Compliance Monitoring Manager Cover Letter

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

Previously, I was responsible for direction on response to alleged violations of compliance rules, regulations, and policies with defined course of action.

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

• Support HR and BU for compliance sanction implementation
• Support Team Lead about the overall audit plan implementation and ensure the audit activity meets the business requirement
• Support the follow-up actions for all the audit findings in Business Units and Enabling functions
• Support the annual Healthcare monitoring activities in the affiliate
• Follow up with BUs for any gaps identified in Healthcare monitoring and communicate with HCO
• Perform general compliance tasks involvement in ad hoc compliance projects
• A strong understanding of the FCA Handbook - in particular COBS, CASS, SYSC, APER and AML , obtained from working in an FCA authorised and regulated firm
• Audit or Accountancy experience is advantageous

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

In my previous role, I was responsible for subject matter expertise, including ongoing training, to compliance teams on Compliance Monitoring documentation, results, and compliance risks and controls.

Please consider my qualifications and experience:

• Provide consultation and insights with engagement team leadership as to how to fully comply with independence and Firm policy requirements and enhance engagement teams’ processes for efficiency and compliance
• Lead and/or participate in project work to enhance processes policies, guides, tools, and training to support engagement teams and finance/procurement groups
• Assist in the planning, time budgeting, scheduling and execution of various monitoring procedures and project work
• Develop, train, assign workloads, and supervise seniors and staff, while motivating seniors and staff and providing them with career coaching and guidance
• Initiate discussions, meetings, and conference calls necessary to resolve independence matters while fostering teaming relationships (inside and outside of Independence organization)
• Coordinate and interact with people within the compliance function across our HQ and operating companies to complete tasks and objectives in the work plan related to building a world class compliance program
• Become aware of policies and key processes and learn about internal controls on worldwide level and operating companies
• Begin tracking the work plan to ensure the completion of tasks aimed at implementing the hallmarks of an effective compliance program and provide updates on this program to people within the global compliance function

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

In my previous role, I was responsible for subject matter expertise regarding relevant rules, laws and regulations; evaluate current documents to identify gaps and ensure that they reflect regulatory requirements.

Please consider my qualifications and experience:

• Experience developing and executing BSA/AML monitoring programs
• Strong team building, relationship management and leadership skills
• Comprehensive knowledge of applicable EASA and national regulations
• Native or similar standard of spoken and written English
• Experience in compliance monitoring and auditing is an advantage
• Compliance Auditing Techniques training is an advantage
• Good MS Office knowledge (Word, Excel, PowerPoint, Outlook)
• Strong organization, problem-solving and communication skills

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

In my previous role, I was responsible for professional expertise in contract implementation and sub-award management to ensure full compliance with donor rules and regulations and efficient coordination with the FHI 360 contracts office.

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:

• Basic understanding of equity and fixed income products and trading
• Basic understanding of financial instruments and investment products including equity, debt and derivative securities
• Self motivated individual who is eager to learn more about the financial markets and securities regulation
• Demonstrated familiarity/competency in using AML compliance monitoring systems
• Prior audit and/or quality control experience
• Prior brokerage and/or banking experience
• Lead engagement independence inspections and business relationship monitoring
• Analyze the results of the inspection procedures applied to specific engagements and business relationships and report results

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

In the previous role, I was responsible for subject matter expertise, including training, to compliance teams on compliance monitoring documentation, conclusions, and impacts to the compliance risk profiles.

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:

• Influences decisions and outcomes through effective communication
• Able to function independently in a multi-tasked environment
• Excellent analytical skills with high levels of attention to detail
• Proactive, self-starter who can work with minimal direction and supervision
• Proven organisational and time management capabilities
• Experienced compliance, risk or audit professional
• Analytical –highly analytical with experience in defining analytical approaches for projects and applying a range of analytical tools to synthesize insights and develop solutions
• Project management – able to scope projects and create workable project plans