Compliance Advisory Cover Letter

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

In the previous role, I was responsible for leadership in the development, implementation and management of the Card Services compliance strategy that identifies and addresses risks, threats and vulnerabilities for key products and business processes.

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

• Strong interpersonal skills and has experience in leading a team
• Good communication, meeting management and decision facilitation skills
• Strong organization, problem solving and time management abilities
• Results oriented with a proactive mindset
• Project cost management (planning, tracking, forecasting)
• Project management/PMO experience
• Compliance knowledge of the Investment Advisers Act of 1940, with an emphasis on the Solicitor Rule
• Familiar with the DOL Fiduciary Rule

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

In my previous role, I was responsible for guidance, training and advice on legal and regulatory requirements, transactions, new products and other business and infrastructure initiatives;.

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

• Reviewing regulatory developments in areas of responsibility and involvement as the compliance stakeholder
• Extensive experience with fixed income, derivatives and cross trading, including implementation and management of regulatory compliance programs
• In depth knowledge of the US federal securities laws especially the Investment Advisers Act of 1940 and rules thereunder
• Act as Compliance’s primary point of contact with the Institutional team in regards to compliance advisory responsibilities
• Participate in regulatory or strategic/business change projects relevant to the Institutional business
• Provide assistance to staff from the operative units in their day-to-day business and be available to answer questions arising out of daily business activity
• Provide support for staff training, this should focus particularly on (a) the relevant regulatory requirements and (b) the internal policies and procedures of the firm
• Be involved in the development of the relevant policies and procedures within the firm for the Institutional business

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

Previously, I was responsible for support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products.

Please consider my experience and qualifications for this position:

• Certified Regulatory Compliance Manager (CRCM) certification or Certified Information Privacy Professional (CIPP)
• Deep knowledge of IRC, ERISA and other relevant laws and regulations affecting employee benefit plans (particularly DB plans)
• Natural ease and effectiveness when dealing with clients/colleagues at all levels
• Proven experience successfully working on multiple projects and producing quality deliverables on time
• Strong knowledge of ERISA and the applicable parts of the Internal Revenue Code and other laws and regulations affecting employee benefit plans
• Excellent in both written and spoken English and Chinese
• Advanced understanding of most regulatory requirements such as ECOA, UDAAP, SCRA, FDCPA, Privacy & Identity Theft, Reg M, FCRA/FACTA, BSA/AML & OFAC, and TILA
• Underwriting or auditing experience

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

In the previous role, I was responsible for guidance and support for Global Regulatory Change Management including the development and oversight of business and corporate function Regulatory Change Management processes.

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

• Knowledge and experience in IT operations (change and access control, backups and batch jobs, performance monitoring)
• Knowledge of basic networking and security protocols
• A relevant qualification would be beneficial, such as ISEB Practitioner Certificate in Software Asset Management or ISEB Foundation Certificate in IT Assets and Infrastructure
• Engagement/Project management to ensure objectives are met, achieved on time and within budget
• Strong presentation and professional standards
• Good interpersonal skills and effective written/oral communication skills (fluent English
• Knowledge of products and trading strategies used by PWM, structured products, alternative investments, derivative is advantageous
• Private wealth management / product compliance experience preferred

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

Previously, I was responsible for consultative advice during collaborations with the internal Product team to determine the application of legal/regulatory/card brand requirements and ensure optional/user requirements support strategic direction while preserving compliance as they pertain to existing, enhancements to existing and new/proposed products.

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:

• Be involved in all material non-routine correspondence with the FCA for the Institutional business
• Pro-actively identify, document and assess the relevant compliance risks associated with the Institutional business, including development of new products and business practices, the overall product lifecycle, new types of business or customer relationships, or material changes
• Maintain and build knowledge and network in the industry effectively, including involvement in relevant industry bodies
• Previous proven experience in Institutional distribution related roles
• Experience in relevant roles and the asset management industry
• Good interpersonal skills to be able to work effectively with a network of colleague
• Detailed knowledge of UCITS, AIFMD requirements in jurisdictions such as Luxembourg, Ireland and UK wider EU MiFID requirement
• Equities or Derivatives Sales, Distribution, Structuring & Trading Compliance background is preferred