Compliance Quality Assurance Resume Samples

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M O'Hara

Micah

O'Hara

46904 Bosco Circles

Chicago

+1 (555) 548 1249

46904 Bosco Circles

Chicago

Phone

p +1 (555) 548 1249

Experience Experience

Phoenix, AZ

Compliance Quality Assurance

Phoenix, AZ

Littel, Toy and Schuppe

Phoenix, AZ

Compliance Quality Assurance

Develop strong working relationships with compliance professionals, testing staff, and business line professionals
Maintain accurate and complete documentation of testing working performed, conclusions reached, and write reports detailing testing results
Project management: leading a project, managing key stakeholders, build relationships across the Compliance teams
Identify business changes with legal / regulatory risk and develop and execute testing to ensure business changes were implemented as designed and controls have been implemented to mitigate risk associated with the business change
Working with Compliance teams on Quality Assurance Reviews and identifying inefficiencies, control weaknesses and constraints from Compliance processes
Support the development and delivery of a global Target Operating Model’s across the Divisions
Assist in various quality assurance reviews with the testing and help draft reports

Dallas, TX

Compliance Quality Assurance Manager

Dallas, TX

Jerde, O'Keefe and Tillman

Dallas, TX

Compliance Quality Assurance Manager

9) Develops, maintains and updates procedures to ensure consistency across the program management functions
12) Interacts with senior management across all business lines
11) Active involvement in identifying systematic improvements to strengthen the overall program
Establishment of a QA function for residential mortgage loans and HELOCS
10) Collaborates closely with testing managers to ensure testing expectations have been effectively communicated for planned reviews
6) Escalates matters of concern to management
2) Identifies opportunities to design, build, and/or enhance new and existing compliance testing functions across the Bank

present

San Francisco, CA

Senior Manager of Compliance & Quality Assurance

San Francisco, CA

Abernathy Group

present

San Francisco, CA

Senior Manager of Compliance & Quality Assurance

present

Perform other related duties as assigned or requested. The University reserves the right to add or change duties at any time
Responsible for the ongoing development and advancement of the USC Hospitality QA Program
Responsible for developing, implementing, and maintaining a continuous business process and quality improvement program
Responsible for the ongoing management, development, and advancement of the USC Auxiliary Services IIPP Program
Plans, implements and directs programs, projects and activities for Auxiliary Services section. Develops and recommends goals and objectives for section
Oversees installation, maintenance and continuing development of section’s information processing systems and ensures compatibility with USC financial services systems
Develops and implements policies, procedures and short and long-term strategic plans to enhance section operations with the approval of the Division Director

Education Education

Bachelor’s Degree in Competence

Boston University

Bachelor’s Degree in Competence

Skills Skills

Working with Compliance teams on Quality Assurance Reviews and identifying inefficiencies, control weaknesses and constraints from Compliance processes
Analyse and suggest improvements to Compliance activities with an emphasis on understanding risks and issues along the following dimensions
Strong organization, analytical, and project management skills
Proficient computer skills, especially Microsoft Office applications
Strong knowledge of operational controls and consumer banking products
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Thorough understanding of the business line’s operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk/Compliance/Audit competencies
Strong process facilitation, project management, and analytical skills
Excellent written and verbal communication skills

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Associate Compliance Quality Assurance Resume Examples & Samples

Prepare the annual ICC QA review plan
Perform these QA reviews
Create and present to the India Core Compliance management a monthly QA report covering
Minimum 2 years of relevant work experience either within Compliance, regulatory or audit experience
Understands the regulatory environment and able to decipher the regulatory notices and policies
Excellent drafting and report writing skills
Good communicator – across regions
Thorough record-keeping and retention abilities
Strong engagement skills, confident and ability to deal with potentially contentious issues effectively
Technological proficiency or inclination, including Excel
Proactive and able to work independently and in a team.·

