Compliance Testing Cover Letter

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

Previously, I was responsible for strategic overview to ITLT to aid decision making including key risks, issues and dependencies that may impact the overall ability to deliver the strategy.

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:

• Analysis of regulations and internal policies/rules for each test topic
• Conducting tests of transaction and other documentation for compliance with the relevant regulations and policies/rules
• Ensuring detailed documentation of test work-papers
• Helping to follow-up on review findings until resolution
• Experience in interpreting laws or regulations
• Conduct regulatory compliance risk assessments
• Perform reviews on regulatory compliance requirements using a risk based approach
• Design and conduct testing plans and validation of procedures to enforce compliance with rules, regulations and policies, and to recommend remediation measures or good practices

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

In the previous role, I was responsible for program information, and work experience which demonstrates the ability to communicate in writing to prepare grammatically correct correspondence.

Please consider my experience and qualifications for this position:

• Conduct business continuity testing for the US businesses
• Support the preparation of US regulatory filings, such as annual ADV updates, distribution of Form 5500 disclosure letters
• Coordinate responses for annual risk assessments of the Alternatives business conducted by Compliance, Anti-Financial Crime team, Divisional Controls Office
• Recognize any recurring issues and analyze their causes in order to reach a solution
• CRCM or similar other professional designations strongly preferred
• Experience comprehending, digesting, reiterating and retaining specific knowledge of complex information, chronologically, and integrating information to ensure compliance with regulatory requirements
• Comprehensive understanding of compliance testing objectives, processes and related financial/banking laws and regulations
• Detail-, customer-service- and process-oriented to deal with several priorities simultaneously, drive results and maintain a flexible approach

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

Previously, I was responsible for team members with the information and direction needed to perform his/her job to the best of their ability.

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

• Conduct trainings and briefings to management and staff on relevant matters relating to regulatory compliance and/or controls
• Assisting in additional reviews when warranted due to the changes in the regulatory risk landscape
• Familiar with relevant laws, regulations and exchange rules
• A team player with good interpersonal, communication and analytical skills
• Strong attention to details, proactive and independent
• Able to scope, plan, lead and coach or provide supervision on projects with little or minimal supervision
• Professional certification in related disciplines preferred (CPA, CIA, CFCS, CFE, or CAMS)
• Excellent organizational skills, able to prioritize daily tasks with project work ad hoc requests

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

In my previous role, I was responsible for expert CAS and FAR advice to colleagues, especially as it relates to cost allocation and allow ability.

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 in developing compliance testing program steps in accordance with applicable laws and regulations
• Experience planning engagement annual plan, supervising staff and engagements, managing and planning budget and supervisory experience
• The drive, discipline and enthusiasm to work independently under pressure, and within tight deadlines with no loss of accuracy
• Conduct quarterly control testing (including supervisory controls) for the global Alternatives business
• Prepare management reporting of results of quarterly control testing, status of audit issue closure and ongoing project status / risks
• Participate in regulatory change project working groups and support the Alternatives COOs to consistently implement requirements by regulatory deadlines
• Coordinate with the businesses to ensure that procedures documents are updated annually
• Assist with the closure of audit and Compliance issues

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

Previously, I was responsible for quality assurance evaluation estimates on various projects, including the ability to execute vision, goals and direction of a team/teams.

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:

• Collaboration with various Compliance stakeholders to ensure the implementation of adequate and effective L2 Compliance Controls Testings for APAC that meet both BaFin and local regulatory requirements
• Developing and implementing Compliance Controls Testing programmes into an organized and risk-based work schedule to ensure effective use of the Bank’s resources
• Executing L2 Compliance Controls Testings and assisting desk reviews in Hong Kong, and providing support/guidance for desk reviews and L2 Compliance Controls Testings at the non-hub offices
• Ensuring that all issues raised in Compliance Controls Testings have adequate remediation plans that are tracked and escalated promptly and appropriately
• Management responsibility for junior staff based locally
• Participating in any appropriate regional and/or global operational committees to determine strategies and priorities for Compliance
• Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions
• Sharing best practice and learnings with Compliance Controls Testing colleagues globally