Controls & Compliance Cover Letter

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

In the previous role, I was responsible for training for staff, IT and business personnel on topics such as SOX documentation, Access Controls, proper reconciliations, close checklist, SOX compliance, and SEC reporting.

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 of developing and implementing key elements of a compliance and ethics programme, including organisational leadership and culture
• Prior experience working with support groups and process improvement techniques such as Kaizen, Lean and Six Sigma
• Compliance training and/or certifications
• Green and/or Black Belt in Lean and Six Sigma
• Proficiency in Advanced Excel (Pivot Tables, VLookUps) and dashboard / report graphs
• Strong background and knowledge in controls management familiarity with issue management or audit best practices
• Good understanding of application and automated controls
• External Audit Practice – preferably Big 4 with experience of working with Global businesses and leading audits of companies with Sarbanes Oxley reporting requirements

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

Previously, I was responsible for supporting documentation related to SOX controls on auditors request and build and manage SOX improvements plan.

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

• Accounting and/or qualification, CIA, ACCA, CPA
• Consumer financial and/or auto lending/leasing industry experience, including good knowledge of auto leasing front office and back office operations and compliance requirements
• Strong working knowledge of operational, compliance, and financial risk management and industry practices
• A “driver” personality - biased toward action, great collaborator and master
• Experience in successfully developing, writing, and implementing policies and procedures helpful
• Has back-office knowledge/experience including but not limited to Transaction Processing, Electronic Payment Services, and Auto Leasing (Originations, Servicing and Recovery)
• Certification (CPA, CIA, CRCM, CBA, CISA, and/or CFE) helpful
• Experience in Quality or Compliance preferred

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

In the previous role, I was responsible for subject matter expertise to quantify SOX compliance within the business and enforces adherence to policies, procedures and guidelines.

Please consider my qualifications and experience:

• Proven experience of cross functional working
• Proven experience with a track record of building, developing and sustaining relationships with key stakeholders
• Exposure to process improvement is a bonus
• Exposure to assessment of process controls is a bonus
• Good accounting knowledge is an advantage
• French and English mandatory (spoken and written)
• Excellent computer skills with advanced knowledge of MS Office (Excel, Outlook and PowerPoint)
• Excellent and effective interpersonal and communication skills (written and oral)

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

In my previous role, I was responsible for thought leadership and develop strategies to administer/manage the SOX program for CME's expanding global presence and in compliance with SOX.

Please consider my qualifications and experience:

• Experience with reading and understanding franchise, management and lease agreements, and evaluating legal and business issue
• Experience in internal and/or external controls
• Virtual Leadership
• Prefer auditing experience to consist of internal controls across departments
• Fundamental technical knowledge of applying and researching GAAP and IFRS to ensure reporting standard compliance
• Prior experience in implementing or executing internal controls within an organization as to quickly gain a thorough understanding of Novartis Financial Controls, and Sarbanes-Oxley requirements
• Possesses and demonstrates a mature sense of urgency, ownership, can-do attitude, and does whatever-it-takes to delivery results accurately and timely in a dynamic work environment
• SAP knowledge – Finance Module will be an added advantages

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

Previously, I was responsible for support to implement and administer ITGC SOX Controls, including audit support and coordination of audit requests.

Please consider my experience and qualifications for this position:

• Experience in Quality or Compliance systems and implementation of Quality or Compliance tools including Six Sigma principles preferred
• Experience in implementation of formal quality or compliance systems strongly preferred
• Knowledge of consumer regulations, including Privacy and Fair Lending
• Knowledge of regulatory compliance risk within financial service institutions from either direct, consultative, and/or supervisory experience(s)
• Bachelor or Masters in computer science, technology or related field
• Knowledge of C++/Java
• Proficient in local Thai and English is mandatory as this role will require constant communication and dealings with our business partners and counterparts in the region
• Expertise in evaluating the design and effectiveness of IT controls over system development/change management, logical and physical access, and IT infrastructure security