Officer Resume

Compliance Officer Resume Samples

Williams,

Contact No : 1234567891,
E-mail : williams@gmail.com,
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
Course (Stream)/ Examination
Institution/University
Month/ Year of Passing
Performance
M.Com (FM) in Financial Management

MVJ College- Chennai

2002

81%

B.COM

Arignar Anna Arts College – Chennai, Tamil Nadu

1999

78%

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.