Compliance Quality Assurance Specialist Resume Examples & Samples

Conduct through reviews of compliance investigations and supporting documentation to ensure these products meet internal and regulatory standards
Prepare detailed reporting and documentation to support independent decisions to file regulatory reports with government agencies
Demonstrate knowledge and the ability to identify anti-money laundering and economic sanctions typologies related to the payments and e-commerce space
Present quality assurance findings to management, examiners, and auditors
Manage quality assurance work queues through risk-based prioritization and by understanding the needs of Compliance Operations team
Manage other peer-based quality control of compliance products
Maintain pristine records related to compliance quality assurance operations
Maintain operational metrics for management
Partner with Analytics, Payments, Engineering and Product teams to manage compliance risk for the payments business
Accurately identify and escalate compliance risks to the Payments Management
Actively participate and partner in compliance projects, as required

Compliance Quality Assurance Resume Examples & Samples

Assist in various quality assurance reviews with the testing and help draft reports
Assist in the tracking of corrective action plans and post-implementation tasks
Work with Compliance professionals to implement corrective actions
Bachelor’s degree required; law degree a plus
The successful candidate will have two to three years of audit, regulatory, legal or compliance experience preferably with a law or audit firm, federal regulator, self-regulatory organization, or in compliance function for large investment bank
Solid knowledge of current regulatory environment

Compliance Quality Assurance Resume Examples & Samples

Working with Compliance teams on Quality Assurance Reviews and identifying inefficiencies, control weaknesses and constraints from Compliance processes
Analyse and suggest improvements to Compliance activities with an emphasis on understanding risks and issues along the following dimensions
Banking background, ideally from a top tier bank
Experience in Compliance is desirable
Technically strong in the following programs – Excel, PowerPoint. SharePoint, Macro/VBA, Xcelsius would be an advantage but not a necessity
Project management: leading a project, managing key stakeholders, build relationships across the Compliance teams
Solid business understanding across the bank with an emphasis on Compliance
Deep knowledge of Compliance requirements and activities
Excellent market knowledge required, the candidate should have a view of the key dimensions in the current financial market
General understanding of global regulatory impact
Support the development and delivery of a global Target Operating Model’s across the Divisions
Ability to think 'outside the box' and summarise complex issues into management level statement. For this reason, consulting experience would be beneficial
Strong written and verbal communication skills and high attention to detail (language skills would be beneficial). The candidate must have excellent communication skills be hard working, self-motivated, flexible and capable of working as part of a team in a highly pressurised environment
Strong analytical mind-set, comfortable working with data and technology

Compliance Quality Assurance Resume Examples & Samples

Good market knowledge required, the candidate should have a view of the key dimensions in the current financial market
Understanding and experienced in the full project lifecycle from inception, strategy, requirements business case through to delivery
Proficient written and verbal communication skills and high attention to detail (language skills would be beneficial). The candidate must have excellent communication skills be hard working, self-motivated, flexible and capable of working as part of a team in a highly pressurised environment
An analytical mind-set, comfortable working with data and technology
Operating model design and implementation
Good understanding of business process and technology in a major institution Banking
OE Black Belt Qualification desirable

