DIRECTOR OF COMPLIANCE SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Published: Nov 27, 2024 - The Director of Compliance ensures meticulous database and contract management while designing systems that align with campaign finance regulations. Demonstrates exceptional attention to detail, accuracy, and the ability to manage sensitive information discreetly. Strategically plans and implements processes in dynamic environments, fostering collaboration across geographically dispersed teams.

Essential Hard and Soft Skills for a Standout Director of Compliance Resume
  • Regulatory Knowledge
  • Risk Assessment
  • Compliance Monitoring
  • Policy Development
  • Data Analysis
  • Contract Management
  • Database Management
  • Legal Interpretation
  • Audit Coordination
  • Process Optimization
  • Leadership
  • Communication
  • Strategic Thinking
  • Problem-Solving
  • Attention To Detail
  • Confidentiality
  • Collaboration
  • Adaptability
  • Decision-Making
  • Time Management

Summary of Director of Compliance Knowledge and Qualifications on Resume

1. BA in Business Administration with 5 Years of Experience

  • Experience with database management
  • Experience with contract management and a passion for paperwork and details
  • Demonstrated ability to design systems that drive toward compliance
  • Excellent research skills
  • Strong attention to detail and a strong skill in proofreading as well as a high-level of accuracy in work
  • Demonstrated ability to independently plan strategically, prioritize, and manage implementation of plans in fast-moving, changing environments
  • Demonstrated ability to work with sensitive and confidential information with discretion and in a professional manner
  • Experience and confidence engaging with campaign finance regulations and reporting
  • Demonstrated ability to research campaign finance contribution limits and reporting requirements
  • Prior experience working on a state campaign for elected office
  • Prior experience designing systems for optimal database management and government reporting
  • Ability to communicate and collaborate within a geographically dispersed team
  • Strong, demonstrated commitment to diversity, equity and inclusion
  • Able to work under tight time-lines, balance multiple, detailed tasks simultaneously, prioritize appropriately and delegate to resources available.
  • Ability to maintain strict confidentiality.
  • Exhibits grace under pressure, has a good sense of humor and thrives in a fast-paced environment.
  • Proficiency in Microsoft Office (including Word, Excel, PowerPoint and Outlook).

2. BA in Legal Studies with 10 Years of Experience

  • Experience leading a compliance team or department 
  • Strong knowledge of compliance requirements in a highly regulated industry, and an ability to apply them in a way that is reflective of the business need but also ensures compliant business conduct.
  • Must be an analytical and strategic thinker with an ability to interpret laws, regulations, and industry guidelines and conceptualize policies and procedures.
  • Ability to lead as well as collaborate, and function well in a fast-paced team environment.
  • Demonstrated experience with effectively managing multiple projects/priorities.
  • Ability to work effectively with, influence and get consensus across functional units and at all levels in the organization as well with external parties.
  • Proven ability to make sound judgments and decisions. 
  • Able to quickly assess problems/situations and provide effective resolutions/solutions.
  • A “can do” professional who will work proactively with both internal and external resources to drive results.
  • Excellent interpersonal skills and the ability to build and maintain positive work relationships and effectively interface across the organization.
  • Excellent communicator – both verbal and written - with business acumen and the ability to consistently meet or exceed project deadlines.
  • Flexible, high level of integrity, action and goal-oriented.
  • Expert-level knowledge and previous experience with Generally Accepted Accounting Principles (GAAP), practices and reporting guidelines, SOX requirements and audit techniques and methodologies
  • Well-versed in the state, federal, and international laws and regulations that have an impact on internal audit, general accounting, and management controls.
  • Direct experience in an audit organization for a company selling SaaS software, services, and products as an employee
  • Works independently with extensive latitude for initiative and independent judgment

