Chief Compliance Officer - Resume Example & Template

Resume of Chief Compliance Officer in Text Format

CHINMAY MALVIYA

Phone Number: 9953776253 I Email: info@getsetresume.com I LinkedIn: linkedin.com/company/getsetresumes 

CHIEF COMPLIANCE OFFICER (CCO) -leveraging 14+ years of experience

A compliance leader with a breadth of experience in leading compliance initiatives across diverse industries. Proven expertise in developing and implementing comprehensive compliance strategies, policies, and programs that align with regulatory requirements and uphold ethical standards. A visionary leader with a track record of building and managing high-performing compliance teams, fostering a culture of integrity, and mitigating organisational risks. 

PROFILE SUMMARY 

• Holistic approach in designing and executing robust compliance strategies that are aligned with business objectives, resulting in improved risk management, and enhanced corporate reputation.
• Expertise in crafting whistle-blower programs that encourage ethical and timely reporting of compliance concerns.
• Known for navigating complex regulatory landscapes, ensuring full organizational compliance with relevant laws and regulations.
• Seamlessly works across executive leadership, legal, risk management, and audit functions to align compliance efforts with broader organisational goals.
• Demonstrates resilience and decisiveness during crisis situations, effectively implementing crisis communication and mitigation plans to safeguard reputation and minimise damage.
• Adept at assessing and enhancing compliance programs, adapting to evolving regulatory landscapes and industry best practices to ensure optimal risk management.

CORE COMPETENCIES

• Organisation-wide Compliance Leadership
• Compliance Testing & Reporting
• Compliance Training 
• Risk Assessment and Mitigation
• Crisis Management
• Stakeholder Management
• Policy Development and Implementation
• Stakeholder Engagement
• Team Leadership 

PROFESSIONAL EXPERIENCE 

Targus Group, Allahabad | Jan 2021 - Present 

Chief Compliance Officer (CCO)

• Developing and communicating the company's compliance vision, strategies, and objectives that align with business goals.
• Leading the creation of integrated compliance plans that encompass regulatory adherence, risk management, and ethical practices.
• Ensuring compliance with applicable laws, regulations, and industry standards that are updated with latest industry trends are applied across all company operations.
• Updating on changes in regulatory landscapes and assessing their impact on the organisation.
• Developing and implementing compliance policies, procedures, and controls to mitigate risks and maintain a culture of integrity.
• Identifying and assessing compliance risks and developing strategies to mitigate them.
• Establishing and monitoring key risk indicators, moreover, proactively addressing potential compliance issues, that may affect the organisation.
• Developing compliance training programs and educating employees on regulations, policies, and ethical conduct.
• Implementing and managing whistleblower programs that allow employees to report potential violations confidentially.
• Partnering closely with executive leadership, legal teams, risk management, and internal audit functions to align compliance efforts with broader company goals.
• Overseeing internal investigations into potential compliance breaches and recommending appropriate corrective actions.
• Assessing and enhancing the effectiveness of compliance programs and processes.
• Implementing best practices and lessons learned from industry benchmarks.

Birla Group, Allahabad | May 2014 - Dec 2018

Director-Compliance

• Developed and executed a comprehensive compliance strategy that aligns with the organisation's objectives and regulatory requirements.
• Oversaw all aspects of the compliance function, including policies, procedures, and controls.
• Ensured the organization's compliance with relevant laws, regulations, and industry standards.
• Developed and maintained compliance policies, procedures, and guidelines that address various aspects of the business.
• Collaborated with cross-functional teams to ensure policies are effectively communicated and understood.
• Identified potential compliance risks and vulnerabilities, and developed strategies to mitigate them.
• Designed and implemented compliance training programs to educate employees on regulatory requirements and ethical conduct.
• Provided guidance and support to teams regarding compliance best practices.
• Implemented initiatives that encourage employees to raise compliance concerns and reported violations.
• Prepared and submitted required compliance reports to regulatory agencies and relevant stakeholders.
• Collaborated closely with legal, risk management, and internal audit teams to align compliance efforts and objectives.
• Oversaw investigations into potential compliance breaches and guided corrective actions.

Qwerty Corporation, Allahabad | May 2010 - Apr 2014

Assistant Director-Compliance

• Assisted the Director of Compliance in developing and executing compliance strategies and initiatives.
• Contributed to the development and maintenance of compliance policies, procedures, and controls.
• Supported efforts to ensure the organization's compliance with applicable laws, regulations, and industry standards.
• Assisted in monitoring regulatory changes and assessing their impact on business operations.
• Participated in the implementation of compliance policies and guidelines across the organization.
• Collaborated with cross-functional teams to ensure policies are effectively communicated and followed.
• Contributed to identifying potential compliance risks and vulnerabilities and assist in developing strategies to address them.
• Assisted in designing and delivering compliance training programs to educate employees on regulatory requirements and ethical conduct.
• Supported initiatives that encourage employees to raise compliance concerns and report violations.
• Assisted in preparing and submitting compliance reports to regulatory agencies and stakeholders.
• Worked closely with the compliance team, legal, risk management, and internal audit functions to support aligned compliance efforts.
• Contributed to discussions and recommendations on compliance strategies.

ACADEMIC CREDENTIALS 

EDUCATION: 

• Master of Business Administration, National Institute of Management, Lucknow, Jul 2001 – Apr 2003
• Bachelor of Business Administration, Trinity Institute of Technology & Management, Allahabad, Jul 1998 - Apr 2001 

PERSONAL DOSSIER

Languages Known- English, and Hindi