Director Compliance Quality Assurance Resume Examples & Samples

The incumbent is responsible to ensure that the processes required for the Quality Assurance Program (QAP) are established, implemented and maintained. Including the development of quality targets and long range strategic plans for continuous quality improvement, defines quality objectives and functional responsibilities
Monitor progress of the Quality KPI’s in achieving the QAP long range strategic plans and communicate to senior management
Ensure that the performance of the QAP against quality policy objectives is reported to senior compliance management including any areas of improvement
Determine and enforce quality requirements in accordance with current regulations and customer requirements. Contribute to the quality improvement efforts of the Bank by adhering to a structured continuous improvement approach and focusing on root cause identification and correction
Integrate quality assurance program planning, in collaboration with Global Compliance, with the planning for new or modified regulatory changes
Review systems, processes, procedures, reports, transactions, and other information to assess reliability, accuracy, completeness and conduct assurance testing to assess whether the Compliance Program and its under-lying regulatory control processes are operating as intended and in compliance with applicable laws and regulations
Review systems, processes, procedures, reports, transactions, and other information to assess reliability, accuracy, completeness and conduct assurance testing to assess whether governance, risk management and control processes are operating as intended and in compliance with applicable laws and regulations
Conduct interviews of responsible officials and staff as needed to gain an overall understanding of systems, processes procedures, reports and transactions and to examine specific issues or areas
Identify, obtain, analyze and evaluate relevant information needed to support QAR conclusions and results
Prepare working papers to document relevant information obtained, analyzed and evaluated that support observations and conclusions
Draft high quality reports which include a background discussion of the operations and activities reviewed, objective, scope, conclusion, observations and related recommendations for reviews completed
Facilitate and coordinate the resolution of observations and recommendations with responsible officers who oversee the operations and activities tested
Oversee any internal/external reviews/assessments to ensure that the QAP is properly represented
Participate in networking with other financial institutions to analyze the effectiveness and performance of the QAP
Compliance monitoring and/or audit skills
Experience in developing and maintaining a Quality Assurance Program
Experience working in a team environment and proven ability to provide guidance, promoting good communications, objective thinking and cooperation among different compliance teams
Proven ability to effectively contribute to the quality improvement efforts of the Bank
Proven experience in establishing procedures for maintaining high standards QAP
Extensive experience in the regulatory compliance area for financial institutions
Experience as a lead contact point
Ability to make recommendations

Compliance Quality Assurance Resume Examples & Samples

Develop strong working relationships with compliance professionals, testing staff, and business line professionals
Collaborate with compliance professionals, testing staff, and business line professionals to identify and execute testing opportunities
Work with business line management and compliance professionals on root cause analysis and provide feedback on corrective action plan development including determining the need for any new or enhanced controls
Identify business changes with legal / regulatory risk and develop and execute testing to ensure business changes were implemented as designed and controls have been implemented to mitigate risk associated with the business change
Maintain accurate and complete documentation of testing working performed, conclusions reached, and write reports detailing testing results
Bachelor's degree or equivalent experience in financial services' regulatory and quality assurance roles
Three or more years of experience in audit or regulatory compliance related activities
Strong knowledge of consumer banking or lending activities / processes, laws and regulations
Strong knowledge of operational controls and consumer banking products

Compliance Quality Assurance Resume Examples & Samples

Oversight and completion of core testing reviews of business lines across the organization, including Customer Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), Economic Sanctions/OFAC, Suspicious Activity Reporting (SAR), and Currency Transaction Reporting (CTR)
Development and implementation of targeted reviews for applicable laws and regulations
Thorough documentation of work performed and conclusions reached, with maintenance of accurate and complete records
10 or more years of experience in regulatory compliance activities such as risk management, audit or similar control-related experience
Thorough knowledge of and experience with federal and state AML regulations and requirements, including the Bank Secrecy Act, The USA PATRIOT Act, FFIEC BSA/AML Exam Manual guidelines, OFAC/Economic Sanctions and Suspicious Activity Reporting
Strong organization and analytical skills, with a proven ability to manage multiple priorities simultaneously
Strong planning, implementation, and negotiation skills

Compliance Quality Assurance Analyst Resume Examples & Samples

Conduct transactional testing and analyze accounts to ensure overall compliance with Federal and Local bankruptcy rules
Evaluate business line processes to ensure standards are followed
Identify process gaps, procedural errors, and regulatory exceptions
Summarize and report issues in a clear and concise manner
Assist with identifying the root cause of an issue, and recommend corrective action to remediate
Write internal test procedures
Maintain knowledge of bankruptcy rules and consumer banking products; be informed of changes in the regulatory environment and submit changes to the test program
Examine trends in test results and report emerging risks
Adhere to testing deadlines, and timely produce final reports and/or memos
Assist in on-going development of the test program
Maintain required levels of annual professional development training
Proficient computer skills, especially Microsoft Office applications

