Associate, Compliance Cover Letter

In response to your job posting for associate, compliance, I am including this letter and my resume for your review.

In the previous role, I was responsible for advice and support to the AI front office portfolio management teams on market abuse, standards of market conduct and other regulatory rules & requirements relating to the management of investment.

Please consider my qualifications and experience:

• Capable of multi-tasking and highly organized
• Good understanding Pharmaceutical and Medical Device commercial operations and the laws, regulations and guidance applicable to the industry (e.g., Food, Drug and Cosmetic Act and of the roles and authority of government agencies and industry partners, PhRMA, FDA, OIG, PDMA, Affordable Care Act, PDMA, ACCME)
• Familiarity with Metavante system and reports is highly desirable
• Good understanding of the regulatory environment in Singapore, in particular knowledge of the Securities and Futures Act and Financial Advisers Act
• Fluency in both English and Chinese is an advantage
• Clear understanding of the workings of the insurance regulations
• Demonstrated understanding of reporting requirements and practices
• Broad general knowledge of the insurance industry

I submit this application to express my sincere interest in the associate, compliance position.

Previously, I was responsible for the necessary orientations, positions, guidelines, advice and support to partners and other stakeholders in relation to the risk assessment for business sectors, industries, markets, jurisdictions or other high-risk situations.

Please consider my experience and qualifications for this position:

• IACCP or comparable certification
• Understand information security best practices, including principles, security protocols, standards (ISO 2700o, NIST, ) and technology
• Certification in Information Security are
• Experience with one of big four consulting houses preferred
• Knowledge of SEC Exam practices
• Masters in a quantitative discipline such as Mathematics, Statistics, Decision Sciences, Quantitative Methods and Modeling, Econometrics, Knowledge Engineering with a solid background in data analytics programming and statistics
• Prior work experience with an investment advisory firm/broker dealer/financial institution portfolio management firm is preferred
• Familiarity in application of quality assurance principles, concepts, industry practices, and standards

I am excited to be applying for the position of associate, compliance. Please accept this letter and the attached resume as my interest in this position.

In the previous role, I was responsible for guidance and support in UK & Ireland on national industry codes and regional/international industry codes (e.g., IFPMA), government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

Please consider my experience and qualifications for this position:

• Experience in Predictive Modelling, Machine Learning / Experience solving Segmentation, Optimization problems using data analytics an advantage
• Excellent relationship management, organizational, and written and oral communication skills
• Financial services experience, preferably in Internal Audit, Compliance, Monitoring/Testing, Regulatory Examinations related roles or Big 4 Audit experience
• Knowledge of the fiduciary regulatory framework for global banking and securities institutions
• Natural curiosity and willingness to learn
• Good coordination and reporting skills
• Proactive, flexible and a can-do attitude
• Well organized and able to execute responsibilities

In response to your job posting for associate, compliance, I am including this letter and my resume for your review.

In the previous role, I was responsible for 2nd line governance and expertise to the organization in the areas of PCI, Card Association rules, ISO 27001, and other applicable global technical requirements.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience in a multi-specialty practitioner organization and/or academic medical center preferred
• Experience with Medicare Recovery Audit Contractor program (RAC) or government payer audits preferred
• American Academy of Professional Coders (AAPC) specialty credentials, American Health Information Management Association (AHIMA), Registered Health Information Technician (RHIT) OR Registered Health Information Administrator (RHIA) credentials preferred
• Experience with Microsoft Office (Word, Excel, Access, Power Point), database management, reports, and data analysis preferred
• Experienced project leader preferred
• Prior experience of managing local employees
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg, LZ Sentinel or Aladdin
• Knowledge of FINRA and SEC regulations preferred

In response to your job posting for associate, compliance, I am including this letter and my resume for your review.

Previously, I was responsible for advice, guidance, and support to the affiliates staff on the interpretation and implementation of the local trade association code, Celgene corporate global policies and other applicable rules and regulations.

Please consider my qualifications and experience:

• Be used to managing tight dead-lines and urgent requests from Sourcing, Buying & Operations teams
• Have an experience in Pre-Shipment Inspection standards and processes
• Be used to give directive and targets to internal/external quality inspectors
• Available for international travel to India, Asia and across the EU
• Flexible to work on any shifts as needed
• Attention to detail and analytical mindset
• Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)
• Strong working knowledge of fixed income instruments and strategies