3. BA in Compliance and Risk Management with 11 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 in financial services compliance (including the design and implementation of compliance programs)
  • Experience working with regulators/supervisors (not least in leading exam responses)
  • Experience with compliance under the Investment Advisers Act of 1940
  • Experience with healthcare compliance favorable
  • Experience working for a publicly traded company 
  • Excellent writing, speaking, and analytical skills, with an ability to articulate complex problems and solutions through clear and concise messaging
  • 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
  • Intellectual curiosity with the ability to think both strategically and tactically
  • Great attention to detail
  • Experience with substantial focus on compliance and ethics
  • Outstanding analytical, writing, and oral presentation skills
  • Strong interpersonal skills, and ability to interact effectively and build trust among individuals at all levels
  • Ability to identify opportunities for improvement and to facilitate the implementation of creative solutions

4. BA in Public Policy with 5 Years of Experience

  • Demonstrated successful and progressive staff and/or management experience
  • Demonstrated successful experience in a compliance, legal, audit, or regulatory role, preferably in a managed care environment
  • Knowledge and professional experience in policy development, applicable healthcare licensing and accreditation requirements, etc.
  • Current knowledge and understanding of regulations, industry trends, current practices, new developments, and applicable laws
  • Experience within a complex corporate institution 
  • Background in health care, including health care regulatory and compliance
  • Proven ability to manage diverse relationships, exceptional communicator, and ability to work collaboratively in a matrixed relationship with line and staff areas
  • Preferred experience with private equity stakeholders
  • Knowledge of regulatory impact on multi-state/multi-unit health care operations
  • Strong communicator – verbal and written communication skills
  • Team player
  • Computer skills in the Windows operating system and word processing and spreadsheet applications. 
  • Strong skills in time management, handling multiple tasks, setting priorities, and meeting deadlines. 
  • The ability to work independently as well as with others in a team environment.
  • Ability to manage and prioritize multiple projects and resources and to navigate within a global organization
  • Ability to identify and analyze issues and provide practical recommendations consistent with good business practices and reason

5. BA in Finance with 10 Years of Experience

  • A balance of legal and compliance experience
  • Must have demonstrated ability to function at varied levels including “hands-on” detail work and higher level strategic thinking along with the ability to communicate effectively with different levels of management
  • Must have demonstrated outstanding diplomatic and communication skills (written and verbal)
  • Requires strong analytical skills, excellent organizational skills, sound problem identification/solving skills, be detail oriented
  • Excellent verbal and written communication skills in English. 
  • Must have well-balanced personality, superb interpersonal skills and be strong team worker
  • Must have a high degree of integrity and confidentiality
  • High motivation and self-starter
  • Must be proficient in MS Office and Legal/Compliance related systems
  • Proven leadership skills in working collaboratively with teams and influencing those beyond a formal reporting relationship. 
  • Ability to interact across all levels of company and with people of diverse backgrounds, roles and experience. 
  • Strong detail-orientation and accuracy, organization, and time management. 
  • Strong interpersonal, written, and verbal communication. 
  • Bi-lingual in English and Spanish
  • Demonstrate ability to build, architect, and develop departments from scratch. 
  • Ability to budget and effectively manage departmental PandL. 
  • Demonstrate visionary leadership and constantly find ways to innovate and continually improve people, process, and safety. 

6. BA in Business Administration with 12 Years of Experience

  • Compliance/legal experience in Pharmaceutical or Biotech industry 
  • Advertising and promotional materials review experience 
  • Extensive experience with Compliance matters relating to the development, approval and commercialization of pharmaceutical products.
  • Ability to apply a risk-based analysis to compliance issues and demonstrate creativity and flexibility in developing solutions that satisfy both business requirements and legal obligations.
  • Strong critical thinking skills, attention to detail, adaptability, communication skills and professionalism.
  • Ability to collaborate with business partners, influence peers and interact with both senior management and field Sales, Medical and Market Access teams.
  • Ability to manage and serve a wide range of client groups by recognizing and responding quickly and pragmatically to urgent situations.
  • Exceptional and demonstrated written and verbal communication skills and interpersonal skills in both one-on-one and group settings, as well as proven negotiation skills.
  • Excellent organizational skills and problem-solving capabilities and the ability to perform in a fast-paced, high volume, deadline-driven environment.
  • Experience with all aspects of a Information Security program including identity and access management, security operations, product and software security, and infrastructure security
  • Experience in working with modern cloud infrastructure including SaaS, PaaS, IaaS, containerization, and serverless technologies
  • Experience in Data Management and Governance assessments
  • Experience in evaluating technology risks and controls around the full technology stack from application, operating system, database, and networking layers
  • Have worked on assessing Data Privacy risks related to GDPR, CCPA, and CCL
  • Experience with COBIT, NIST-800-53, SOC1/2, PCI-DSS, ISO27001

