AVP-Compliance Cover Letter

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

In the previous role, I was responsible for bank wide oversight of HMDA LAR requirements; and ensure data integrity through transaction testing of HMDA LAR data elements.

My experience is an excellent fit for the list of requirements in this job:

• Ensure transparent communication with external regulators to improve on existing relationships with them
• Complete all appropriate monitoring and testing accordingly
• Work with local global compliance officers on a regular basis
• Able to interpret Japanese law with complete proficiency
• Understand or have good knowledge of the securities or the bank business
• Project coordination experience and capabilities an asset
• Good understanding of Private Banking risk assessment, risk-control frameworks
• Advanced written and verbal communications, both English, Mandarin and Cantonese

I would like to submit my application for the avp-compliance opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for ongoing guidance and prepare / deliver training to applicable business units and third parties associated with regulatory compliance, including HMDA reporting requirements.

My experience is an excellent fit for the list of requirements in this job:

• Deliver training to all stakeholders in all regions and whatever level
• Point person for all large holding related activities for the Japan
• Execution of assurance review fieldwork
• Proactively tracking issues raised
• Have assurance experience in Compliance and/or internal audit (or equivalent) within the global financial services industry
• Display professional scepticism, raising and discussing draft observations with management, as necessary
• Individual with relevant regulatory experience
• Proactively promote Assurance and the role it plays within Global Compliance (attending team meetings or Town Halls in the region) to differentiate it from Barclays Internal Audit and Compliance Monitoring &Testing teams

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

Previously, I was responsible for general HMDA and Fair Lending support and guidance to the mortgage lending.

Please consider my qualifications and experience:

• Advanced influencing skills and stakeholder relationship management skills
• Knowledge of shareholding and takeover rules and disclosure obligations
• Experience with systems build and project management
• A high level of integrity and a disciplined approach to work
• An understanding of the financial markets, ideally with equities and derivatives knowledge, trade lifecyle is an advantage
• Fluency in an Asian language will be considered an advantage
• Good written and spoken English (the language of the Bank)
• Be well educated

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

In the previous role, I was responsible for support and management for the development and audience selection of CRA, HMDA, and Fair Banking Learning Management Training.

Please consider my experience and qualifications for this position:

• Strong understanding of law and regulation as it applies to consumer legislation and the financial services sector
• Knowledge of relevant Canadian federal/provincial and international financial industry legislation
• Management of regulatory notification – check the regulatory notification on the revision of laws and regulations and ask relevant department to take necessary actions by analyzing the firm’s products, services, processes and organizations and if the firm is already compliant with the new and revised requirement
• Advisory to infrastructure – collaborating with regional Compliance, provide guidance/set standards to infrastructure function in the area of firewall regulation, outsourcing and client asset segregation by detailed analysis of local regulations, global policies and firm’s products, services and processes the industry’s best practice
• Interactions with regulators – act as a junior contact point with regulators including answering the questions from regulators and making explanations to regulators
• Management reporting – considering the nature and purpose of the reporting, prepare reports for the local Committee meetings and regional Compliance management
• Relevant professional qualification desirable such as PMP or Prince 2
• Organise and lead discussions with relevant stakeholders such as the various businesses within Barclays, Human Resources, Legal

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

In my previous role, I was responsible for individual contributor support at manager-level to the Fair Servicing Officer and SVP, and for the Fair Servicing team on a routine basis.

My experience is an excellent fit for the list of requirements in this job:

• Proactively sharing knowledge and identified best practices beyond specific assurance reviews to maximize impact of Assurance work across Global Compliance
• Through engagement with Compliance play an active role in sharing ‘what good looks like’, poor practices and lessons learned the role of Assurance in Compliance
• Acts as part of a team which will conduct assurance reviews on all second line of defense compliance functions within the U.S
• Supports the development and implementation of a schedule of reviews of all U.S. Compliance functions, in accordance with the Regulatory Compliance Operating Model, the Global Standards Manual, applicable FIMs, and the Compliance Risk Management Program
• Assists and works alongside other members of the team and makes decisions based on knowledge and experience
• Interacts effectively with all levels of Compliance teams and the businesses they support as warranted
• Knowledge of relevant Vendor Management/Correspodent Lending regulatory guidelines and experience within a regulated environment (Bank, Financial Services Firm )
• Knowledge of MS Office Products, including Excel, Powerpoint