VP, Compliance Cover Letter

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

In my previous role, I was responsible for prompt, sound and consistent compliance advice, interpretation and recommendation on regulations and policies as well as new products and other business initiatives to CBG and Wealth.

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

• Proven track record of process and policy development and implementation
• Demonstrable project implementation skills
• Experience with using Word, Excel, PowerPoint
• Willingness to be flexible and adapt quickly to changing demands of the role
• Strong knowledge of banking and securities laws, rules and regulations (e.g., Regulation K, Regulation W, BSA/AML, and Anti-tying)
• Extensive Knowledge of regulatory concepts including, but not limited to, the Bank Secrecy Act, Office of Foreign Assets Control sanctions, the USA PATRIOT Act and Peru Regulatory requirements
• Has successfully led significant organizational changes across geographies, cultures, disciplines and external suppliers in a matrix organization in the areas of quality, warranty and compliance
• Preferred industry experience in banking or residential mortgage servicing

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

In my previous role, I was responsible for validation on all pricing models for relevant products used in the Investment Bank and Private Banking/Wealth Management.

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

• Oversight and follow-up on projects
• Pro-active attitude to the job
• Compliance/Legal/Internal Audit/Operations background is preferred
• Experience in relationship management or stakeholder management
• Specific knowledge and experience with application of Dodd-Frank Act provisions, CCAR, Liquidity Coverage Ratio, and Basel capital requirements to large banks
• Experience in implementing compliance policies, programs, procedures, and other process documentation
• Experience in developing and delivering effective management reporting
• Thorough understanding of the regulatory environment and applicable banking regulations impacting the financial services industry

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

Previously, I was responsible for guidance on key banking regulations such as Reg W, Reg O, Reg R and Reg B, as well as, FINRA licensing requirements.

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

• Outstanding communication skills in English necessary to effectively interact with an influence internal and external stakeholders
• Or accounting
• Manage and coordinate all aspects of targeted regulatory examinations, including the preparation of business lines, timely review and submission of requested materials, facilitate meetings with senior business representatives and regulators tracking and responding to any ongoing requests
• Excellent risk assessment skills, including risk identification, mitigation strategy, and control testing
• Outstanding communication skills in English necessary to effectively interact with and influence internal and external stakeholders
• Supervisory experience including employee performance management
• Professional certification in Safety and Compliance
• Excellent written and oral communication skills including communicating with all levels of the organization and with individuals and groups

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

In the previous role, I was responsible for timely advice to PB management and staff on compliance impact associated with changes in regulations, new products, and services, and/or changes in business strategy.

Please consider my qualifications and experience:

• Compliance Officer in a global financial institution
• Knowledge of applicable banking regulations such as Banking Act/Notices, Securities and Futures Act, Trust Companies Act and other relevant financial services laws and regulations, compliance best practices and understanding of financial products and systems (especially for Commercial Banking, Cash/Trade Services and Fiduciary/ Security Services)
• Good initiative and keen interest to learn about new product/digital offerings
• General compliance knowledge and familiarity with UK and European regulation, in particular FCA COBS regulations, UCITS, AIFMD
• European language skills would be a distinctive advantage
• Advanced knowledge and expertise of Microsoft Suite tools such as Word, Excel, and PowerPoint
• Implementation experience of OIG Compliance Guideline Standards, HIPAA, and Fraud Auditing and Monitoring
• Receives compliance communications, monitors, investigates, and provides independent review, resolutions, and corrective action plans

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

Previously, I was responsible for compliance and regulatory advisory for the Banking business and associated support functions, including advice on existing and new Indonesian banking regulations.

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:

• Respond to regulatory inquiries/requests on day-to-day basis
• Provide advice on regulatory related matters
• Handles regulatory filing including incident reporting
• Assist in building and maintaining relationship with regulators
• Oversight of ongoing GSAM Marketing and Distribution Compliance team tasks relating to marketing, distribution and third-party distributor due diligence
• Acts as facilitator and collaborates with all business partners for all matters pertaining to Premier Private Client (PPC) including working closely with Operational Risk Management Unit and Regulatory Compliance Unit for all risk and regulatory related matters
• Achieve pass for internal/external audits and ensure no significant breach of internal & external policies
• Work closely with the respective supervisors (Cluster Managers, Premier Centre Managers & Customer Service Managers) to ensure no high risk findings on fair dealing, AML & Ops related outcome for customers