Compliance Officer Resume Samples

Williams,

Contact No : 1234567891,
E-mail : [email protected],
Present Address : Chennai.

CAREER OBJECTIVES

• A solution focused Compliance Officer with 17 years of experience overseeing the compliance functions pertaining to Sarbanes Oxley and COSO standards.
• Recognized for maintaining and keeping track of developments in the regulatory and governance environment.
• Proactive in imparting knowledge in the areas relating to Corporate Governance and Ethics.
• Highly adept in identifying gaps and risks in Operations & Commercials as well as developing and implementing strong systems of checks and balances.

EDUCATION

SKILLS

• Sarbanes Oxley compliance
• Internal Audit
• Ethics, COSO

WORK EXPERIENCE

1.) Compliance Officer

Company Name-Location – May 2007 to Present

Responsible for handling Compliance & Ethics for India Operations. (Since May 2007) Amec Foster Wheeler is a global Engineering, Procurement, Construction contractor in oil & gas, clean energy, environment & infrastructure and mining markets, having offices in two locations and several operating sites in India.

Roles & Responsibilities:

Compliance:

• Part of Compliance strategy formulation team at corporate level.
• Implement Policies, Procedures and Practices to ensure compliance with all laws and regulations for the entity including but not limited to ICFR.
• Management of Delegation of Authority and approval matrices across the entity.
• Imparted knowledge on governance, anti-bribery law (FCPA and UK Bribery Act) to Process owners and refresher training conducted for all employees.
• Well versed in handling compliance and ethical related issues.
• Conducted Due diligence of Suppliers and Customers across the entity.
• Ensure commercial contracts include a strong positioning of AMECFW Governance program to enable contract wins.
• Carry out several management audits, time to time as part of process improvements

Sox Implementation and audit:

• Strategize and implemented Sarbanes Oxley (SOx) compliant for Amec FW India Operations.
• Analysed control weaknesses and implemented remedial actions.
• Implemented Sox and internal controls in the areas of Project Management and Delivery including Procurement, Finance, Human resources.
• Carried out Early Warning Testing, Control framework testing, Year-end testing and Management audits were conducted on need basis.
• Liaise with external auditors for smooth and effective conducting of management audits.

2.) Process Officer

Company Name-Location – 2014 to 2015

Roles & Responsibilities:

• Maintenance of score card and flash reports of the Shared services.
• Gap analysis of the internal controls and monitored remediation.
• Internal audits on SOX and ISMS were conducted across the projects.
• Team leader for AP process, Managed a team of 25 members.
• Monthly appraisals were taken care for the team members and also involved in the setting up of benchmarks
• Successful migration of Accounts payable process from UK.
• Complete standardization and documentation of Knowledge Acquisition Plan and procedures and
• implementation of process improvements.

ADDITIONAL INFORMATION

• Certified as Distinguished Toastmaster (DTM) by Toastmasters International.
• Instrumental in conducting Youth Leadership programs.
• Mentored more than 25 toastmasters.