Senior Manager, Regulatory Compliance Cover Letter

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

In my previous role, I was responsible for reports to CCO and senior management related to new compliance requirements, ongoing compliance monitoring and audit activities, and regulatory inquiries.

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

• Track record in interpreting primary sources of legislation and translating technical legal requirements into commercial /operational language, ideally in the financial services industry
• Specialist knowledge of the Australian financial services laws
• Flexibility – to work across many issues in support of a small team with a wide compass of responsibilities
• Skills in Sharepoint an advantage – willingness to learn essential
• Work in coordination with the Contract close-out Group in the preparation of the Cumulative Allowable Cost Worksheets
• Organize and lead the recurring meetings with the Defense Contract Management Agency (DCMA) and Defense Contract Audit Agency (DCAA) representatives
• Strong report response writing skills and demonstrated communication skills
• Strong understanding of the Cost Accounting Standards (CAS) requirements, DFARS contractor business systems requirements and areas subject to audit by DCAA at a major contractor location

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

Previously, I was responsible for subject matter expertise to all assigned regulatory compliance-related activities for projects in support of the planning and execution of project operational requirements or projects.

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:

• This role will have compliance adherence responsibility driven by the line of business support
• Experience writing and influencing broker-dealer or relevant financial industry policies/procedures and supervisory processes
• Strong understanding of the role of Compliance and the relationship between Compliance and business partners
• Advanced written, verbal, and presentation communication skills
• Experience participating in securities exams
• Specialized knowledge in certain areas of the securities industry
• Advanced skills with Microsoft Word, Excel, PowerPoint
• Experience designing and preparing management reports

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

Previously, I was responsible for general regulatory and compliance advice to all staff of the Mutual Fund Dealer including Provincial Compliance Officers, Branch Compliance Officers, and retail branches;.

Please consider my qualifications and experience:

• Coordinates with quality control personnel to ensure appropriate oversight is in place at onset of projects and to ensure that sufficient time allowed for quality reviews
• Manage relationships/interaction models with key channel partners
• Attract, develop, motivate and retain high quality talent to deliver business objectives
• Credit Acumen
• Identifies clients in need of consulting expertise and markets the services of the company to those clients
• Lead team safety efforts and promote safety rules and guidelines
• Conduct quality-assurance reviews of project-related documents
• Use relevant information and individual judgment to determine whether operations or processes comply with laws, regulations, or standards

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

Previously, I was responsible for regulatory support to ensure alignment of local operations with applicable regulatory filings, international and national requirements, site and corporate policies and procedure.

Please consider my experience and qualifications for this position:

• Demonstrated experience as a strong leader and people manager
• Professional Certifications or credentials (CPCM, CPSM, CFCM)
• Knowledge and proficiency in use of SAP, Microsoft Office Suite, Minitab, SharePoint
• Previous supply chain compliance experience
• Concepts, practices and procedures of securities industry and/or banking compliance or operations
• This role will require the individual to assume a proactive, collaborative role across the Risk areas and the business partners to ensure the creation and ongoing management and collaboration of an operationally “excellent” organization
• DB Management experience is preferred
• Knowledge and expertise of Toxic Substances Control Act, FDA and EPA regulations, CSPIA, FHSA, REACH, OSHA and other regulations applicable to the Company’s compliance requirements preferred

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

In the previous role, I was responsible for fund compliance function including monitoring public fund’s regulatory requirements such as information disclosure compliance, reporting, fund document supervision.

Please consider my qualifications and experience:

• Strong background and understanding of US FDA laws CPSCA laws and regulations
• Advise clients on a variety of regulatory advisory and AML services that help meet banking/credit union compliance requirements
• Research emerging trends in regulatory guidance, AML and best practices
• Minimum Bachelor of Arts
• Conducts assigned review work of certain U.S. Regulatory Compliance functions, in accordance with the Compliance section of the Global Risk Functional Instruction Manual (“FIM”), Sections B2.1.3, and CRMP Manual as directed by the Head of the department
• Experience with a banking regulator
• Experience with a wide range of regulatory compliance functions and product lines
• Experience as an examiner with a Canadian Regulator