Licensing Compliance Cover Letter

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

Previously, I was responsible for guidance and support in South Africa on national industry codes and regional/international industry codes (e.g., IFPMA), government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

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:

• Ensure all Loan Originators are properly licensed and are apprised of the continuing education requirements set by the state in order to ensure their license status remains active for NSM Dallas and Santa Ana Sales Team
• Work closely with each individual Loan Originator on their licensing plans to ensure they have the tools necessary to complete licensing requirements in a timely manner.This will require regular feedback to ensure the Loan Originators meet deadlines for new licenses and renewals
• Update the Archer Licensing Database and the Encompass Licensing Portal
• Work promptly with new Loan Originators to clearly communicate the licensing plan and the timeframe as they come on board.Ensure new employees understand the steps and ramifications if the process is not completed on a timely manner
• Schedule national and state exams for the originators
• Submit Loan Originator license applications and renewals
• Report regularly to Management regarding individual status of licensees by updating the PODS and MP spreadsheets on a daily basis
• Email the Loan Originators when there’s a deficiency regarding one of their licenses

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

Previously, I was responsible for guidance and support in Canada on national industry codes and regional/international industry codes (e.g., Innovative Medicines Canada (IMC) and IFPMA), government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

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

• Applying extensive knowledge of federal, state, and local laws
• Utilizing strong analytical and problem-solving skills dealing with a variety of business scenarios with close attention to detail
• Create and maintain compliance tracking and license history systems
• Leads the licensing compliance function with development, implementation and continuous improvement of policies and compliance procedures, training, driving and maintaining standards and strategies of financial services licensing compliance program
• Partners with process owners, business leaders and key stakeholders to develop adequate remediation plans and other action plans to address issues and audit findings
• Serves as leader in clearing path for licensing new products and services in all states
• Serves as primary Compliance point of contact for MTL products and services MTL licensing requirements and execution, including ongoing and ad hoc regulatory reports
• Partners business and process owners, Product Development, Product Management, Internal Audit, and other functions to enable design, build and implementation of sustainable systems, controls, processes and testing in the Product compliance environment

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

Previously, I was responsible for guidance and support in Korea on national industry codes (e.g., KRPIA Code ) and regional/international industry codes (e.g., IFPMA), government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

Please consider my qualifications and experience:

• Maintain confidentiality of all personal employee information as needed
• Scan and save copies of documents in the Agents’ file folder
• Order check requests and pay exam/new applications/renewals fees online
• Emails IT Licensing of the approved licenses twice a day and enters the approved license information into the Encompass Licensing Portal
• Scan fingerprints into the scanner and order prints from Paper Chase Consulting
• Answers NMLS Mavent issues
• Excellent working knowledge of general insurance licensing rules
• Significant relevant experience in managing insurance licensing across multiple states

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

In my previous role, I was responsible for guidance and support in Korea, Taiwan & Hong Kong on national industry codes (e.g., KRPIA Code ) and regional/international industry codes (e.g., IFPMA), government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

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

• Mental health, alcohol and other drug treatment and other professional literature, including the prevention and treatment for general and specific populations, and recovery continuum as it is related to behavioral health treatment services
• Assisting local community professional and diverse populations in behavioral health treatment planning and services delivery including the development and presentation of training, technical assistance, and consultation
• Successful techniques for maintaining or improving access, quality, appropriateness, and outcomes of services
• Manage the client contract affirmation process for EMEA and APAC
• Distribute new leads to sales and track the progress of leads to completion
• Create and complete opportunities within CRM database Salesforce.com (Contract creation, sales order entry) with extensive liaison with product management, legal and sales
• Ideally experience within Financial Services – banking, funds
• Worked as a para-legal or and administrator within a contracts team for cross boarder FS clients

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

In my previous role, I was responsible for or deliver training for a variety of quality oriented programs, including, but not limited to, Quality System and associated compliance and regulation related training, interpreting government regulations, agency and internal guidelines.

Please consider my qualifications and experience:

• Proactively keeps business partners current on new and developing financial products and services enabled by state and federal licensing
• Supports SBG Compliance Legislative Change management lead in tracking of regulatory changes, in developments and in trends in the industry and related fields of impact, to keep standards, policies, procedures and processes current and effective
• Builds and maintains a network of relationships with business partners, and executive leaders
• Ensures licensing compliance metrics are indicative of health, and uses management reporting to evaluate effectiveness of the program
• Establishes processes for, and reviews and understands, reporting that provides evidence of health of compliance, potential gaps, and trending risks to enhance abilities to minimize the potential for financial losses, increased legal or compliance expenses, and reputational risk to the organization
• Regulatory relations, including direct engagement with regulators as lead representing company, routine and ad hoc reporting and communications, exam direct engagement as lead
• Leadership in design, development and deployment of multiple financial products and services
• Demonstrated leadership experience, including management of compliance teams comprised of highly experienced compliance professionals