Head of Compliance, Quality Assurance Resume Examples & Samples

Safety - Provide a safe working environment for associates, contractors, and visitors
Ensure compliance with Health Safety and Environmental standards at all levels of the organization
Ensure associates have tools and equipment needed to perform their jobs safely and effectively
Encourage and drive participation in site safety recognition programs
Strategy and Direction Setting – Develop strategies and provide direction to ensure audit readiness, meeting of customer deadlines, timely completion of CAPAs/action items, and improved site compliance posture
Provide strategic leadership to the compliance team to formulate a compelling vision for future state of the team and established metrics to monitor, improve and sustain performance
Allocate appropriate resources to lead, plan and execute project activities
Appropriately allocate effort among several goals, with a high degree of independence; as appropriate, allocate activities as a learning point for team members with oversight
Ensure departmental adherence to schedules, including
Bachelors of Science in any Engineering or Regulatory Discipline and 7 years applicable experience in Medical Device, or related industry, including 5 years leading people
Highly Desired: Bachelors of Science/Engineering plus Master’s Degree in Regulatory Affairs or related discipline; Masters of Science/Engineering and 10 - 15 years applicable experience in Medical Device, or related industry with 4 years in Quality Assurance, and 7 + years leading people
Working knowledge of Microsoft Office is a must
Superior written and verbal communication, and interpersonal skills
Proven leadership skills and high level of integrity and desire to comply with regulations and standards
Extensive knowledge of cGMP regulations for medical device manufacturing operations and validation procedures and practices
In depth knowledge of external regulatory requirements (especially 21CFR210/211/820, EU GMP, USP, Ph EU, JPAL)
ASQ Certified Quality Auditor
ASQ Certified Project Manager
Experience facilitating external inspections audits by regulatory bodies/ministry of health/Food and Drug Administration
Experience conducting internal audits and or supplier audits for medical device
Experience with manufacturing process and analytical method validation
Experience within regulatory affairs
Experience with training other associates

International Compliance Quality Assurance AML Consultant Resume Examples & Samples

Bachelor’s degree, preferably in related field
Knowledge of and experience with U.S. federal and state AML regulations and requirements, including the Bank Secrecy Act, The USA PATRIOT Act, FFIEC BSA/AML Exam Manual guidelines, OFAC/Economic Sanctions and Suspicious Activity Reporting
Basic knowledge of U.S. Bancorp operations, policies, and procedures
Fluency in Spanish and/or Portuguese desired, but not required

Senior Manager of Compliance & Quality Assurance Resume Examples & Samples

Responsible for the USC Hospitality Quality Assurance (QA) Program, Process Improvement Program (PIP) including ongoing oversight, development, monitoring, reporting and record keeping. Manages the USC Hospitality Cash Offices and ensures effective daily functions, services, investigations and reporting. Facilitates USC Hospitality Compliance, QA, and IIPP Training
Responsible for the ongoing development and advancement of the USC Hospitality QA Program
Responsible for developing, implementing, and maintaining a continuous business process and quality improvement program
Responsible for the ongoing management, development, and advancement of the USC Auxiliary Services IIPP Program
Provides customer service to students, faculty, staff and external customers. Meets customer needs, offers options, resolves problems and follows up with customers. Ensures full customer satisfaction without unnecessarily referring customer to other staff members. Maintains friendly, helpful demeanor
Plans, implements and directs programs, projects and activities for Auxiliary Services section. Develops and recommends goals and objectives for section
Directly or indirectly supervises all staff assigned to section, through subordinate managers and supervisors. Monitors staffing needs based on goals and objectives of section. Performs department manager’s function in department manager’s absence as needed. Determines and/or recommends section salary administration including raises, promotions and reclassifications. Approves/disapproves all work guidance actions within section
Plans, develops and manages section budget. Approves/disapproves section expenditures
Develops and implements policies, procedures and short and long-term strategic plans to enhance section operations with the approval of the Division Director
Maintains currency with, understands and ensures section compliance with all University and departmental policies and procedures and with all applicable local, state and federal laws and regulations
Develops, implements and administers plans for effective communications programs within section
Serves as information resource for the University community and/or the general public concerning section programs and/or projects
Establishes and maintains appropriate network of professional contacts. Maintains currency with professional organizations and publications. Attends and participates in meetings, conferences, etc. Represents University and/or section as assigned or as appropriate
Oversees installation, maintenance and continuing development of section’s information processing systems and ensures compatibility with USC financial services systems
Perform other related duties as assigned or requested. The University reserves the right to add or change duties at any time
Benefits: dental and vision plans, tuition assistance for our employees and their families, paid time off, flexible spending accounts, 2:1 retirement plan contributions, child care centers and up to $50,000 housing subsidy. And because we are a qualifying public service organization, you may qualify for Public Service Loan Forgiveness (PSLF) for educational loans. Don’t believe us? Visit benefits.usc.edu
Perks: discounts to USC sporting events, USC Bookstores, wireless plans, travel, accommodations, and local entertainment

