Head Compliance Cover Letter

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

Previously, I was responsible for leadership and guidance to the Takeda Neuchâtel site to ensure the development and implementation of strategies regarding the processes, procedures and quality standards required are maintained in compliance with applicable regulations, as applicable.

Please consider my experience and qualifications for this position:

• Problem solving and effective judgement skills
• Build strong and effective relationships with regulators in Japan government and industry organizations
• It also requires someone who is entrepreneurial and ambitious
• Extensive experience of advising a capital markets business including an equities brokerage division at a US head-quartered banking group
• Extensive experience of the European regulations impacting the broker vis-a-vis the market and its clients of the regulations and internal policies (including affiliate transactions/ conflicts of interest) impacting the BAU interaction of the broker with custody/ banking/asset management divisions within the group
• Strong knowledge of banking operations, instruments, processes, AML/CTF and Sanctions policy and application
• Builds relationships and networks
• Practical understanding of local legislative and regulatory requirements

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

Previously, I was responsible for guidance and assists in the identification of compliance risks, implementation, and maintenance of organizational privacy compliance processes and procedures in coordination with information security and legal counsel.

Please consider my qualifications and experience:

• A proven track record of maintaining effective working relationship with regulators externally and key internal stakeholders in a global, cross-cultured matrixed environment
• Design, develop and deliver a comprehensive second line compliance strategy and implement change across Group Compliance
• Extensive experience working cross-functionally at a senior level to identify and articulate key strategic priorities, while delivering the needs of multiple stakeholders
• Structured thinker, with a strong planning discipline to deliver exceptional results
• Enjoys working as part of a team using strong personal intuition with effective communication skills to influence and motivate others to achieve objectives
• Trusted and discrete senior professional who has built a reputation for pragmatism and integrity to guide the business through challenging circumstances
• Leading and motivating highly effective teams to achieve challenging audit and business outcomes and results
• In depth asset management experience is essential for this role

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

In the previous role, I was responsible for regional input in developing and enhancing privacy compliance-related policies, procedures, processes and internal controls in support of the Global Privacy Program, Americas Compliance program and the compliance programs overseen by Line of Business Compliance Officers.

Please consider my qualifications and experience:

• Deep understanding of retail/commercial financial products/services, payments industry
• Knowledge of the Region and its organization, its establishments, and its Businesses
• Method and rigor
• Sense of the general interest
• Strategic vision of the processes
• Capacity of initiative
• Dynamism and autonomy
• Strong experience in KYC function in large financial institutions and experience with internal and external auditors

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

In the previous role, I was responsible for leadership and independent challenge on management’s compliance risk management activities and compliance risk assessments for Anti-Corruption, with a focus on Canada.

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:

• Excellent understanding of Financial Crime risks
• Have proven experience in Licensing across the APAC region
• Commercial or Medical experience in pharma industry (>5 yrs at manager level)
• Strong knowledge of compliance issues facing Novartis businesses
• Experience as an auditor and in managing inspections (as escort) is of advantage
• Manage effectively the PV System & Compliance Team
• Technical and Business Leadership
• Operating Excellence

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

In the previous role, I was responsible for guidance and support, including targeted privacy training, to applicable business departments related to privacy and regulatory compliance requirements.

Please consider my qualifications and experience:

• Working with Compliance inspection teams and/or Audit staff on the development and ongoing testing/monitoring of the effectiveness of the policies and procedures for each swap / security-based swap dealer
• Drafting and coordinating the dissemination of Compliance Alerts/Reminders globally to ensure that the front office and infrastructure groups are aware of new rules/regulations and policies/procedures relating to each swap / security-based swap dealer
• Lead and manage compliance activities that are integral to the development, implementation and execution of Takeda Nordic & Baltic’s healthcare compliance program
• Report to Head of Nordics & Baltics
• Good knowledge of different products and services offered by a bank or financial institution is preferred
• A key team player with effective interpersonal, communication and presentation skills
• Technical knowledge and experience distribution advise, distribution technology and advising on financial promotions and marketing materials for professional and retail clients
• Knowledge of cross-border marketing and Distribution rules in EMEA, Good compliance capabilities, a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy