Compliance Resume Sample

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Caitlyn Beatty
195 Deron Heights,  Phoenix, AZ
+1 (555) 589 5562

Work Experience


Compliance
11/2017 - PRESENT
New York, NY
  • Support CF10 in management of regulatory relationships with FSA CBU and PBU and other regulators (OCC, Fed)
  • Building relationships with individuals at key regulators
  • Working with the business to respond to routine and ad hoc requests
  • Working with the business assisting in preparation of and attending meetings, visits
  • Co-ordination of overall PBU and CBU risk assessments and subsequent risk migitation programme
  • Establish links with line of business and risk and support functions to help ensure regulatory expectations are communicated appropriately including preparing and presenting briefings for management as required
  • Coordinating presentations / briefings for regulators on merger, restructuring, acquisition activities or other major projects or incidents
  • Apply for permissions, passports, waivers and make formal regulatory notifications as needed
Compliance
11/2014 - 10/2017
Detroit, MI
  • Advise on the FSA approved persons process, and support senior SIF applications where appropriate
  • Good working knowledge of the applicable regulatory principles and rules, such as market abuse regulations and information barriers
  • Provide clear advice on the application of UK, EU and US rules and firm policy
  • Liaise with internal and external auditors and manage responses and action compliance issues raised in audit reports & Control Self Assessment reviews
  • Reviewing incoming correspondence and preparing responses
  • Coordinating team offsite meetings
  • Provide backup support to other Executive Assistants in Compliance
  • Working in the SSA region, with good knowledge of the countries, the regulators, FIU’s and the major players
  • Policies and Procedures. Ensure that the division has appropriate policies and procedures in

Education


Pepperdine University
2010 - 2014
Bachelor's Degree in Computer Science Engineering

Professional Skills


  • Sound judgment, alongside strong organizational skills, including an ability to prioritise effectively in a constantly changing environment
  • Sound judgement, alongside strong organisational skills, including an ability to prioritise effectively
  • Well-developed skills and excellent communication, interpersonal, team working and organizational skills
  • Strong organisational skills, including the ability to prioritise effectively; and
  • Sound judgment, alongside strong leadership and organisational skills, including an ability to prioritise effectively
  • Excellent computer literacy, specifically knowledge of applying computer programming skills to manage large amounts of data would be a strong advantage
  • Excellent computer skills, email application, powerpoint and basic experience of working with databases

How to write Compliance Resume

Compliance role is responsible for interpersonal, analytical, english, compliance, microsoft, leadership, communications, business, programming, sound.
To write great resume for compliance job, your resume must include:

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

Contact Information For Compliance Resume

The section contact information is important in your compliance 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 Compliance Resume

The section work experience is an essential part of your compliance 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 compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Compliance resume experience can include:

  • Solid secretarial and administrative skills, including basic accounting
  • A critical thinker with strong analytical, organizational, researching and fact-gathering skills
  • Excellent management skills and leadership qualities, including managing remote stakeholders and direct management
  • Leverage strong communication and relationship-building skills in frequent interaction with team members in multiple locations
  • Past experience in compliance, legal or other relevant experience providing good knowledge of industry standards welcome
  • AML-related knowledge, skills and experience gained in an AML, AFC or Compliance role within a financial institution or regulator

Education on a Compliance Resume

Make sure to make education a priority on your compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance 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 Compliance Resume

When listing skills on your compliance 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 compliance skills:

  • Strong organisational skills, including the ability to prioritise effectively
  • Excellent interpersonal and communication skills with the ability to interact effectively with front office employees and senior management
  • Effective time management skills to meet strict deadlines or changing priorities
  • Excellent interpersonal and influencing skills, with the ability to establish credibility and strong partnerships with compliance colleagues across the region
  • Strong analytical skills for delivering good and clear analysis of issues
  • