Regulatory Compliance Resume Example
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REGULATORY COMPLIANCE
Professional Summary
- Brief Profile
- 14 years of experience as an HR professional
- Excellent communication and interpersonal skills
- Proven capability to achieve targets in all respects Employee Relations Policies & Prepositions Diversity and Inclusion Employee Engagement Compliance Management Human Resource Operations
Enthusiastic [Job Title] eager to contribute to team success through hard work, attention to detail and excellent organizational skills. Clear understanding of [Task] and [Task] and training in [Skill]. Motivated to learn, grow and excel in [Industry].
Skills
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Work History
Regulatory Compliance , 12/2015 to 06/2020
Company Name – City, State
Company Name – City, State
- Liaising with Labour Department, Haryana, Chandigarh & Gurugram and other forums like PHDCC & ITI Gurugram.
- Compliance Management and Governance; proactively studying implications of various labour law amendments, recommendations to management and implement changes.
- HR Policies:.
- Policy administration, governance and employee communication.
- Formulate and initiate new policies as per business & statutory requirements.
- Benchmarking of existing Policy- identify procedural gaps and recommend improvements.
- Performed comprehensive analysis of registrations for securities and insurance programs.
- Counseled committees and department heads regarding compliance risks and standards.
- Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
- Reviewed contracts for compliance and privacy-related issues.
- Drove system improvement efforts from concept to completion while strategically managing outside vendors.
- Reviewed company forms, marketing materials and communication procedures for compliance with applicable laws and guidelines.
- Improved company policies and standards to outline ethical, safe and efficient procedures.
- Managed effective action plans to respond to audit discoveries and compliance violations.
- Wrote and presented reports outlining findings and recommendations from compliance audits.
- Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
- Established and cultivated productive relationships with regulatory bodies.
- Enhanced accountability and responsibility for compliance by efficiently allocating tasks such as assessments, mitigation, monitoring and auditing.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
Human Resource Manager, 12/2015 to 06/2020
Company Name – City, State
Company Name – City, State
- Manage, coordinate, compile, and communicate relevant information for ER and HRC matters, in response to both internal and external requests.
- Maintain a positive ER climate by responding to Business or employee questions or concerns, addressing issues proactively, and advising ER and HRC management regarding proper company practices.
- Create an environment to better employee engagement by proactively studying and researching best practices in the industry.
- Provide partnership, counsel and expertise to office and field HR and business leaders, influencing appropriate courses of action and results in support of business outcomes.
- Promoted employee welfare by maintaining proper protocols throughout investigations and disciplinary procedures.
- Investigated [Type] and [Type] issues by reviewing documentation and footage and interviewing associates.
- Delivered team member services and customized employee programs focused on optimizing employee relations and communications.
- Partnered with HR personnel to create and implement [Type] and [Type] initiatives.
- Conducted thorough investigations of employee activities to identify and target operational and behavioral discrepancies.
- Utilized compliance tools, corrective actions and identification of deficiencies to mitigate audit risks.
- Coordinated ongoing technical training and personal development classes for staff members.
- Provided resolution to complex and confidential issues by [Action].
- Briefed new hires on essential job information, such as company policies, employment benefits and job duties.
- Educated management on successful policy implementation and enforcement actions to prevent employee legal entanglements.
- Maintained current knowledge of industry regulations and legislation to amend policies as needed and promote compliance.
- Worked with managers to achieve compliance with organizational policies, providing clarifying information and recommending necessary changes.
- Facilitated communication and coordination between employees and management by [Action].
- Instructed senior leaders on appropriate employee corrective steps.
- Created and implemented [Type] and [Type] compliance systems and auditing processes through automation.
- Provided guidance on policies and procedures to harmonize responses, provide appropriate investigation actions and reach resolution of grievances.
- Worked as effective team member while contributing to local and regional HR projects.
Contractor HR SSC, 03/2014 to 07/2014
Company Name – City, State
Company Name – City, State
- Company Name:, USA, Tampa Project: Caribbean Region Policy Cataloguing and Assessment Consolidate the policies of seven territories of Caribbean Region, find the gaps, align with Legal and Regulatory information, Employment Laws and provide recommendations.
- Managed implementation of policy and program initiatives.
- Investigated policies currently under discussion to assess impact on [Industry].
- Recommended updates to current legislation, regulations and policies.
- Researched existing policies and procedures to gain firm understanding of current conditions.
- Proposed policies, developed roadmaps and reported on costs and benefits.
- Drafted and presented reports outlining policy actions.
- Facilitated communication and relationship development between different stakeholders.
Assistant Manager (HR), 02/2009 to 04/2013
Company Name – City, State
Company Name – City, State
- Policy and Prepositions / Employee Relations / Liaison.
- Re-engineering and Benchmarking of existing policies and procedures as per the changing dynamics of the power Industry.
- Serve as internal consultant to managers, supervisors and employees on people issues.
- Guidance, interpretation, clarifications to clients of the organization.
- Liaising with various Public Departments/ Government Departments, regulatory and legal issues.
- HR Audits.
- Managed entire life cycle of an employee from On-boarding / Orientation till off boarding of employees.
- Training and Development: Planning, scheduling and arranging Training and Development Programs.
- Administering Need Analysis for Training Programs.
- Employee Benefit Administration: Maintained and executed Employees Benefits Programs such as Leaves, Financial advances, Higher Studies, Sponsored Programs for further Studies, Outside Employment, Superannuation Benefits, Insurance Policies, Contracts, and Retired Employees Health Scheme etc.
- Statutory Compliances under labour laws.
- Employee Relations - Disciplinary Proceedings, Grievance Management, Sexual Harassment Committee.
- Employee Engagement: Employees Attitude Surveys, Cultural Events, Health Programs, Recreational and Sports Events.
- HR Assessment –Audits, External and Internal Audits, preparation of Reports, replying to Audit Paras and getting clearances.
- Liaison with Government and Public Departments and dignitaries.
Education
MBA: Human Resources, 06/2002
Guru Gobind Singh Indraprastha University - City
Guru Gobind Singh Indraprastha University - City
Accomplishments
- Support change management with a focus on employee engagement and retention.
- Conduct prompt and thorough investigations in response to ER and HRC employee issues, prepare well written documentation, and identify, recommend, and oversee implementation of appropriate actions to accomplish timely resolutions.
- Investigate grievances, disciplinary cases, online employee relations portal, open door complaints and ensuring proper reporting and closure.
- Performance Improvement Plans, Ethics Certification and Compliances.
- Managing employment related matters/ litigations at Labour Department.
- Managing Diversity and Inclusion Strategy framework, initiatives and programs.
- Design and deliver training sessions for managing employee relations for Business Partners like Prevention of Sexual Harassment at workplace, Unconscious Bias, Culture of Respect, Performance Assessments, Managing Difficult Conversations, Employee Counselling, Employee Ranking, Nine Box, Emotional Intelligence - Strengths Finder, Effective Communication, Personality Development.
- Managing POSH and related investigations, Internal Committee, Trainings and statutory requirements.
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Resume Overview
School Attended
- Guru Gobind Singh Indraprastha University
Job Titles Held:
- Regulatory Compliance
- Human Resource Manager
- Contractor HR SSC
- Assistant Manager (HR)
Degrees
- MBA : Human Resources , 06/2002
