Risk & Compliance Manager Cover Letter

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

In the previous role, I was responsible for advice to global business units on specific requirements to align business requirements with relevant global security frameworks, standards, policies, and procedures.

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:

• Assist in developing controls and mitigation plans, and oversee their implementation
• Drive and participate in policy and standards development and management activities
• Advise senior management on techniques for optimizing the risk profile of their function
• Facilitate reporting on risks, findings, mitigation plans, and controls performance
• Drive compliance related initiatives
• Report on the regular basis to the Head of Risk & Compliance on the risk profile and controls status of assigned business groups
• Maintain Key Risk Indicators for the assigned core business groups
• IT audit/risk management, with examples of managing risk and compliance within an organisation

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

Previously, I was responsible for the business with compliance expertise, advice and guidance on all UK regulatory matters (excluding financial crime).

Please consider my experience and qualifications for this position:

• Understanding of domestic and international compliance requirements such as OFAC, KYC, AML, and PSD2
• Experience managing fraud and credit risk for large-scale money movement systems
• Familiarity with third-party identity verification and risk assessment vendors
• Strong knowledge in either Regulation, Compliance/AFC or Risk Controlling
• Proven track record of formulating and implementing risk management strategies and
• Operating practices
• Proven track record of implementing organisational and local Quality Management
• Experience of managing own workload with limited supervision and working under

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

In my previous role, I was responsible for advice to Hong Kong business units on the implication of new regulations and track the business units’ implementation of processes to meet the regulations.

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

• Front, Middle, & Back office knowledge
• Banking and/or Financial Services industry experience is preferred
• Fluency & extensive experience IT auditing and controls, preferable with PCI-DSS (Payment Card Industry - Data Security Standards), SOX, SSAE 16 - SOC 1 & SOC 2, ISAE3402, NIST, ISO 27001 & ISO 27002
• Experience in product and process management, implementation of governance and controls, operational risk management oversight or related functions
• Commits and executes to established timelines
• Positive, energetic, motivated and motivator for the team
• Pro-active and analytical problem-solving skills
• English and Dutch business proficient

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

Previously, I was responsible for guidance to stakeholders on relevant new legislation and regulations applicable to Brewin Dolphin’s business activities and detailed focus on Financial Planning and Brewin Dolphin’s managed portfolio services.

Please consider my qualifications and experience:

• Knowledge of the IT technologies, operations and finance organizations
• Coordinate day-to-day operations and administering company policies and procedures through subordinate exempt and non-exempt staff
• Manages departmental financial and operational goals and objectives
• Manages the development, implementation, maintenance and enforcement of information policies and practices for specific product areas
• Manages the documentation of compliance controls to maintain compliance
• Manages audits of business unit processes to enforce compliance
• Provides compliance advice and assistance to internal personnel and affiliate bureaus to ensure the appropriate application of laws, regulations and policies in their operations
• Knowledge of PC desktop applications

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

In the previous role, I was responsible for consulting services to business leaders on best practices on configuration issues balancing the system capabilities and business requirements;.

Please consider my experience and qualifications for this position:

• Actively manage and monitor incidents (includes - root cause analysis, action plan/rectification, preparing breach letters for regulators etc)
• Work with group compliance and Line 2 (ERM) teams to ensure that all relevant regulatory obligations (SIS Act, Corps Act etc) that SRI needs to comply with have been identified and that correct controls have been aligned to each obligation, and
• Be a 1st line risk partner on strategic projects / initiatives
• Excellent experience in Risk and Control identification and assessment (including process mapping, risk profiling, control testing etc)
• Strong communication (verbal and written) and interrelationship skills
• Able and willing to travel to various Carters office locations as necessary
• Understanding of blending plant operation and processes
• Committed to quality, willingness to challenge current practice and innovate, continuous improvement mindset