Control & Compliance Cover Letter

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

In the previous role, I was responsible for consulting services in the areas of internal control standards and operational policies and procedures with management, where appropriate.

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

• Critical, quick, detail-oriented thinker with strong analytic acumen
• Cooperation and focus in achieving group and business objectives
• Strategic or Creative Marketing experience preferred
• Experience with the US Office of Foreign Bank
• Experience with Insider Trading or Control Room
• Knowledge in SAP and other Finance & Procurement systems is highly desirable
• Operational work in Finance (practical knowledge of processes like Purchase to Pay )
• Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment

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

In the previous role, I was responsible for technical consultation to control owners and process owners on SOX compliance, internal control requirements and implementation of key and operational controls (both Business and IT).

Please consider my experience and qualifications for this position:

• Maintaining the insider register and corporate stock list
• Approval of financial promotions and research
• Management of the PA dealing process
• Maintaining the gifts and hospitality register
• Identifying and reporting potential breaches to management
• Preparation of management information for senior management and the Risk and Compliance Committee
• Knowledge and experience of a similar wholesale professional services firm
• Experience of producing written reports

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

Previously, I was responsible for input and assist the Mumbai Internal Controls team in the development of testing and tyre kicking programs of control tools, reports, and processes.

Please consider my experience and qualifications for this position:

• Interpret complex laws and regulations
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules • Excellent verbal and written communication skills
• Ensure that the Americas Control Room has the support and training to enable them to implement the Information Barrier policies & procedures and to create awareness regarding changes in the relevant regulatory requirements
• Perform and document detailed supervisory reviews of the Control Room responsibilities
• Coordinate with Global Control Room colleagues and ensure that business requirements in the region and local regulatory requirements are reflected in global procedures or policies that are adopted
• Maintain a continuous dialogue with other regional Control Rooms to ensure that policies and procedures followed by the Americas Control Room are consistent with those followed globally to the extent permissible by local regulations and market practice
• Keep up to date with developments in applicable laws, rules and standards
• Assess and advise on the implications, and implementation, of new circulars, guidelines, consultation papers, rules, enforcement cases and regulations issued by regional regulators

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

In the previous role, I was responsible for deep knowledge and support on internal controls over financial reporting for assigned business process and IT processes, supporting management in their compliance with the requirements of the Sarbanes Oxley Act.

Please consider my experience and qualifications for this position:

• A keen sense of priorities in a highly ambiguous environment
• Strong working knowledge and experience with Customs and Border Protection (CBP), US import and export compliance policies and audit procedures
• Strong proficiency with Microsoft Word, Excel, and Access
• Experience working in a highly regulated environment (preferably in medical device manufacturing)
• Experience with internal audit, public accounting, or consulting is highly desirable
• Good administrative skills (inventory updating, structured note taking)
• Good verbal, written, interpersonal, organizational and communication skills
• Experience with Deviation/CAPA, Change Control and Good Documentation Practices

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

In my previous role, I was responsible for support to the Shared Services control process by partnering with Shared Services Leadership control owners within Shared Services Processes and Controls Excellence Team (CET) to maintain and continually monitor required internal controls and supporting documentation (Risk and Controls Matrices – RCM’s) to mitigate financial risks associated with transactions and processes managed within Shared Services.

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:

• Financial services testing experience across multiple business areas (Auto, Mortgage, Insurance, Deposits)
• Methodical approach to complex environment
• Fully Qualified ACCA/CIMA/ACA/CPA
• CPA or MBA or local equivalent preferred
• Experienced at working with complex departments
• Superior oral and written communication skills and in-depth knowledge of auditing and accounting principles
• Working experience with a Big 4 Firm is preferred
• Experience working in compliance or related field at a financial organization and/or in a regulatory agency charged with sanctions oversight