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Head of ethics and compliance skills for your resume and career

Updated January 8, 2025
5 min read
Head of ethics and compliance example skills
Below we've compiled a list of the most critical head of ethics and compliance skills. We ranked the top skills for heads of ethics and compliance based on the percentage of resumes they appeared on. For example, 12.4% of head of ethics and compliance resumes contained risk management as a skill. Continue reading to find out what skills a head of ethics and compliance needs to be successful in the workplace.

15 head of ethics and compliance skills for your resume and career

1. Risk Management

Risk management is the method of recognizing, evaluating, and managing risks to an organization's resources and profits. Financial insecurity, regulatory liability, strategic management mistakes, incidents, and natural hazards are just some of the challenges or dangers that could arise. For digitalized businesses, IT security vulnerabilities and data-related threats, as well as risk management techniques to mitigate them, have become top priorities.

Here's how heads of ethics and compliance use risk management:
  • Conduct internal audits based on interdepartmental goals developed in management review and monitor the progress utilizing risk management during strategic planning.
  • Led executive management in the risk management framework, policies, governance structure, incl responding to regulatory scrutiny.

2. Oversight

Having oversight of someone means to monitor a process or a situation. If someone has oversight of something, they are responsible for the completion of the project. Oversight is usually given to experts as they monitor their juniors or newbies as they go through a project.

Here's how heads of ethics and compliance use oversight:
  • Drug Enforcement Agency (DEA) operations oversight along with FDA compliance in addition to Associate Director's responsibilities for promotion.
  • Implement GxP Quality Systems and provide guidance and compliance oversight to all site quality leadership teams.

3. Compliance Risk

Here's how heads of ethics and compliance use compliance risk:
  • Coordinate with the enhancements of the Compliance Risk Assessment tool - Coordinate within the department the compliance Risk Assessment.
  • Coordinated internal and external resources to ensure adequate, independent entity auditing and monitoring to identify compliance risks.

4. Compliance Program

A Compliance Program is a collection of rules, policies, and processes which are found within a company, business, organization, or some other form of an institution, all of which are created and followed with the main purpose of compliance with the laws, rules, and regulations of a country or of an industry, or to otherwise uphold some idea or reputation and quality of a company and its work. It is also known as the compliance and ethics program of a company.

Here's how heads of ethics and compliance use compliance program:
  • Credited with implementing comprehensive compliance program for region from inception through corrective action strategies tied to noncompliance issues.
  • Evaluate compliance programs for small companies and distributors.

5. Compliance Issues

Compliance issues are where people or businesses breach their legal obligations in a country or region where they operate or live. Some of the compliance issues that businesses face may be in regard to wage and overtime regulations and IRS audits. They may result in legal recourse by stakeholders like employees.

Here's how heads of ethics and compliance use compliance issues:
  • Identify and implement corrective action for any outstanding AML or BSA and OFAC compliance issues.
  • Identified compliance issues that require follow-up or investigation and assigned tasks to my team.

6. Regulatory Risk

Here's how heads of ethics and compliance use regulatory risk:
  • Developed and maintained RIA risk inventory matrix to document identified firm regulatory risks with corresponding controls that mitigate those risks.
  • Reduced regulatory risk by standardizing and administrating recommendations of discipline for Registered Representatives with regard to improper sales practices.

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7. Internal Audit

Internal audit is an evaluation process that ensures that a company's risk management, governing body, and other internal processes are running effectively. People who perform internal audits must be highly qualified, have experience, and knowledge to work accordingly with the international standards and the code of ethics.

Here's how heads of ethics and compliance use internal audit:
  • Managed outside litigation, interactions with governmental regulatory bodies, internal audits and supervision of Compliance staff.
  • Implement risk assessment reviews, including internal audits and automated surveillance/monitoring programs.

8. Regulatory Compliance

Here's how heads of ethics and compliance use regulatory compliance:
  • Lead management during targeted regulatory compliance examinations
  • Work directly with executive management and legal counsel to develop and implement information security policies and procedures for regulatory compliance.

9. Securities

Here's how heads of ethics and compliance use securities:
  • Coordinated compliance officer activities for Cash, Trade, Funds, Securities and Correspondent Clearing products.
  • Received, filed, monitored and safekept actionable loan documents, titles and loan securities.

10. Operational Risk

Operational risk stands for the risk of loss that occurs as a result of failed or ineffective internal processes, systems, and people, which can obstruct the flow of business activities.

Here's how heads of ethics and compliance use operational risk:
  • Reduced operational risk to business by analyzing audit / compliance trends and providing management with metrics, evaluation, and recommendations.
  • Conduct bank wide assessments which will include recommendations on enhancing processes mitigate operational risks in Lending and Servicing departments.

11. Global Head

Here's how heads of ethics and compliance use global head:
  • Work with Global Head of Employee Compliance in build out of new processes, systems and controls.

12. Regulatory Agencies

A regulatory agency is a Public Benefit Corporation (PBC) that is responsible for supervising certain human activities and controlling them to some extent. They are set up in some areas such as hospitals, law firms, and governmental setup to regulate safety standards. They prevent undue and unjust abuse of power in these setups.

Here's how heads of ethics and compliance use regulatory agencies:
  • Provided leadership for division, regions, markets, and individual stores/clubs while building corporate relationships with outside regulatory agencies.
  • Responded to queries and complaints from sales representatives, customers, business organizations and government regulatory agencies.

13. Compliance Policies

Compliance policies refer to the set of standard procedures and policies that staff or clients must adhere to within the company premises or services.

Here's how heads of ethics and compliance use compliance policies:
  • Facilitated adherence to the compliance policies by delivering training events and organizing workshops.
  • Monitored SEC and client-defined compliance policies and procedures to ensure all operational activities met federal and state regulatory and company requirements.

14. Anti-Money Laundering

Anti-Money Laundering or, as it is often shortened to, AML is the name of a set of laws, regulations, and similar rules and rulings which are crafted and applied with the goal of preventing people from engaging in and successfully doing money laundering.

Here's how heads of ethics and compliance use anti-money laundering:
  • Worked with application managers on access controls and business recovery plans for compliance and anti-money laundering applications.
  • Advised Senior Management and staff on regulatory issues including anti-money laundering and know your customer.

15. Internal Controls

Here's how heads of ethics and compliance use internal controls:
  • Set up internal control framework, and evaluated adequacy and effectiveness of internal controls.
  • Ensured policies of all functions complied with Prudential Regulations and internal controls.
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List of head of ethics and compliance skills to add to your resume

Head of ethics and compliance skills

The most important skills for a head of ethics and compliance resume and required skills for a head of ethics and compliance to have include:

  • Risk Management
  • Oversight
  • Compliance Risk
  • Compliance Program
  • Compliance Issues
  • Regulatory Risk
  • Internal Audit
  • Regulatory Compliance
  • Securities
  • Operational Risk
  • Global Head
  • Regulatory Agencies
  • Compliance Policies
  • Anti-Money Laundering
  • Internal Controls
  • SOX
  • Regulatory Developments
  • OFAC
  • Direct Reports
  • EU
  • Executive Management
  • Americas
  • FDA
  • Audit Findings
  • Executive Committee
  • Litigation
  • UK
  • Equities
  • External Audits
  • PCI
  • Management System
  • Training Programs
  • QA
  • ISO
  • III
  • GMP

Updated January 8, 2025

Zippia Research Team
Zippia Team

Editorial Staff

The Zippia Research Team has spent countless hours reviewing resumes, job postings, and government data to determine what goes into getting a job in each phase of life. Professional writers and data scientists comprise the Zippia Research Team.

Updated January 8, 2025

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