Compliance Manager Cover Letter

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

In the previous role, I was responsible for interpretation and consultation to staff and project teams on regulations, guidelines, compliance status, and policies and procedures.

Please consider my experience and qualifications for this position:

• Capital Markets compliance experience
• Knowledge of the financial services industry and regulatory requirements (secondary equity markets and fixed-income)
• MSRB Rules Or other commensurate Industry experience
• Highly effective communication skills (verbal/written)
• Knowledge/experience of regulatory matters, securities regulation (34 Act), and banking regulations (Reg W)
• Simultaneously manage multiple projects, perform needs/gap analyses, and deliver sustainable compliance programs under aggressive deadlines
• Development/administration of compliance and supervisory controls, including drafting policies, written supervisory procedures and surveillance requirement documents (manual/automated)
• Engagement with Senior managers and technology to build compliance exception mapping tools, provide compliance technical specifications/protocols for automated compliance surveillances, and monitoring/testing

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

In the previous role, I was responsible for compliance and Advisory support for Front Office sales and trading ensuring that they are complaint with regulations.

Please consider my qualifications and experience:

• Quality Management experience in FDA approved facility
• Interpreting and understanding licensing obligations
• Being a trusted advisor to the business
• Assist in uplifting compliance maturity across the business unit
• Providing advisory to the business line 1 Compliance functions
• Design, implement and present training programs
• Have conducted controls testing and deep dives
• Significant management level experience, preferably within the insurance industry

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

Previously, I was responsible for programmatic interface with the Program Office for project planning performance metrics and other project management functions.

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

• With respect to the SIRG compliance program, the compliance manager will provide compliance oversight of, among other things the investment manager search and selection process
• Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940
• Knowledge of mutual funds and ETFs
• Working knowledge on AFSL and ACL obligations and legislation
• Requires a comprehensive understanding of compliance examination techniques
• Requires regulatory compliance experience in a financial institution
• Requires staff and project management
• Prior staff management experience is strongly preferred

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

Previously, I was responsible for sophisticated and definitive (in conjunction, if necessary, with the Office of the General Counsel) advice on the interpretation and application of statutory donor laws, regulations, processes and procedures in IRC’s work.

Please consider my experience and qualifications for this position:

• Strong knowledge of banking operations, credit underwriting, and payment processing
• Substantial knowledge of applicable laws and regulations including Regulation B, Fair Credit Reporting Act, and Telephone Consumer Protection Act
• Proficiency in Microsoft Office (Word, Excel, PowerPoint, Vision) Lotus Notes, Archer
• Working knowledge of National Instruments 81-101, 81-102, 81-105, 81-106, 81-107, 31-103
• Successful completion of the IFIC Mutual Funds course, CSC and exempt markets products exam
• Conversational French, strongly preferred
• Demonstrated knowledge and application of consumer protection laws and regulations such as TILA/Regulation Z, ECOA/Regulation B, FCRA, FACTA, FDCPA, SCRA, BSA/AML, EFTA, UDAAP, and GLBA
• Intermediate skill with word processing, spreadsheet, presentation, and publishing software (Microsoft Word, Excel, PowerPoint, Publisher, and Visio strongly preferred)

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

Previously, I was responsible for updates, and familiarity with project tracking software, such as Jira or Microsoft Project Plan.

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:

• To provide Functional Leadership in the area of Compliance Management on-site covering
• Experience in dealing with C&E and other legislative bodies
• Proven track record in managing C&E related activities
• Sound functional knowledge of HMRC legislation as it applies within the Drinks Industry (Spirit Supply, Packaging and Export)
• Audit qualification or relevant experience
• Strong knowledge of Operational Risk Management and Compliance principles
• Excellent knowledge of front and back office processes and procedures and related controls
• Strong understanding of Asian and Australian regulatory regimes