Compliance Quality Assurance Manager Resume Examples & Samples

Collaborate with testing team and partners in Corporate Compliance and the business lines to identify compliance risks warranting scrutiny
Oversight and completion of core testing reviews of consumer-related products and services for compliance with applicable federal laws and regulations, such as Regulation Z – Truth in Lending Act, Regulation B – Equal Credit Opportunity Act, and Regulation X – Real Estate Settlement Procedures Act
Identification, assessment, and evaluation of compliance risks and mitigating controls
Collaboration with business line management on development of corrective action plans and root cause analyses for identified issues
Provision of timely and accurate compliance reports
Ability to travel up to 10%
Seven or more years of experience in regulatory compliance activities such as risk management, audit or similar control-related experience
Good understanding of the Bank’s consumer credit and deposit products and services, and applicable federal laws and regulations
Good understanding of the Bank’s processes and controls pertaining to the consumer business lines
Some management experience
Professional certification, such as CRCM or CIA
Strong organizational and analytical skills, with a proven ability to manage multiple priorities simultaneously

Compliance & Quality Assurance Sales Representative Resume Examples & Samples

Work closely with key account sales team, Sales Manager, Business Leader and Product team to align daily activities and practices to effectively meet assigned business objectives and quota in strategic approach
Have the ability to clearly explain the product to Compliance teams, Quality teams, IT teams and provide feedback to internal teams on customer requests
Communicate effectively over the phone, in writing, and in person within the context of a highly-professional, technical/clinical, consultative sales environment. Interprets messages and responds appropriately in a timely manner
Ability to identify critical actions and adjust priorities as necessary
Document and track all leads, contacts, opportunities, and activity history consistently and in accordance with best practices within the Sales CRM tool
Conduct planning and research using a variety of database, internet, and industry tools, demonstrating clear understanding of client stakeholders and requirements and matching to the proposed solution
Collaborate with the regional sales on tactics to meet business objectives regarding opportunity development and closed business
Negotiate and find effective solutions to questions, requests, and/or points of conflict with both clients and internal stakeholders with a focus on mutual benefit and lasting relationships
Demonstrate technical capacity to understand sales tools (Web, database, CRM, Order Management, reports) and be able to effectively articulate technical and/or clinical information in an easily understood manner

Compliance Quality Assurance Resume Examples & Samples

Five or more years of audit and/or bank regulatory compliance experience
Ability to be flexible in a dynamic environment and can adapt to situational changes with ease and fluidity
High degree of knowledge and experience with the laws and regulations applicable to either International Payments or Wealth Management and Trust banking operations
Experience in development of periodic reporting
Project oriented with the ability to manage multiple projects and deadlines simultaneously
Proficiency with Microsoft Office Suite, specifically Microsoft Excel

