Manager, Compliance Cover Letter

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

Previously, I was responsible for advice related to compliance with external regulations / internal requirements, or conformance with Group Standards, Manuals and Shell Trading Policies.

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

• Director, Compliance, Global Markets Regulatory Reform
• Manager, Fraud Analytics, Retail Banking
• Senior Manager, Regulatory Compliance, Financial Services
• Experience with compliance program work
• Works well independently and with a team, detail oriented, capable of working in a production environment and managing to deadlines, and driving for results
• Experience within the BAC CFO Group
• Prior Audit, Risk or Compliance experience
• Sell side Bank Trading

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

Previously, I was responsible for support to the Chief Operating Officer, Compliance, with various projects and initiates aimed at making sure that HSBC Canada is complying with all relevant Canadian regulations and internal HSBC group compliance requirements associated with RC matters.

Please consider my experience and qualifications for this position:

• Experience with a wide variety of contracts, including fixed price, indefinite quantity, cost reimbursement (award fee/fixed fee), and performance-based contracts
• Familiarity with federal, USAID, and other federal agencies’ regulations and policies
• BA or BS in Computer Science, Information Systems, or related field
• CPA, Masters, JD, or equivalent work experience preferred
• Experience supporting R&D, HEOR or Regulatory, preferred
• A CPA, CMA or CIA is preferred
• Entrepreneurial approach, taking initiative and proactively seeking out solutions
• QP eligibility desirable

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

In the previous role, I was responsible for assessment of the areas and activities of FMCNA- Concentrates sites in relation to conformance with national and international governmental quality system regulations and to assist the areas in maintaining full compliance with these regulations and with all FMCNA Corporate quality policies.

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

• Develop/maintain beneficial, non-adversarial working relationships with regulators
• Willing to serve as subject matter expert to wide array of associates (Front Office, Support Staff, other areas of Compliance)
• May require FINRA registration
• Knowledge/experience of regulatory matters, securities regulation (34 Act
• Skilled in researching/responding to regulatory inquiries and managing regulatory examinations by multiple regulators
• Familiarity with regulatory reporting requirements and Broker Dealer compliance with those requirements
• Trading Floor Compliance experience
• Financial Services or similarly regulated sector

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

In the previous role, I was responsible for subject matter expertise in the development of benefit programs, systems, and solutions that support corporate and business initiatives in order to ensure compliance with current and upcoming global regulatory requirements.

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

• Experience working within Insurance and/or Real Estate is preferred
• Utilize and maintain positive relationships to further Company goals within the regulatory environment
• Solid understanding of the finance industry’s regulatory requirements with working knowledge of federal and state consumer regulations including but not limited to FCRA and UDAAP
• Detail oriented, able to multi-task in a high volume environment and meeting accelerated deadlines with attention to detail
• Knowledge and proficiency with GRC Platform Certfication preferred (RSA Archer Certified Administrator)
• Experience implementing controls monitoring and testing programs with emphasis on regulatory requirements
• Strong project management skills and cross functional leadership skills
• Proficient in Microsoft applications (Word, Excel, PowerPoint, MS Project and SharePoint) and GRC platform

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

In the previous role, I was responsible for assistance to ViacomCBS internal and external auditors in completion of audits of regulatory and industry compliance requirements.

Please consider my qualifications and experience:

• Strong FCC knowledge
• Experienced in engaging with regulators and stakeholders
• Accountable for the PCI plan to ensure we are globally compliant to the agreed PCI standard
• Accountable for the PII plan to ensure that we are compliant to the European Data Protection regulations
• Measured by the reduction in noncompliance to relevant regulation and legislation in all wholly owned and joint ventures
• Accountable for reporting to relevant PCI committees
• Demonstrable expert knowledge in PCI
• Demonstrable expert knowledge of both existing and emerging global PII protection laws and regulations