skills
  • Strong knowledge of the FCA Handbook, especially CONC, DISP and SYSC and SMCR requirements.

15. BA in Legal Studies with 6 Years of Experience

  • Experience in the funds or investment management industry.
  • Strong working knowledge of various fund structures and terms.
  • Experience with funds domiciled in Singapore/Hong Kong/Australia or Cayman Islands.
  • Good knowledge of Singapore securities laws, the AML laws and regulations in SG.
  • Exercise critical-thinking with ability to make strategic decisions based on sound judgement.
  • Demonstrating a high level of accuracy and attention to detail.
  • Computer literate with good working knowledge of Excel & Word.
  • Prior experience in Navone, Paxus or Efront 
  • Service-oriented and client focused.
  • A team player with strong oral, written and interpersonal communication skills.
  • Comfortable in monitoring multi-media sources for horizon developments and understanding implications.
  • Willingness and ability to expand knowledge into non-FS areas of Compliance, e.g. ASA, OFCOM, general retail activity
  • An experienced Compliance professional, preferably within a Consumer Credit environment.

16. BS in Information Systems with 9 Years of Experience

  • A team player with the ability to both collaborate cross-functionally and work autonomously. 
  • Detail oriented and have the ability to autonomously investigate and benchmark legal requirements and regulations as well as transform these into policies, procedures and/or management memos.
  • Strong knowledge of AML and ABC components such as sanctions, know customer, gifts and entertainment and conflicts of interest
  • Experience working within a compliance function specializing in AML, ABC, sanctions and/or data protection
  • Prior experience in a global organisation in the finance or banking industry
  • Strong analytical skills, good overview, critical sense and ability to deal with complex issues
  • Strong stakeholder management skills
  • A work history that affirmatively demonstrates leadership and ability to work in a matrix reporting environment
  • Excellent communication skills, particularly written with well-developed analytical and reasoning skills.
  • Strong organisational skills with excellent attention to detail.

17. BA in Public Administration with 3 Years of Experience

  • Experience in compliance, risk mitigation, investigations, audit and/or other relevant areas, preferably with a multi-national life sciences or healthcare company
  • Knowledge of and experience with compliance issues, such as: Anti-kickback statute (AKS), fraud and abuse (understanding of AdvaMed and PhRMA code of ethics
  • Previous experience in: identifying and resolving compliance issues quickly and effectively
  • Ability to make informed management calls with proven ability to drive operational excellence, implementing compliance policies, processes and procedures
  • Ability to influence senior management to drive sustainable cultural/organizational change and program integration
  • Strong grasp of code of conduct, business ethics policies and current compliance practices and relevant industry standards
  • Strong business acumen, ability to detect emerging compliance and industry trends and develop appropriate responses
  • Unquestioned integrity and ethics in business and personal conduct
  • Demonstrable verbal and written fluency in English
  • Superior communication skills, inter-personal skills, mature judgment and independent thinking
  • Working knowledge of the OIG’s Open Payments Reporting requirements
  • Energetic, self-starter and innovative
  • Ability to analyze and translate policy intro practical business processes
  • Ability to operate with due discretion, confidentiality, objectivity and independence

18. BS in Corporate Governance with 5 Years of Experience

  • Experience in supporting a Refining & products trading business
  • Knowledge and understanding of traded products, markets and strategies, both physical and paper based trading
  • Knowledge of regulations, exchange rules, relevant laws and internal policies
  • Knowledge of ABC and AML compliance
  • Ability to understand and synthesize legal and regulatory concepts and translate for business collaborators. 
  • Excellent verbal and written communication skills with the ability to apply these skills as all levels of the organization.
  •  Strong interpersonal skills, capable of embracing a variety of styles to achieve the desired result
  • Strong influencing, impacting and communication skills to engage up to SVP level
  • Ability and self-confidence to respectfully challenge, seek pragmatic solutions and contribute to complex issues. 
  • Self-starter with advanced technical knowledge/experience and ability to operate with a high degree of autonomy using effective prioritization, analytical problem-solving and planning skills
  • Strong work ethic and ability to work creatively to achieve identified goals, both individually and as a teammate working in a global role
  • Problem-solving skills with ability to see the next step and follow through on operational detail. 
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