Compliance & Quality Assurance Manager Resume Examples & Samples

Responsible for the ongoing development and advancement of the USC Hospitality QA Program. Develops processes to ensure consistent measurements are in place in all business segments and that QA audits of venues occur throughout the department. Leads the department wide QA audit process, maintains highly accurate records of findings, and reports results. Provides recommendations to improve QA results and serves a resource to the department regarding best practices, and in support of management success in this area. Creates a gap analysis report to determine training needs and provides this to venue management and Learning and Development department
Maintains up to date knowledge of the most current and innovative QA management practices within the Hospitality/Hotel Industry
Responsible for developing, implementing, and maintaining a continuous business process and quality improvement program that will support USC Hospitality’s mission statement, strategic plan and the venue business plans. Responsible for analyzing and providing recommendations for quality enhancement and cross-organizational process improvements that lead to increased workforce efficiency and reduction of wasteful processes and practices. Develops Standards Operating Procedures where applicable to support improvements and related objectives
Responsible for the ongoing development and advancement of the USC Auxiliaries IIPP Program. Chairs the departmental IIPP Committee. Ensures this program consistently meets US Department of Labor, Occupational Safety & Health Administration (OSHA), and USC Office of Environmental Health Services (EHS) requirements. Oversees safety inspections throughout the department, reports findings and maintains accurate records of these findings. Manages all IIPP Program components and provides ongoing recommendations for program improvements. Coordinates and attends safety committee meetings within Hospitality and when applicable in conjunction with stakeholders throughout the University
Tracks, records, and updates information obtained from QA audits, IIPP, performance variances reports, recognition results, and related information with the highest level of accuracy. Independently identifies solutions or alternative approaches to challenges as they arise and utilizes all available resources to effectively accomplish position specific responsibilities and support organizational objectives
Oversees The USC Hospitality Cash Offices and the employees assigned there. Ensures all cash office functions are effectively fulfilled including, asset protection, reconciliation and reporting, and the services provided to internal and external customers. Ensures Cash Office employees conduct unannounced change bank, due back fund, and cash compliance audits of all individuals issued such funds at least once per semester and that accurate records of all audits are consistently maintained
Reviews third party secret shopper reports, records results, and conducts investigations specific to Cash Policy violations. Tracks and records this information with the highest level of accuracy. Ensures the cash office team consistently reports and communicates all Cash Policy violations identified through cash audits and via the daily cash reconciliation process. Provides senior leadership with reports quantifying department wide cash policy variances and ensures appropriate individuals are informed of the outcomes of respective investigations
Organizes, coordinates, and facilitates USC Hospitality Compliance, QA, and IIPP Training
Career Growth:We are the largest private employer in Los Angeles offering tremendous development opportunities in multiple fields and industries. The Trojan Network connects current and previous members of the Trojan family to create an endless professional network

Compliance Quality Assurance Analyst Resume Examples & Samples

Perform compliance quality assurance testing of wholesale banking, capital markets and other business units impacted by the Volcker Rule
Identify, assess and evaluate compliance risks and mitigating controls
Effectively apply complex rules and regulations against processes, policies and procedures
Analyze results and provide timely and accurate findings
Communicate test results and work with management to help identify effective resolutions
Draft memorandum to senior management
Maintain thorough documentation of work performed and conclusions reached
Bachelor's degree, preferably in economics, finance or similar field
3 to 5 years of compliance, audit, or regulatory experience
Effective communication skills (verbal and written)
Knowledge of FINRA Rules
Prior broker/dealer, wholesale banking, capital markets or Volcker Rule compliance experience
Knowledge of MSRB Rules

