Bank Compliance Officer Resume Sample

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Charlene Shields
87946 Keebler Lakes,  New York, NY
+1 (555) 993 7797

Work Experience

Private Bank Compliance Global Financial Crimes Investigations Officer Associate Within Gfcc Geneva
01/2017 - PRESENT
Houston, TX
  • Reviews and coordinates implementation of new bank regulation through policy, procedures, and programs
  • Monitors and/or prepares filings and maintains compliance training database
  • Manage the Bank’s BSA/AML client due diligence process from an Operational Risk perspective
  • Coordinate the Bank’s periodic review process to ensure continued knowledge of Bank’s client base and any material changes to client information
  • Ensures Citi’s adherence to applicable AML laws and regulations in ASPAC with the development and implementation of a business-specific Regional AML Program
  • Assisting with compliance with USA PATRIOT Act requirements (e.g., CIP, Foreign Bank Certification, Section 312) relating to certain of the Banks’ business sectors
  • Provide compliance advisory services to the Firm’s banking-related businesses
Managing Compliance Officer to Danske Bank
03/2012 - 08/2016
Philadelphia, PA
  • Thorough knowledge of banking regulations, bank operations and procedures, accounting, risk management controls, automated systems, internal control objectives and practices, and audit concepts and techniques
  • Identify, interpret, and analyze current and emerging developments for new laws, regulations, and determine their impact and requirements
  • Work in a consultative manner with operational or other functional specialists to implement relevant laws, regulations, and guidances into policies and procedures; and coordinate with local control officers, line management, and audit to implement and monitor their execution and enforcement
  • Interact with all levels of internal and external (affiliate) management in a consultative manner
  • Lead/participate in special projects assigned at the direction of Compliance management
  • Providing advice on regulations and Compliance policies related to the Commercial Bank business with particular focus on
  • Supporting Compliance’s lead role in the continuing advancement of the IHC’s policy and “ managing compliance risk” frameworks, including
  • Supporting Compliance’s lead role in governance of compliance with Regulation W (affiliate transaction restrictions), Investment Restriction rules, among other cross-business FRB focused rules which apply to DB USA
Bank Reg Compliance Officer
05/2008 - 12/2011
New York, NY
  • Sanctions’ Risk Review – ensure Sanction’s exposure is assessed in a timely manner
  • Manage the Bank’s BSA/AML client due diligence process
  • Experience working in a regulatory, legal or compliance role in the banking/ securities/ financial services industry, with HKMA/SFC working experience being a significant advantage
  • Interpret and apply banking regulations and identify and recommend compliance changes as appropriate
  • Monitoring employee activities for adherence to organizational policies and procedures and compliance training requirements
  • Developing compliance policies and procedures and training
  • Highly motivated, enthusiastic and eager to learn


Southwest University
2002 - 2007
Bachelor's Degree in Management

Professional Skills

  • Strong communications skills in both written and oral. Problem solver with strong analytical skills. Dedication to the principles of diversity and inclusion
  • Communication – Strong written and verbal communication skills to effectively convey information through a variety of media to all levels
  • Strong project management skills, with ability to build positive relationship and handle different stakeholders across multiple jurisdictions
  • Language – Strong written and verbal English
  • Product – General understanding of consumer banking framework, governance, reporting and policies
  • Legal – Sound understanding the laws that apply to consumer banking
  • Work in a matrixed organization; leveraging resources across the organization to complete

How to write Bank Compliance Officer Resume

Bank Compliance Officer role is responsible for media, finance, securities, training, reporting, digital, database, communications, marketing, consulting.
To write great resume for bank compliance officer job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Bank Compliance Officer Resume

The section contact information is important in your bank compliance officer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Bank Compliance Officer Resume

The section work experience is an essential part of your bank compliance officer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous bank compliance officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular bank compliance officer position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Education on a Bank Compliance Officer Resume

Make sure to make education a priority on your bank compliance officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your bank compliance officer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school

These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Bank Compliance Officer Resume

When listing skills on your bank compliance officer resume, remember always to be honest about your level of ability. Include the Skills section after experience.

Present the most important skills in your resume, there's a list of typical bank compliance officer skills:

  • Positive, organized and possess the initiative to drive projects and matters to resolution
  • Compliance or related experience in financial services industry or bank regulatory agency with knowledge of consumer banking regulations, digital banking services and the expectations of regulators for an effective compliance program
  • Work under pressure with aggressive timelines and manage multiple concurrent responsibilities and prioritize according to shifting and sometimes accelerated deadlines
  • Prior experience in bank compliance, audit or other control function, or experience as a Bank regulator
  • Educational legal background with knowledge of the swiss legal market

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