director ethics risk compliance resume example with 20+ years of experience

Jessica Claire
, , 100 Montgomery St. 10th Floor (555) 432-1000,

Seasoned professional motivated to positively impact program operations and participant in success with diligent support. Well-trained in pharmaceutical compliance with dedication to continuously enhancing strategies and optimizing compliance within commercial and medical functions. Highly organized and hardworking with strong attention to detail.

  • Legal and Regulatory Compliance
  • PhRMA Code Compliance
  • OIG Guidelines and Compliance
  • Board Reporting
  • Relationship Building
  • Compliance Evaluations and Improvements
  • Non-Compliance Assessments and Investigations
11/2016 to Current Director, Ethics Risk & Compliance New York Institute Of Technology | New York, NY,
  • Reliable advisor and subject matter expert in healthcare compliance by analyzing, researching, interpreting and clearly communicating business and regulatory information and compliance advice.
  • Engaged in CIA Implementation
  • Drove initiative to embed compliance directly into US Medical Affairs function.
  • Prepared and presented periodic and annual compliance initiative reports to leadership and governing boards.
  • Served as Secretary Corporate Compliance Committee.
  • Facilitated annual cross-functional risk assessment.
  • Standing member of the Patient Services Governance Committee.
  • Developed an enhanced understanding of healthcare compliance and privacy/information security requirements by creating understandable codes of conduct/ethics and policies/procedures and delivering engaging and effective in-person and on-line training/educational programs.
  • Member of the Novartis Emergency Management Team.
04/2012 to 11/2022 Associate Director Audit & Monitoring | City, STATE,
  • Developed and conducted annual comprehensive unit-wide risk assessment.
  • Developed and executed Corporate Compliance audit/monitoring plan to ensure compliance with global policy infrastructure, including field force monitoring, ad boards, speaker programs, promotional materials review procedures, T&E expenses, trade shows, national sales meetings, donations, as well as the monitoring/auditing of policies governing medical, R&D, and regulatory departments.
  • Conducted 3rd Party Vendor audit/reviews in the area of drug samples and promotional material distribution.
  • Established an e-mail monitoring program.
  • Communicated non-compliance and observed deviations to senior executive management. Provide suggested process/procedural changes to help prevent further deviations.
  • Reported overall findings and trends to the Compliance Officer and Corporate Compliance Committee.
  • Follow-up to ensure observations are remediated.
  • Established risk assessment program at the Canada Unit and oversee Canadian audit/monitoring activities.
  • Participated in cross divisional teams to synergize audit/monitoring activities, as well as global information sharing.
  • Developed and managed implementation of Anti-Bribery Policy and Third- Party Due Diligence procedures
  • Served as Secretary Corporate Compliance Committee
07/2006 to 04/2012 Senior. Auditor Novartis Pharmaceuticals | City, STATE,
  • Coordinated the various phases of an engagement with regional internal audit head, including staff requirements, locations to be visited, audit -planning and scheduling.
  • Performed both international and domestic operational (i.e. Finance, Purchasing, Production and Inventory, etc.) and compliance (Company Level Controls, Clinical Research, Code of Conduct, Promotional Practices, etc.) audits within all units.
  • Evaluated the internal controls used by units and prepare or review audit programs accordingly.
  • Incorporated risk-based planning to all audit engagements.
  • As a team leader, delegated audit assignments to team members on the basis of their knowledge and capabilities, offer guidance and direction, and provide constructive criticism of working papers.
  • Conducted post audit evaluations of workpapers and assignments to ensure the audit was performed in accordance with generally accepted standards.
  • Championed the global data analytics initiative.
  • Assisted Corporate Security in investigations of business improprieties.
12/1994 to 06/2006 Auditor/Sr. Accountant Campbell, Rappold & Yurasits LLP | City, STATE,
  • Coordinated the various phases of an engagement with partner, including staff requirements, job planning and scheduling, and plan the logistics of the engagement.
  • Evaluated the internal controls used by clients and prepare or review the audit program.
  • Performed various types of audits, reviews and compilations.
  • Prepared and reviewed individual and business Federal and State income tax returns in an efficient and timely manner.
Education and Training
Expected in 05/1994 to to Bachelor of Arts | Finance/Accounting Moravian College, Bethlehem, PA GPA:
Expected in to to Certified Public Accountant | Pennsylvania, , GPA:
Expected in 04/2008 to to | Novartis Business Awareness Program Babson College, Babson Park, MA GPA:
Expected in 06/2019 to to | Healthcare Compliance Certificate Program Seton Hall Law School, Newark, NJ, GPA:

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Resume Overview

School Attended

  • Moravian College
  • Pennsylvania
  • Babson College
  • Seton Hall Law School

Job Titles Held:

  • Director, Ethics Risk & Compliance
  • Associate Director
  • Senior. Auditor
  • Auditor/Sr. Accountant


  • Bachelor of Arts
  • Certified Public Accountant

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