7. BA in Legal Studies with 8 Years of Experience

  • CPA, CIA and/or CISA certifications
  • Experience in a Big Four firm and/or internal audit
  • Experience with and proficiency in Microsoft Office and Windows applications
  • Experience in project management practices, including tooling and managing projects through the SOX life cycle
  • Knowledge of 2013 COSO framework and experience applying the framework in a manner that supports SOX compliance and operational efficiencies
  • Strong analytical and problem-solving skills
  • Excellent interpersonal, verbal and written communication skills, ability to present clean, organized and thorough information and data appropriate for intended audience
  • Experience in financial compliance including governance and operational experience in the financial services space.
  • Proven experience and comfort level leading compliance teams with a large scope
  • Experience with remote team management
  • Strong understanding of relevant laws and regulations that pertain to privacy, information security, BSA/AML, and OFAC, and must possess extensive knowledge of industry best practices and trends.
  • Strong collaboration skills. 
  • Professional certification in AML/CT, Privacy and / or regulatory compliance such as CAMS, CIPP/CIPM, CRCM or equivalent certification.
  • Very strong Project Management skills.
  • Strong skills in word processing, data entry, typing, and organizational filing. 

8. BA in Compliance and Risk Management with 6 Years of Experience

  • CRCM or similar compliance certification 
  • Strong verbal and written communication skills
  • Deep knowledge of consumer compliance regulations (e.g., UDA(A)P, Servicemembers Civil Relief Act, Truth in Lending Act, Reg. Z, Fair Credit Reporting Act and Reg. V), and industry “best practices” for compliance programs in larger banking or consumer lending organizations
  • Strong ability to problem-solve and to investigate root causes 
  • Ability to communicate effectively with all company levels
  • Management experience 
  • Demonstrated experience interpreting and applying federal and state laws and regulations and guidance 
  • Ability to manage and oversee multiple engagements and work streams with various departments
  • Experience working in a highly-regulated environment
  • Advanced knowledge of testing techniques and data analysis principles, as well as the ability to correctly interpret results
  • Previous experience developing executive reporting and presenting to key internal and external stakeholders
  • Advanced knowledge of Microsoft Office tools including Word, Excel, and PowerPoint
  • Big 4 public accounting experience with a CPA, CIA and/or CISA certifications
  • Experience in a Big Four firm and/or internal audit
  • Experience with and proficiency in Microsoft Office and Windows applications
  • Experience in project management practices, including tooling and managing projects through the SOX life cycle
  • Diverse experience designing, implementing, integrating, and managing global compliance programs.

9. BA in Public Policy with 9 Years of Experience

  • Experience in FinTech, ecommerce, RegTech, compliance consulting, accounting or financial services
  • Familiarity with AML and CTF regulations globally and in particular the EU Anti-Money Laundering Directives and implementing regulations
  • Familiarity with working in a licensed and supervised entity (Airwallex will hold an Electronic Money Institution license)
  • Certification in compliance related area
  • Knowledge of core AML products, money laundering and terrorism typology, segmentation, scenarios, models, methodology, and AML tools
  • Experience with Transaction Monitoring, Screening, Financial Investigations or similar discipline
  • 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
  • Knowledge of 2013 COSO framework and experience applying the framework in a manner that supports SOX compliance and operational efficiencies
  • Strong analytical and problem-solving skills
  • Experience working directly for a SSA/FOCI mitigated company
  • JD Law and/or MBA strongly 
  • Export Control experience ITAR/EAR
  • Experience as a Facility Security Officer with NISS/POM
  • IT NIST standards experience

