Compliance Head Cover Letter

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

In the previous role, I was responsible for timely & up to date information on current and emerging rules, regulations & laws to ensure all business partners are kept abreast and can act accordingly.

Please consider my experience and qualifications for this position:

• Contract management & compliance track record
• Ideally will have previous extensive experience within Private Banking and Compliance
• Prior legal or compliance experience with derivatives, market making and DCM activities in China
• Knowledge of derivatives, DCM, structured products, gold trading and fundamental principals of compliance
• Knowledge of U.S, U.K
• Clear & effective communication skills (both written and verbal)
• Proven personnel management skills
• Demonstrably teamwork skills

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

In the previous role, I was responsible for interpretation of Medicare related laws and regulations and recommendations to help set company direction across business units.

Please consider my experience and qualifications for this position:

• Integrity and Independent view
• Strategic understanding and Implementation
• Exposure to dealing with regulatory requirements in terms of compliance / audit
• Experience in designing, building, and implementing a successful compliance program in a pharmaceutical/medical device company
• Significant experience interacting with commercial, manufacturing, medical affairs, and research & development organizations and handling complex compliance issues
• Expertise in HCP contracting, Federal Anti Kickback Statute, Sunshine Act, and other industry regulations, such as OIG Guidelines
• Senior leadership skills demonstrated in dealing with the broad range of compliance issues encountered in a pharmaceutical company
• Extensive knowledge and expertise in OFAC laws and regulations

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

In the previous role, I was responsible for guidance and advice to the business on their responsibility for complying with all relevant China AML Laws, Rules, Regulations and Group policies.

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

• Experience managing staff at all levels
• Strong, independent self–starter and problem solver
• Proven experience in broad advisory and regulatory compliance
• Knowledge of the Luxembourg banking, investment management and securities law/regulation including AML and fraud prevention) and ideally familiarity with the rules applicable to European AIFMs managing private equity type funds
• Leadership skills both in terms of team management and initiative delivery
• Deep knowledge of securities and banking laws, rules and regulations, especially those relevant to employee conduct and management of potential conflicts of interest
• Well-developed relationship-building skills and communication / influencing skills that will facilitate the successful change of policies, procedures and operations in a complex environment in a global organization
• Possess strong expert working proficiency in China rules and regulation, Chinese Banking Resolutions

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

In the previous role, I was responsible for guidance to the relevant directors on the proper application and interpretation of laws, regulations and polices;.

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

• Strong knowledge of CIB and non-CIB business activities - markets activities and the general banking environment
• A collaborative, inclusive nature in solving problems and advancing priorities
• Good industry knowledge of financial institutions
• Thorough knowledge of different bank products
• Strive to complete the highest quality of work
• Hands-on familiarity with Microsoft Office Excel and Microsoft Office applications is important
• Good command of English (written and oral) is a pre-requisite
• Have strong understanding of regulations pertaining to the payment and card industries

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

In the previous role, I was responsible for support and guidance for the various regulations, laws and acts applicable to CCS.

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

• Excellent knowledge of UCITS, CASS and fund Structures
• Previous involvement with the regulator
• Having held a CF11/CF10 function previously is highly advantageous
• Man management and stakeholder management skills
• Ongoing development and implementation of DB’s global swap / security-based swap dealer Compliance Program, including registration of at least one security-based swap dealer
• Assessing annual risk to identify and update all impacted bank policies and procedures globally based on new or existing swap and security-based swap reform regulations
• Providing support to business and infrastructure functions on remediation and implementation of swap dealer / security-based swap dealer regulations, including through review and revision of business requirements documents
• Working with business management and Compliance surveillance staff on the development of first and second-level controls/surveillance needed for each swap / security-based swap dealer