Senior Manager, Compliance Cover Letter

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

Previously, I was responsible for regular and structured reporting on regulatory developments and the compliance status of the business to senior committees.

Please consider my experience and qualifications for this position:

• To respond to any changes in the organisational structure as dictated by business needs/requirements
• Engineering background – to ONC/HNC level or equivalent
• Previous in depth experience in auditing compliance
• Knowledge of compliance and enforcement monitoring systems, emerging technologies, and techniques for the successful delivery of systems that effectively support road safety
• Knowledge of road regulatory services industry and issues
• Six Sigma, LEAN or other equivalent credentials preferred
• Experience in six sigma, project/program management and/or business transformation in implementing legal, compliance, audit, or risk initiatives in a global organization
• Broad operational and compliance knowledge of company operations and business model, specifically regarding the areas of legal, audit, controls, contracts or regulatory compliance

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

Previously, I was responsible for leadership to ensure collaboration between Canadian Banking functions and business units to assure that regulatory developments and other regulatory initiatives that impact one business are identified and appropriate action taken.

Please consider my experience and qualifications for this position:

• The individual should possess a strong network of peers within the industry and be able to interpret regulatory changes and information and their relevance to the business
• Proficient in MS Excel, PowerPoint, Word, and SharePoint
• Able to solve complex compliance issues while exhibiting sound judgement and objectivity
• Excellent verbal and written communication skills that are effective with the appropriate tact and diplomacy for all levels of the organization for outside counsel
• Strong, independent ethical decision making with a demonstrated commitment to integrity and compliance
• Appreciate diversity in a multinational firm and being inclusive
• Absolute commitment to integrity
• Fund industry licence holder

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

Previously, I was responsible for regulatory advisory and support to business initiatives and projects in particular providing advice on regulatory and corporate compliance requirements.

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:

• Dynamic communication skills, executive presence
• Possess technical proficiency to direct and implement innovative tools and control schemes to minimize disruption while maximizing compliance direction and measurement
• Model high Integrity and Ethics
• Broad and varied knowledge of the asset management industry
• Flexibility and comfort with ambiguity are essential
• Comfortable with taking responsibility
• Professionally qualified risk and/or compliance professionals
• Strong understanding of key risk areas in scope

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

In my previous role, I was responsible for guidance and oversight to ensure compliance to all applicable Amazon EHS Policies and Canadian regulatory requirements.

Please consider my qualifications and experience:

• Monthly Preparation of Monthly Headcount with Synposis and Reports
• Completion of Payroll for all locations and disbursement of salaries to the employees within the stipulated TAT
• Daily HR Operations, Query Handling and Team Management activities
• Should be familiar with recent payroll related rules and taxes
• Managing Personal File
• Should have experience handling a team of 10-15 associates
• Has handled Payroll for 15000+ employees
• Provides technical and leadership support to associates and clients

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

In my previous role, I was responsible for strategic and tactical regional regulatory advice and guidance to teams to achieve timely and efficient conduct of development programs while maintaining full compliance with applicable regulatory requirements.

Please consider my qualifications and experience:

• Assess and monitor promotional and non-promotional business activities, including conducting live monitoring and leading transactional reviews
• Oversee work of vendors assisting in this space
• Manage the record review processes for transactional monitoring, including collaborating cross-functionally to identify and gather relevant supporting records, conducting records reviews to assess compliance with policies/procedures and escalating potential concerns
• Accurately and completely document monitoring and auditing results and findings, gather supporting information and prepare dashboards of key trends and findings for communication to Compliance Officers and/or relevant management
• Collaborate with others in the Compliance organization and relevant business stakeholders to identify areas of risk, monitoring opportunities and areas of improvement for Compliance and/or operational activities such as enhancements to policies/procedures, processes, training or technology
• Active, productive and collaborative member of Compliance Department who works well across functions, lines of business and geographies
• Auditing or monitoring experience is preferred
• Experience using analytical tools for data analysis