10. BA in Finance with 10 Years of Experience

  • Experience related to establishing, implementing, and maintaining policies and procedures for an organization (including its managers, employees, and appointed representatives) to comply with its legal, regulatory, and contractual obligations. 
  • Professional certification, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance Professional (CRCP) 
  • Familiarity with enterprise governance, risk, and compliance (GRC) software, applications, and platforms 
  • Knowledgeable about governmental and financial laws and regulations. 
  • Must be able to achieve and sustain intuitive knowledge of the company’s goals and culture, as well as of the greater industry and standard business law. 
  • Exercise discretion/confidentiality and demonstrate sound business judgment when performing assigned duties. 
  • Excellent critical thinking, problem solving, decision-making, and organizational skills. 
  • Attention to detail and commitment to accuracy while striving for an error-free environment.
  • Strong people skills, must have managed exempt level employees with staffing and performance review responsibilities
  • Experience with automated transaction monitoring systems
  • Ability and experience with development, oversight and reporting on an effective Compliance Management System
  • Ability to author and test policies and procedures
  • Ability to analyze and interpret regulatory requirements prudently
  • Experience using Microsoft including Outlook, Word, PowerPoint and Excel 

11. BA in Business Administration with 8 Years of Experience

  • Proven project management skills
  • Experience in an audit, risk, or compliance role, preferably in the fintech space
  • Experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and the rules and regulations thereunder
  • Experience in working with modern cloud infrastructure including SaaS, PaaS, IaaS, containerization, and serverless technologies
  • Experience in governance assessments
  • Experience designing and implementing sanctions and screening controls
  • Experience managing regulatory audits
  • Knowledge and experience in the following are highly desired:  CCPA and similar consumer privacy laws,  GDPR, GLBA and related financial industry regulations, privacy certification(s). 
  • Experience working with, advising, and influencing executives
  • Strategic mindset
  • Experience managing compliance programs and compliance staff
  • Highly analytical and experience working with regulators
  • Strategic leadership capability, strong organizational awareness, sound judgment, strong business acumen and ability to make decisions with input from multiple stakeholders
  • Strong problem solving and risk analysis skills
  • Sound judgment and commitment to ethical conduct
  • Ability to effectively prioritize and work in a fast-paced environment and to handle multiple complex and confidential tasks
  • Ability to lead and work effectively with cross-functional teams and projects

12. BA in Legal Studies with 7 Years of Experience

  • Clear, concise and persuasive writing and presentation skills
  • Strong orientation to deadline and detail
  • Demonstrated ability to work effectively and congenially with employees at diverse levels
  • Proficient in Microsoft Office applications
  • Capable of motivating personnel
  • Decisive and exercises good judgment under pressure
  • Ability to deal with a variety of abstract and concrete variables
  • Ability to manage a diverse and demanding workload
  • Attention to Detail
  • Background in Medicare and Medicaid reimbursement and fraud and abuse laws 
  • In-depth understanding of HIPAA regulations, including the Office of the Inspector General (OIG) annual work plan
  • Excellent interpersonal skills and ability to articulate complex concepts in a concise manner in both written and verbal presentations across all levels of management
  • A creative self-starter with high ethical values, a team player and leader who is willing to go the extra mile for the team’s and company’s best interests
  • Strong hands-on experience with a proven track record of successfully managing multiple projects or system implementations in a complex matrix business and operational environment
  • Ability to clearly understand business priorities and objectives, and focus work to achieve practical and effective results
  • Ability to positively influence business partners
  • Experience in a fast-paced company, with a history of advising in real-time in meetings, including to the C-suite, providing accurate guidance and pragmatic solutions

