Compliance VP Cover Letter

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

Previously, I was responsible for support on regulatory interactions related to examinations/inspections requests for information/periodic or ad-hoc regulatory filings, including tracking of regulatory commitments, escalations and regulatory risk management.

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

• Understands federal and state rules and regulations for mortgage companies
• Provides general compliance support for a significant risk category/business under Private Banking
• Strong communication skills in fluent English and Japanese
• Ideally will have previous experience within Central Compliance
• Excellent communication, report writing, interpersonal and influencing skills
• Good working knowledge and understanding of compliance function activities
• Knowledge of investment products, mutual funds and investment industry market practices
• In-depth knowledge of HK and UK regulatory and compliance requirements, especially those related to derivatives activities

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

In the previous role, I was responsible for compliance coverage of Firm's fund ranges authorized or domiciled in HK (including UCITS).

Please consider my qualifications and experience:

• Advanced knowledge of SOX (ICOFR), and COSO framework
• Advanced knowledge of all aspects of banking, including lending, deposits and regulatory compliance
• Advanced knowledge of regulations imposed upon federally chartered companies
• Advanced knowledge of commercial and residential lending operations
• Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), or other related certification preferred
• Strong knowledge of portfolio manager, exempt market dealer and investment fund manager (Canada) regulations and operations
• CSC and/or similar exams
• Assist in inspection by coordinating with other departments

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

Previously, I was responsible for compliance support to the MFG teams in Europe and assist with regulatory issues relating to fund origination and distribution, institutional fund management and affiliates transactions.

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

• Excellent personal integrity, credibility and judgment
• Excellent interpersonal and leadership skills including relationship building and influencing
• Very strong orientation to continuous learning and improvement
• Strong computer abilities including standard business applications
• Provide day-to-day focused compliance advice across the investment funds business, namely in relation to UCITS
• Knowledge of tax industry
• Knowledge of mutual funds, 529 plans, ETFs, and advisory services
• Understanding of fixed income and equity trading regulations, including the rules and regulations of the SEC, CFTC and various exchanges and associations under such federal agencies, including FINRA, NFA, NYSE, and NQX

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

In the previous role, I was responsible for advisory support to Fixed income portfolio services group (FI PSG) in relation to pre-trade compliance including, for example, guidance on UCITS eligibility, limits and concentration rules and application of compliance policies.

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:

• Design, develop, deploy, and document compliance training program through in person training and online training
• Build and manage team to support home office and micro hospital compliance
• Dashboard and analytics focused to create compliance reports for senior management and joint venture board presentations
• Current with the latest federal and state regulations
• Experience in the design of regular audit plans for the company
• Demonstrate knowledge of regulatory healthcare requirements and law such as in auditing coding, billing, ADA, physician contracting, patient rights, ethics, Medicare and Medicaid billing, Stark
• Experience in a variety of fixed income and commodities businesses
• Chartered Accountant / CPA or equivalent or MBA from reputed institute

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

In the previous role, I was responsible for advisory support generally to the Multi-Asset business, including guidance on UCITS eligibility, limits, and concentration rules and application of compliance policies.

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

• Ensure compliance in processes (AML, CDD/ECDD, Banking Secrecy, PDPA, FATCA, etc)
• General support of PPC and point of escalation for exceptional or overdue items
• Subject matter expertise in sub-advisory due diligence
• Strong background in testing, audit, internal control, risk and governance disciplines
• Broad knowledge of the organization, industry and relevant external forces, with a significant understanding of how Compliance has an effect on business operations within the financial services industry
• Knowledge and experience securing new consumer facing technologies, data and processes
• Excellent oral and written communication skills, interpersonal and negotiation skills
• Proven success as a CISO in a highly regulated industry, highly desirable