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Glenn Coleman
Compliance Investigator
Summary
A seasoned and highly proficient Compliance Investigator with a proven track record of ensuring adherence to regulatory and ethical standards across all facets of business operations. Adept at conducting thorough compliance investigations, identifying and assessing risks, and providing expert guidance to business units on best practices. Possesses a deep understanding of regulatory requirements and industry trends, leveraging this knowledge to develop and implement effective compliance frameworks that mitigate potential issues and maintain compliance with internal policies, industry standards, and government regulations. Committed to fostering a culture of ethical behavior and accountability within the organization.
Education
Bachelor of Arts (B.A) in Accounting
November 2016
Skills
- Due Diligence
- Regulatory Compliance Investigations
- Financial Analysis
- Fraud Detection
- Data Analytics
- Internal Audit
Work Experience
Compliance Investigator
- Collaborated with external auditors and regulators to ensure compliance with industry standards and government regulations.
- Led compliance training programs for employees, educating them on ethical responsibilities and regulatory requirements.
- Developed and maintained an uptodate compliance library, including policies, procedures, and regulatory updates.
- Monitored industry trends and emerging regulations to stay abreast of compliance changes.
Compliance Investigator
- Developed and implemented a compliance framework for all aspects of business operations, ensuring adherence to regulatory and ethical standards.
- Conducted thorough investigations into alleged compliance violations, interviewing witnesses, analyzing documents, and presenting findings.
- Identified and assessed compliance risks, recommending corrective actions to mitigate potential issues.
- Provided expert guidance to business units on regulatory compliance requirements and best practices.
Accomplishments
- Successfully investigated and resolved over 50 compliance violations, resulting in significant cost savings for the organization
- Developed and implemented a new compliance training program that reduced employee misconduct by 20%
- Conducted over 100 compliance audits, identifying and resolving potential risks that could have resulted in legal or regulatory penalties
- Testified as an expert witness in several compliancerelated cases, providing valuable insights and analysis
- Led a team of compliance investigators in conducting a comprehensive review of a thirdparty vendors compliance program, ensuring compliance with all regulatory requirements
Awards
- Compliance Investigator of the Year Award, presented by the Compliance Professionals Association
Certificates
- Certified Compliance and Ethics Professional (CCEP)
- Certified Fraud Examiner (CFE)
- Certified Internal Auditor (CIA)
- Certified Information Systems Auditor (CISA)
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How To Write Resume For Compliance Investigator
- Highlight your experience in conducting thorough compliance investigations and uncovering violations.
- Quantify your accomplishments whenever possible, using metrics to demonstrate the impact of your work.
- Showcase your knowledge of regulatory compliance requirements and industry best practices.
- Emphasize your ability to communicate effectively with stakeholders at all levels, including senior management, business units, and external auditors.
Essential Experience Highlights for a Strong Compliance Investigator Resume
- Developed and implemented comprehensive compliance frameworks that encompass all aspects of business operations, ensuring adherence to regulatory and ethical guidelines.
- Conducted thorough investigations into alleged compliance violations, employing a systematic approach to gather evidence, interview witnesses, analyze documents, and present findings.
- Identified and assessed compliance risks proactively, recommending corrective actions to mitigate potential issues and enhance overall compliance posture.
- Provided expert guidance and support to business units on regulatory compliance requirements and best practices, ensuring alignment with internal policies and external regulations.
- Collaborated with external auditors and regulators to ensure compliance with industry standards and government regulations, fostering transparent and cooperative relationships.
- Led compliance training programs for employees, educating them on ethical responsibilities, regulatory requirements, and the importance of maintaining compliance.
- Continuously monitored industry trends and emerging regulations to stay abreast of compliance changes and proactively address potential risks.
Frequently Asked Questions (FAQ’s) For Compliance Investigator
What are the primary responsibilities of a Compliance Investigator?
Compliance Investigators are responsible for ensuring that organizations adhere to regulatory and ethical standards, conducting investigations into potential violations, identifying and mitigating risks, providing guidance on compliance requirements, and fostering a culture of ethical behavior.
What qualifications are required to become a Compliance Investigator?
Typically, a Bachelor’s degree in Accounting, Finance, or a related field is required. Additionally, strong analytical, investigative, and communication skills are essential.
What are the career prospects for Compliance Investigators?
Compliance Investigators with experience and expertise can advance to senior-level positions, such as Chief Compliance Officer or Director of Compliance.
What industries employ Compliance Investigators?
Compliance Investigators are employed in various industries, including financial services, healthcare, pharmaceuticals, and technology, where adherence to regulatory requirements is crucial.
What are the challenges faced by Compliance Investigators?
Compliance Investigators face challenges such as staying abreast of constantly evolving regulatory landscapes, managing complex investigations, and balancing the need for compliance with the demands of business operations.
How can I enhance my skills as a Compliance Investigator?
To enhance your skills, consider pursuing certifications such as the Certified Compliance and Ethics Professional (CCEP) or Certified Fraud Examiner (CFE), attending industry conferences, and engaging in continuous professional development.