Monitoring & Testing Cover Letter

Please consider me for the monitoring & testing opportunity. I am including my resume that lists my qualifications and experience.

Previously, I was responsible for intelligence to the platform via regular awareness to the operations teams on Short selling rules, position monitoring, and more generally regulatory impacts and rules working closely with Compliance.

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

• Knowledge of database types and query languages
• A global mindset and experience dealing with stakeholder requests and presenting resolutions across departments and functions, establishing a culture of engagement
• M&T tests the supervisory, administrative and operational controls associated with policies and procedures and independently assesses and reports on areas of potential reputational or regulatory risks
• Experience in M&T planning and execution
• Experience in developing risk-based compliance testing and monitoring programs in accordance with applicable laws and regulations
• Excellent understanding of financial services regulatory requirements and current regulatory developments (e
• Provides leadership and specialist knowledge to Examiner, Managers, and others on Compliance matters
• Experience working in Compliance and Regulatory environment including testing & monitoring strongly preferred

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

In the previous role, I was responsible for leadership and strategic direction to the project team to define and translate business process based requirements and business rules for system development & testing.

Please consider my qualifications and experience:

• Proficiency in Oracle enterprise and SQL Server environments
• Interest in privacy policy and privacy by design
• Reporting metrics experience
• Experience in business analysis and reviewing technical documents
• Intermediate Access proficiency
• Experience identifying and resolving complex technical problems using decision-making, field experience, and judgment
• Possess effective written, verbal, feedback, and communication skills to effectively communicate technical information with a diverse set of employees and subcontractors
• Current OSHA HAZWOPER certification

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

In my previous role, I was responsible for strategic direction and leadership to the Regulatory Monitoring and Risk team and lead the team in the development of an annual schedule of monitoring and other related activity which ensures business compliance with regulatory requirements for the development of qualifications and other related activities.

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 managing and developing a small team
• Advanced PC Skills including Microsoft Excel, Access, Word, PowerPoint and SharePoint
• Strong analytical skills, metrics design/development and reporting
• Able to deliver projects consistently, problem solve and clearly articulate key messages
• Records management experience preferred
• Prefer some experience in implementing FCPA, UK Bribery
• Strong written and verbal communication and presentation
• Professional designation such as CPA, CIA or CISA preferred

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

In the previous role, I was responsible for strategic direction and leadership to the Regulatory Policy and Monitoring team and lead the team in the development of an annual schedule of monitoring and other related activity which ensures business compliance with regulatory requirements for the development of qualifications and other related activities.

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

• Understanding of Audit / Compliance Testing principles and workflow
• Insurance, banking or financial industry and/or Investments experience in an audit related field is preferred
• Proficiency in Microsoft Office (Excel, Word, PowerPoint, and Access), Visio (for process map) and other audit software tool
• Knowledge of, and working experience with, key Data Analytics tools (e.g., Tableau, SQL, SPSS)
• Attention to detail, strong analytical, written and communication skills
• Working knowledge of applicable Federal and Provincial Insurance regulatory requirements for various distribution channels (direct, third party and bank-authorized) OSFI, FCAC, CLHIA guidelines and how they apply to BMO Insurance operations
• Completion of related post-secondary or continuing education courses
• Privacy or Audit experience

Please consider me for the monitoring & testing opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for advice and guidance to investment personnel on investment guideline rules and regulatory requirements governing investments (including portfolio managers, research analysts, traders and assistants) – in person, hotline and email support.

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

• Critically assessed compliance risks, reviewed mitigating internal controls and compliance procedures, and proposed new effective and efficient measures to remediate risks and control deficiencies
• Been the lead in cross-functional team projects that cut across compliance monitoring, assessments and testing and involve other risk assurance functions for example legal team, ERM or internal controls
• Flawless spoken and written English
• Developing consistent, executable, and sustainable framework, reporting, and implementation strategies for control, monitoring & testing activities across multiple risk stripes
• Directly support R&BB lines of business on implementation and execution of control and monitoring and testing programs through projects and functional assistance
• Works well and collaboratively on a small, flexible team
• Expertise in MS Office, including, excel and PowerPoint
• Partners with assigned HCCO’s from all sectors and Privacy Officers (PO’s) to develop the annual and special needs testing plan