13. BA in Compliance and Risk Management with 6 Years of Experience

  • Experience managing direct reports, people managers, and teams.
  • Certification in Healthcare Compliance
  • Detailed knowledge of HIPPA and/ or healthcare compliance regulations standards and best practices.
  • Broad knowledge of GRC Frameworks: HITUST, CCPA,NIST 800-53,ISO27001, FEDRAMP/StateRAMP, etc.
  • Excellent project management skills, including but not limited to, coordination, adherence to budget and completion goals, prioritization, and troubleshooting.
  • Strong written and verbal communication skills with the ability to present to various levels within the company, as well as external professional audiences.
  • Ability to identify and mitigate potential risk for the company.
  • Strong analytical and problem solving skills, high degree of self-motivation, tenacity, and drive
  • Fluent in written English
  • Ability to lead ad hoc groups at all different levels, must demonstrate seasoned judgment and analytic assessment abilities
  • Experience working with a management system program and providing feedback or developing new procedures for continuous improvement of that system
  • Experience with MS 365 suite
  • Managing Compliance Programs for a fast-paced, high-growth organization
  • Knowledge of AML/BSA risk management frameworks in a financial services setting
  • Experience creating functional and organizational processes to meet Compliance / Regulatory requirements that scale with growth
  • Strong problem solving ability that sweat the details and aim for the stars
  • Ability and comfort working in white-space to create compliance frameworks and solutions

14. BA in Public Policy with 5 Years of Experience

  • Experience relevant to compliance/governance program/project management (related to international standards such as ISO/IEC 27001, sector or national voluntary consensus standards such as AICPA SOC 1 and 2, government standards such as FedRAMP, or using standards to address compliance to regulations such as GDPR) or related experience.
  • Specific cloud, cybersecurity, and privacy governance, risk, compliance, or auditing experience.
  • Demonstrated experience in the development of new processes for managing large-scale compliance (or similar) programs and reporting.
  • A track record of effective stakeholder engagements and collaboration as well as consensus-building.
  • Able to lead and work within an international/remote team environment.
  • Able to quickly prepare and provide written and oral briefings to management.
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) 
  • Exceptional interpersonal skills, able to interface with all levels within a complex company
  • Able to maintain high standards of confidentiality and professionalism
  • Ability to organize, coordinate resources, and prioritize multiple projects and balance commitments / deadlines
  • Fluent in Spanish or Portuguese
  • Experience designing and managing AML and Sanctions related product features and development
  • Ability to effectively collaborate and influence to lead cross-functional teams
  • Multi-national experience and perspective would be a strong plus
  • Fast learner and critical thinker, ability to interpret rules and policies and clearly articulate applicability to programs

15. BA in Finance with 10 Years of Experience

  • Experience as a product manager, analyst, or business manager for digital or e-commerce products
  • Understanding of OFCCP and EEO regulations
  • Recruitment, Human Resources or EEO and OFCCP Compliance experience highly 
  • Experience defining product strategy, understanding market dynamics, and working with stakeholders to accomplish projects
  • Experience building cross-functional business relationships, and gathering user requirements
  • Strong problem solving, analytic, and decision-making skills
  • Able to interpret data and trends, diagnose problems
  • Proficient with MS Office products.
  • Detail oriented.
  • Excellent time management skills, ability to prioritize multiple projects, accountability, proactive nature and committed work ethic.
  • Comfortable in a fast-moving, fast changing environment.
  • Detail-oriented with strong analytical skills
  • Solid knowledgebase of compliance program frameworks, including Sarbanes-Oxley or NAIC Model Audit Rule, as well as experience working across common business processes, technologies, and security considerations.
  • Strong written and oral communication skills, including ability to lead meetings and conduct interviews as well as draft clear and concise reports and written communications
  • Big 4 / Professional Services / Consulting experience 
  • Experience with data analysis processes and tools 

