Markets Compliance Cover Letter

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

In the previous role, I was responsible for real-time advice to the business on regulatory and compliance issues, particularly Dodd-Frank Title VII requirements;.

Please consider my qualifications and experience:

• Articulate and able to represent GM Compliance to senior business personnel with confidence
• Assistance with the identification and dissemination of new/amended regulations applicable to the banking industry
• Assistance with the elaboration of internal and management reports
• Assistance with the review of policies and procedures to ensure adherence to local rules and procedures Group and Regional requirements on Regulatory Compliance, AML/CFT, Sanctions and Anti-bribery and Corruption
• Assistance with the AML Transaction Monitoring routines
• Assistance with periodic assurance and compliance monitoring reviews
• Organization/Tracking of trainings for local staff
• Have sound knowledge in securities/investment banking products

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

In my previous role, I was responsible for regulatory compliance advisory services to the business lines related to the implementation and advisory related to Volcker Rule, Dodd Frank, FATCA.

Please consider my experience and qualifications for this position:

• A good knowledge of the Markets product suite, with particular emphasis on transactional banking, forex and collateral management products & services
• Willing to perform groundwork without direct report
• Knowledge of laws rules and regs related to institutional products at a broker dealer
• Excellent communications skills, experience in excel and PowerPoint
• University graduate or ACCA qualified
• Strong Project Management experience in the context of auditing
• Strong drive and energy, pro-active self-starter
• Experience in leading of transportation for small packages

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

In my previous role, I was responsible for compliance oversight, advice and consultation on Hong Kong FCC rules and guidelines and assume regional responsibility for the Bank's Advisory team in Asia.

Please consider my qualifications and experience:

• Perform and oversee compliance quality assurance testing of the swap dealer, wholesale banking, capital markets and other business units impacted by the Volcker Rule
• Review staff work, including final test reports prior to issuance
• Communicate test results and work with senior management to help identify effective resolutions
• Prior wholesale banking, capital markets or Volcker Rule compliance experience
• Proficient computer skills, especially with Microsoft Office applications
• Working across all levels of the organization to understand cross-functional linkages and interdependencies, the implications of Compliance risk at both a strategic level and at the business unit level
• A strong familiarity with IIROC and applicable securities Commission regulations
• Internal Audits and provides input into the action plans to address any weaknesses identified

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

In the previous role, I was responsible for compliance Advice to the Hong Kong Private Bank business and supporting functions requirements, regulations and initiatives including the necessary impact assessments.

Please consider my qualifications and experience:

• Expertise in AML/CFT MiFID related Compliance subject matters
• JSDA internal control manager and 1st grade registered rep preferred
• Knowledge of FIEA and JSDA regulations and any other laws and regulations relevant to securities and banking industries in Japan is preferred
• Excellent interpersonal and communication skills to work as a team player
• Proficient in English and Japanese language
• Strong general financial services background with proven relevant experience
• Knowledge of regulatory systems and regimes with a strong preference for previous regulatory experience
• Experience/knowledge of risk management techniques and discipline

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

Previously, I was responsible for monitoring coverage for portfolios trading in Hong Kong and elsewhere in Asia as well as the U.K., Europe and the U.S (as required).

Please consider my qualifications and experience:

• Evidence of negotiation skills with carriers
• Experience in operations environment with broad knowledge of enterprise wide processes and objectives
• Multifunctional work experience and knowledge of across demand generation and supply management processes
• Strong computer skills (network and PC)
• Previous accounting and statutory accounts experience
• Senior Compliance Professional, CGM
• Development and submission of FERC EQR and form 552
• Experience with regulatory Exams and inquiries