Business Compliance Cover Letter

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

In my previous role, I was responsible for input to the Director, AML Programs Canada (RBB&WM), Director, AML Programs and Director, AML Programs - Risk in the design of effectiveness examinations to ensure appropriateness of controls, processes, and procedures, including reviewing branch testing reports where applicable.

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:

• Coordinates and communicates IT risk-related activities among key stake holders
• Understanding of basic accounting and compliance requirements
• Open to receiving constructive criticism (feedback) and applying and integrating the feedback in an effort to improve their results
• Experience in mortgage originations, mortgage servicing or consumer finance
• SQL, VBA & SharePoint proficiency
• Strong knowledge on SQL and hands -on experience working on Data Mapping, Data Analysis etc
• Demonstrated success in leading, motivating and mentoring cross-functional teams in multi-cultural and multi-facility environments in order to maximize levels of productivity
• Experience using any project Management and Requirements management tools

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

In the previous role, I was responsible for subject matter expertise and project oversight to the development of P&C AML policies and procedures, including mapping them to AML controls, testing controls, and reporting metrics.

Please consider my qualifications and experience:

• Strong technical background and knowledge of FCA and compliance related matters, good understanding of relevant UK and European legislation, codes of practice and industry guidelines that impact a business
• Effective, proactive communicator and relationship builder
• Self-motivated and self-managing with a truly and entrepreneurial spirit
• More complete awareness of the business context of a technical solution, including understanding overall organizational strategy, how the project fits in, the political context, and the various stakeholders
• General financial industry knowledge and expertise in supported business area
• Driving change at a team level
• Work closely with key stakeholders to ensure that ethical business practices are followed
• Extensive experience operating in the Compliance department of a public company in the UK regulatory environment

Please consider me for the business compliance opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for support to implement new policies and guidelines in business processes including inclusion of risk and controls in self assessments.

Please consider my experience and qualifications for this position:

• Understanding of legislation governing the teleservices industry
• Strong expertise in all compliance related aspects, including laws, regulations, procedures, policies and SOPs
• Excellent understanding of pharmaceutical companies’ infrastructure and processes
• Full awareness of activities that are subject to mandatory disclosure between pharmaceutical companies and HCPs/HCOs, together with their underlying processes, source systems and data flows
• Sound knowledge of the rules of the FSA Transparency Initiative
• Familiarity with compliance guidelines and data protection legislation
• Prior experience in leading cross-functional teams without managerial responsibility
• Pronounced diplomacy with strong negotiation skills

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

Previously, I was responsible for support in the design of AML data requirements, appropriate KYC, CRR controls as well as any related AML policy and procedures;.

Please consider my experience and qualifications for this position:

• Strong verbal and written communication and teamwork skills that support a collaborative and continuous improvement environment
• Overall knowledge of BSA/AML banking laws and regulations is desirable
• Proficient in statistical analysis using SAS, R or similar programs is desirable
• Proficient in Microsoft Excel (graphs, charts, pivot tables and macros)
• Experience in SQL is desirable
• Familiarity with NICE Actimize is desirable
• Knowledge of regulations such as FCPA, UK Bribery Act, AML, OFAC and the global equivalents, is preferred
• Proven, practical experience of Consumer Credit regulation from either Professional Services, the Regulator or from a financial services organisation

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

Previously, I was responsible for support and advisory to the 1st line business and maintain the AML program of the Bank and the FEC project.

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:

• Broad knowledge of risk management practices
• Commercial awareness and focus on the application of regulation within the insurance broking and investment industry
• Analytical, problem solving and project management skills Other requirements (licenses, certifications, specialized training)
• Broad and deep knowledge and use of the FSA Handbook – Principles, Rules and Guidelines
• Investment and general insurance industry understanding
• Experience in other Commercial functions (such as HPT&D, Operations, ) will be considered
• A self-starter can manage multiple responsibilities without close supervision
• A team player and work independently