Compliance Quality Assurance Manager Resume Examples & Samples

1) Maintains high level of compliance awareness and knowledge to effectively support area of responsibility. Awareness is driven through self-education, Bank compliance programs, and transference of knowledge within CQA
2) Identifies opportunities to design, build, and/or enhance new and existing compliance testing functions across the Bank
3) Responsible for developing and managing a risk-based program for regular compliance testing and monitoring to ensure compliance with all consumer-related federal laws and regulations
4) Develops, maintains and updates the compliance testing plan to ensure appropriate coverage
5) Ensures appropriate management approval is maintained pertaining to program changes
6) Escalates matters of concern to management
7) Participates in the review and interpretation of new and pending laws and regulations that potentially affect business practices
8) Ensures that compliance files are maintained, documenting decisions regarding testing or rationale to waive testing that can withstand the scrutiny of auditors and/or regulators
9) Develops, maintains and updates procedures to ensure consistency across the program management functions
10) Collaborates closely with testing managers to ensure testing expectations have been effectively communicated for planned reviews
11) Active involvement in identifying systematic improvements to strengthen the overall program
12) Interacts with senior management across all business lines
13) Exercises the usual authority of a manager regarding establishing annual goals, staffing, performance appraisals, promotions, salary recommendations and terminations
Seven or more years of experience in fields such as compliance monitoring, quality analysis or measurement activities
Strong knowledge of banking regulations
Certified Regulatory Compliance Manager (CRCM) preferred
Audit experience preferred
Comprehensive knowledge and understanding of the products and services applicable to the assigned area
Strong planning, implementation and negotiation skills
Strong leadership and supervisory skills
Familiarity with Archer (eGRC) platform

Senior Manager, Compliance Quality Assurance Resume Examples & Samples

Managing the planning of QAR engagements for various Compliance functions and programs by ensuring scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned, and risks understood
Executing end-to-end Compliance QAR engagements, ensuring that testing, documentation, evaluation, and reporting activities are being conducted in accordance with Compliance QAR methodology and plan
Evaluating the design and operational effectiveness of internal regulatory controls for assigned Compliance functions, programs, processes, and projects, while ensuring department standards are maintained in completion of all assignments
Conducting special investigations as assigned
Monitoring, managing, and reporting progress of actions plans developed by business and/or enterprise compliance functions to address QAR findings, and assesses their adequacy for effectively managing compliance risk
Maintaining Compliance QAR policies and procedures and contributing to QAR Function development by proposing enhancements to the global QAR methodology and program
Building a high performance work environment and implementing a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team
Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
Proven project management and interpersonal skills, which demonstrate the ability to train, coach and supervise the work of other professionals with various experience levels and technical abilities
Sound time management skills and proven ability to successfully manage multiple projects through to completion
Ability to work effectively to meet established internal and external deadlines
Proven networking and business development skills
First class written and oral communication skills
Excellent presentation skills to produce and review QAR engagement reports and proposals
Exceptional people skills with the ability to work with stakeholders and staff of all levels
A high degree of competence in Microsoft Word, Excel and Outlook
Willingness and ability to travel periodically (domestically and internationally)
Bilingual in Spanish considered an asset

Senior Manager, Compliance Quality Assurance Resume Examples & Samples

Undergraduate degree or equivalents, with a minimum 8 years direct relevant experience in audit or risk-management function of a matrix organization
Professional or business designation considered an asset (e.g. CPA, CA; CPA, CMA; CPA)
Strong capability in risk assessment, testing methodology, and internal controls
Knowledge of trends and best practices in Internal Control pertaining to the financial services industry

Compliance Quality Assurance Manager Resume Examples & Samples

Establishment of a QA function for residential mortgage loans and HELOCS
Daily sampling and review of mortgage loans for compliance with regulatory requirements
Perform targeted reviews as required to determine root cause of recurring deficiencies and make recommendations
Work with the Mortgage Division of MSPBNA to cure deficiencies and improve processes where applicable
Partner with the Second Line Quality Control function to prepare monthly reports of results
Assist with audit and regulatory reviews as needed
Monitor and report on mortgage compliance trends in the mortgage business
Bachelor’s Degree in Finance or Accounting or a related discipline
Experience in Residential Mortgage Compliance (5+years)
Strong knowledge of mortgage compliance requirements, CFPB regulations and loan disclosures
Experience with Fannie Mae requirements a plus
Strong analytical, organizational skills and problem solving abilities
Data analysis and reporting skills
Ability to work both independently and with team members, under tight deadlines
Ability to work in a matrixed organization; leveraging resources across the organization to complete deliverables