Compliance Division Cover Letter

Please consider me for the compliance division opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for advice and counsel to supervisory personnel and senior management related to securities and investment advisory issues.

Please consider my qualifications and experience:

• Mastery of critical project management skills, including budget management
• Strong knowledge of MS Office applications, especially Excel
• Monitor that surveillance reviews are being performed properly from a qualitative and
• Demonstrated understanding of research administration processes
• A133 audit and compliance experience
• Competency with financial systems and Word, Excel, and other MS Office applications
• Strong accounting, verbal, and written communication skills
• Preference for work experience in university or hospital setting with a medical research facility

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

In my previous role, I was responsible for daily advisory support to the asset management businesses and also represent Compliance on projects and initiatives related to asset management.

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

• Proficiency using visualization tools (Tableau, Qlikview, or Birst) or BI software preferred
• Statistical testing
• Regression modeling
• Model/Statistical Analysis document
• SAS programming experience and Statistics knowledge
• Exposure to the regulatory and legal issues facing the asset management industry
• Attention to detail and computer literacy (knowledge of Word, Excel and PowerPoint, SharePoint, Lotus Notes/MS Outlook and similar tools)
• Provide advice, guidance and insight to compliance and business teams on operational issues or emerging consumer compliance issues

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

In the previous role, I was responsible for training to the management on the understanding of securities legislation, and analyze various reports and disclosure documents to determine compliance with securities legislation and internal 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:

• Compliance or legal role at a private equity firm, an investment bank, securities company or a law firm
• Experience with private equity transactions, Equity Capital Markets, Debt Capital Markets, M&A, Derivatives and/or Structured Products transactions
• Be detail-oriented and able to produce quality work product, even when working under tight time frames
• Oversee and monitor the effectiveness of the Company’s Compliance program (described in Establish, Embed and Enforce below), and lead the way to maintain a culture of Compliance and ethical business practices in the Company
• Build a high-caliber Compliance team and organization that enables the effectiveness of the Compliance program (described in Function below)
• Facilitate the oversight of the implementation and effectiveness of the divisional compliance program
• Chair a cross-functional divisional compliance committee to advise the Division Integrity & Compliance Head- NIBR, drive the compliance program and oversee risk management within the scope of the integrity and compliance program
• Continue to build upon the Company’s current compliance program and enhance it, and ensure that the Compliance Program meets or exceeds all regulatory requirements/guidance while minimizing corporate risk and being viewed as a critical partner to the Company’s business

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

Previously, I was responsible for guidance on proper applications and interpretation of laws and regulations applicable to the sales and marketing activities for the asset management business and advise on regulatory related areas for in-country and out-country cross border activities for Singapore and Southeast Asia businesses.

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

• Work with other senior management to perpetuate a “tone at the top” that currently reflects the Company’s commitment to ethical and legal business conduct, and compliance with the letter and spirit of the law in all aspects of the Company’s operations
• Develop and maintain collaborative relationships with global/regional/local business leaders to ensure understanding, and support for compliance activities
• Develop and maintain external networks and influence through participation in industry organizations and associations and, together with leaders, drive the division and Novartis group to become a leader in integrity and compliance
• Advise the NIBR President and Leadership Team regularly regarding Compliance obligations, risks and risk minimization strategies, actual or potential compliance-related issues, investigation and resolution of such issues, and corrective actions
• Extensive previous experience in Compliance Field
• Global and Regional / Local experience in healthcare industry
• Experience with privacy requirements, such as Model Clauses, GDPR, and related security and privacy policies, processes, and regulations an advantage
• Advanced analysis skills, forecasting, and complex modeling

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

Previously, I was responsible for oversight of Freddie Mac’s securitization businesses and operational teams to ensure compliance with Corporate Policy 4-400 (Mortgage Related Securities Policy), the Trustee Standard, and other applicable 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:

• Ensure the Bank maintains a sound portfolio with respect to compliance with state and federal laws and regulations and Bank lending or deposits policies and procedures
• Oversight of resolution of identified or escalated matters
• Supporting process chance management, including advising on compliance requirements
• Supporting technology enhancement to facilitate business and compliance processes
• Developing and providing training
• Approving operational enhancements and remediation activities to address risk and enhance customer experience
• Provide and analyze trends and periodic reports detailing risk-related process gaps
• Demonstrable experience working with consumer finance operations, with a specific focus on providing effective training programs and oversight