Analyst, Compliance Cover Letter

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

In my previous role, I was responsible for subject matter expertise on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations including FINRA, SEC and MSRB requirements.

Please consider my experience and qualifications for this position:

• Knowledge of prepaid/card industry databases preferred
• Demonstrated experience working in a large, highly structured environment
• Excellent organizational and project management acumen, a keen eye for detail, and a robust work ethic
• Prior AML or KYC experience
• Knowledge of US securities compliance, regulated business environments and key legal issues especially as they relate to trading, the investment process and the management of investment funds
• Previous E-communication Review experience
• Strong interest in Financial Institutions, global markets and compliance in general
• Excellent Knowledge and understanding of the regulatory system

In response to your job posting for analyst, compliance, I am including this letter and my resume for your review.

Previously, I was responsible for updated bluesheets for FINRA/SEC or other regulatory bodies.

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

• Technical background and aptitude
• Clear understanding of ITGC and application controls related SOX requirements
• Strong collaboration competency with a willingness to partner with team members and other business associates at all levels
• Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules and other federal regulations
• Familiarity with financial products such as mutual funds, separate accounts, retirement and 529 plans
• Organized and comfortable prioritizing and managing many projects and tasks
• Mostly sitting with occasional walking and standing
• University Legal Education

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

In my previous role, I was responsible for advice, guidance, and support to the affiliates staff on the interpretation and implementation of the local trade association code, Celgene Corporate Global Policies and other applicable rules and 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:

• Understanding of a software licensing compliance program
• Previous compliance-related experience in a regulated industry
• Energy industry experience (other regulated industries will be considered)
• Self-starter, able to identify appropriate solutions and meet tight deadlines
• Risk and issue management experience
• Experience in Security policy writing, control language development & assessment reviews
• Proficiency with compliance related frameworks such as NIST 800-53
• Development of detailed risk & compliance documentation for executive management

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

In my previous role, I was responsible for guidance and support to the affiliate staff on the interpretation and implementation of the local trade association code, Celgene Corporate Policies and other applicable rules and 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:

• Periodic updating of Company CAIQ & other standardized assessment documents
• Support proof of concept security environments in a Unix based cloud provider platform (such as AWS, or Azure)
• Advanced Excel and Microsoft Word knowledge
• Proven analytic and time management skills
• Knows private equity /experience in industry preferred
• Proficient in MS Office 365 (Outlook, Word, Excel, PowerPoint, etc)
• ACAMS Certification or Internal Audit experience testing Compliance / AML
• Knowledge of FFIEC Examination Manual relative to AML, KYC, CIP

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

Previously, I was responsible for timely, accurate and professional support to National Compliance Office on FINRA, SEC and State examinations.

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:

• Define and implement new product
• Strong analytical abilities both from a business and technical perspective
• Competency in creation of project documentation, including business and technical requirements to exacting standards
• Confidence to chair project meetings and deliver presentations in a clear and purposeful manner
• Strong technical skills to support analysis and investigation
• Good academic qualification with experience in compliance or legal would be an added advantage
• A good team player with high standards of integrity
• Capacity to work cross-functionally as a business partner and collaborator