Compliance Risk Manager Cover Letter

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

Previously, I was responsible for appropriate support to Compliance personnel in undertaking work required to address specific issues identified through compliance monitoring, internal audit and external regulatory reviews.

Please consider my experience and qualifications for this position:

• Performing technical assessments and identifying Technology risks by applying business, technical and industry knowledge
• Communicating effectively to build and maintain transparent relationships with stakeholders (including Senior Management), clearly expressing ideas and concepts both verbally and in writing to effectively handle sensitive issues
• Critical thinking with strong attention to detail and follow up
• Technically competent to contribute towards the preparation and implementation of control processes, procedures and guidelines within Technology, in conjunction with company policies
• Leading, planning and conducting interviews to perform Technology risk assessments and gain an understanding of the area being reviewed
• ISTQB Nice to have
• ITIL Nice to have
• Experience with reduction and optimization of market data

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

Previously, I was responsible for subject matter expertise on regulatory compliance risks by managing and assessing risks for the regulatory obligations, a component of the Compliance Risk and Control Assessement (CRCA).

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:

• Pressure to achieve deadlines
• Experience of writing, maintaining and monitoring business continuity plans
• Previous experience of successful IIP, PQASSO or ISO
• Able to work with diverse groups of staff, volunteers and clients
• Methodical and organised approach to planning, implementation and record keeping for all activities with a high level of attention to detail
• Self starter, able to display initiative and pro-active approach to problem solving
• Broad knowledge of corporate compliance programs including risk assessments, testing and monitoring, training, and policy
• Broad knowledge of financial regulations (such as the ECOA/Regulation B, SCRA, FCRA, FDCPA, TILA/Regulation Z, and UDAAP)

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

In my previous role, I was responsible for support in the execution and/or coordination of Enterprise Compliance and Internal Audit related activities impacting Canadian Banking Compliance, including compliance testing activities, audit activities, Compliance Risk and Control Assessments (CRCA), and regulatory obligation and control updates.

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:

• Certified in Risk and Information System Controls (CRISC)
• Compliance – Managing IT compliance activities (controls testing using multiple frameworks such as, CobiT, COSO, ITIL, Sarbanes, PIPEDA
• Risk – Risk Assessments (Objectives, Risks, Controls, Action Plans) of projects, project teams and IT processes
• Audit – Working with Internal and External audit, assisting with information requests, validation of findings with controls owners, provide input into management remediation plans
• Consulting – Advise Senior Management, Corporate Executives and Operational Teams on Governance, Risk and Control activities
• Competency in risk, communication
• Awareness of risk and compliance trends in the marketplace
• Highly developed auditor negotiation and vendor management skills

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

Previously, I was responsible for expert advice regarding regulatory compliance, liaise with UBI DAC Compliance as appropriate and maintain UBI DAC Services regulatory inventory.

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:

• Experience working at and/or interacting with financial services/insurance regulators (SEC, FINRA, DOI, DOL, ) is highly desirable
• Broad experience in Finance functions and good understanding of finance and business processes
• Ambitious and pro-active attitude with hands on approach
• Dedicated and enthusiastic team player
• Enterprising behaviour
• Technically proficient in modeling concepts and related quantitative discipline
• Strong understanding of various kinds of risk including credit, market, liquidity, operational, compliance, legal and model risk
• Sound professional judgment and analysis skills

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

In my previous role, I was responsible for appropriate support to WM Compliance personnel in undertaking work required to address specific issues identified through compliance monitoring, internal audit and external regulatory reviews.

Please consider my experience and qualifications for this position:

• Proficiency in Microsoft Office Suite products, especially Excel & Visio
• High volume trust environment experience
• Advanced knowledge of industry regulations applicable to CRE’s products and services
• Expertise in the EB-5 field preferred
• Proficient in all IT applications (Word, Excel, Access, PowerPoint, and Adobe)
• Very strong professional experience in Information Technology and Risk & Compliance
• Competencies in Agile and Scrum Methodologies
• Deep knowledge of Project Management methodology