1 ... oversee the testing program for the firm’s proprietary mutual funds and registered investment adviser to support the Chief Compliance Officer’s 38a-1 and 206(4)-7 annual certification(s) • Collaborated with the Chief Compliance Officer in the design, implementation, and management in all areas of compliance, including firm policies and compliance with all federal and state regulations. endobj
If you are a Board or C-Level Executive seeking a Board Member Resume, Chief Executive Officer Resume, Chief Operations Officer Resume, Chief Financial Officer Resume, Chief Marketing Officer Resume, Chief Business Officer Resume, Chief Technical Officer Resume, Chief Information Officer Resume, Chief Information Security Officer Resume or other C-Suite Executive looking for your next … Over the past 20 years I have been involved in most compliance related functions. Skills : Leadership Derivatives, Options Training and Development. Carried out compliance planning for proprietary trading. Prepared and executed training for all applicable laws and regulations. James doesn’t waste time. Cultivated an environment of continual improvement and performance. Summary : Highly qualified Chief Compliance Officer with experience in the industry. Performance-driven professional with 7 years of experience in corporate compliance programs. Responsible for the implementation of the Bank Secrecy Act and Anti-Money Laundering Compliance Program. Chief Compliance Officer, CCO Chief Compliance Officer Resume Example of a resume written for a CCO seeking her next challenge. Produce and interpret reports of inspection to provide information useful in taking appropriate busines… Managed $25M US regional expense budget and supervised 35+ staff in 9 countries. jobs – jccmp. Developed and drafted procedures for the AML programs. Keywords: Compliance Officer resume, cover letter, CV, career, vacancy, looking for work, job description Created Date: 10/12/2016 1:28:08 PM POSITION TITLE: CHIEF COMPLIANCE OFFICER SALARY: $10,790.75 - $16,332.68 Monthly OPENING DATE: 10/11/2016 CLOSING DATE: 10/24/2016 EXAM NUMBER: R9710A TYPE OF RECRUITMENT: Open Competitive Job Opportunity Los Angeles Superior Court is seeking a dynamic, well-qualified, and highly-motivated individual to fill the position of Chief Compliance Officer in its Internal Audit Management resume writing services for managers with hiring and firing responsibilities, this category includes all management titles below the Director, V.P., and C-level. Download this Banking Compliance Officer Resume template now! Instantly Download Ethics And Compliance Officer Resume Template, Sample & Example in Microsoft Word (DOC), Apple Pages Format. 120 100 80 60 40 20 Project 1 Project 2 a Reveues Expenses a Margins Project 3 . Prepare schedules and timetables for the inspection of management practices 2. Knowledge spans from Chief Compliance Officer to owning and operating a full service. Easily Editable & Printable. Provided leadership to identify, evaluate, mitigate and report on all firm compliance based on SEC regulatory requirements. Reporting events that pose a threat to the Company. Objective : Organization is imperative when executing work in a timely and efficient manner. These templates can be used for your own personal use i.e. Conducted registered representative compliance meetings. The Chief Executive Officer (“CEO”) of the Society of Corporate Compliance and Ethics / Health Care Compliance Association (“SCCE/HCCA”), in partnership with the Board, is responsible for the success of SCCE/HCCA. Extensive knowledge of broker dealer and investment adviser compliance and regulations. Reviewed client account activity to ensure adherence to federal laws and self-regulatory organization rules. Develop and implement strategies necessary for minimizing risk of non-compliance 4. Senior VP / Chief Operations Officer, Asia-Pacific Service Delivery Executive (10/98 — 1/00) Recruited to Chase Beacon as a senior member of Chatham Investment Global Custody client team in Asia and as head of Chase Beacon's service delivery. Use This chief compliance officer Resume Template . Resume Format PDF vs Word. Tested and monitored due to diligence systems to ensure accuracy in determining findings. Available in (US) 8.5x11, (A4) 8.27x11.69 inches. Summary : I have over 20 years of regulatory and operations compliance experience specializing in life insurance and fixed annuities. Acquired through working three years with the Office of Inspector General, as the Director of Nursing for four and a half years in a long term care facility. James starts off with his experience. Chief Executive Officer (C EO) May 20xx to August 20xx Provided leadership and change management for 310-bed tertiary acute-care hospital (the largest private employer in the city) to promote a reputation for quality, innovation, and clinical excellence. T�je
��Ưh��߽�����{����g��0{����Ϗ�E��5M-f�̴�Pr�hQ�rv�z��]>~����G�{)fB��|���31k�n�g�i��4��zvqϝ]�_��돏��|�����? As the CCO is one of the important members of the management team, the following skills are expected – knowledge of risk management and assessment; familiarity with regulatory compliance, filings and audits; thorough knowledge of industry regulations, and excellent organizational skills. By using one of Resume.io’s field-tested resumes, and following these helpful tips on the creation of your resume, you will be on your way to finding the job you are looking for. Extensive experience with the Investment Advisers with respect to SEC, state, CFTC and NFA requirements. City Government Santa Monica is … The Chief Audit & Compliance Officer (CACO) is primarily responsible for overseeing and managing compliance within an organization, ensuring that the company and its employees are complying: 1. Identified and resolved cases with discrepancies and compliance issues. Worked with the Compliance Committee to arrange required BSA/AML training for staff. And so should your Chief Financial Officer resume objective. sam webform home dun amp bradstreet. Organizational skills include but are not limited to staying on task with a project, keeping a written record of all procedures. Managed student services policies and procedures. Uganda however can be mobilized to Lake Albert area, other construction sites or other cities as required. Instantly Download Chief Compliance Officer Resume Template, Sample & Example in Microsoft Word (DOC), Apple Pages Format. Compliance Officer resume: Especially considering you have such a short time to impress anyways. Implemented the firm's policies and procedures for both the RIA and the affiliated broker-dealer. Supported the verification process for accurate marketing. Chief Compliance Officer Resume. 2 0 obj
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