16. BA in Business Administration with 3 Years of Experience

  • Outstanding risk-based decision making, issue resolution and consensus building skills in order to build and run a worldclass compliance program.
  • Ability to engage effectively with business teams in assessing large scale change management initiatives, integrating business strategy with Compliance strategy to mitigate risk for the company.
  • Highly proactive, outstanding problem solver and successful decision maker.
  • Ability to clear articulate rationale for Compliance – at an overall program level or for tactical/ day to day decisions.
  • Bi-Lingual fluency in Portuguese and English (written and oral).
  • Ability to build and foster strong relationships within the Compliance organization globally and regionally, in addition to key stakeholders like GCO.
  • Strong management skills to effectively lead, motivate and manage a team of direct reports across multiple markets.
  • Compliance and/or legal experience in total
  • Ability to conduct risk assessments and to communicate effectively with business partners on regulatory and governance considerations
  • Experience reporting on onsite and offsite renewable generation assets
  • Team player, a critical thinker, and have great judgment
  • Strong communicator and can adapt in real time
  • High standards and can hold project contributors accountable
  • Experience providing legal or compliance guidance regarding the risks associated with the procurement and/or sale of electricity, either with a regulatory agency, energy supplier, or law firm

17. BA in Legal Studies with 6 Years of Experience

  • Experience with import/export functions and possess an extensive knowledge of import regulations specifically as it relates to manufacturing and distribution.
  • Able to interpret government regulations and have a general understanding of technical language.
  • Experience with PowerPoint, Outlook, Excel, Word, and US Government Export systems and other Government Agency platforms such as USDA, IAC, CTPAT
  • Knowledge of CBP ACE Portal, Veroot, CTPAT CBP Platform and OGA Platforms 
  • Capable of critical thinking and problem solving.
  • Have knowledge of order fulfillment processes, including supply chain management, sourcing, and planning.
  • Analytical and critical thinking abilities to make timely decisions while functioning in a fast-paced changing work environment.
  • Experience in developing work procedures and written instructions
  • Able to implement new programs with little direction.
  • Validated skills in running multiple concurrent issues and prioritizing workloads.
  • Project management skills.
  • Communicates clearly and effectively, both verbally and in writing.
  • Ability to maintain confidentiality and meet strict deadlines.
  • Should have knowledge of (IATA) regulations and the governing entities such as (ICAO) and standards built through industry working groups populated by member airline delegates and relevant industry associations who collaborate with (IATA)
  • Familiarity with the International Traffic in Arms Regulations (ITAR). 
  • Knowledge of (FMC) Federal Maritime Regulation and the Shipping act of 1984, NVOCC and FNVOCC operations.

18. BA in Compliance and Risk Management with 8 Years of Experience

  • CRCM, or other compliance certification
  • Strong knowledge of the banking industry, controls and processes, prior bank industry experience and/or bank regulatory experience
  • Strong understanding of bank consumer compliance regulations
  • Demonstrated track record of successfully leading fieldwork for compliance testing
  • Proven ability to lead and develop staff
  • Ability to multi-task and complete assignments within required time constraints and deadlines
  • Experience with Surplus Lines and Commercial Lines insurance programs, including form development and compliance reviews. 
  • Familiarity with State laws and Department of Insurance regulations relating to Excess and Surplus products and admitted Property and Casualty insurance products, as well as agent licensing and related requirements.  
  • Effective communication and writing skills including grammatical usage, persuasive copy, and style.
  • Self-motivated, ability to work independently and to preserve and protect proprietary and confidential information.
  • Results-oriented with basic project management ability.
  • Ability to interact professionally with all levels within the organization and state insurance departments
  • Previous experience as an SMF16 and/or SMF17 holder 
  • Comprehensive and deep knowledge of relevant FCA Handbook topics, regulations, and expectations
  • A clear understanding of consumer lending and the banking business model
  • Think independently and objectively consider the regulatory and conduct risks which may occur within Zopa’s business model
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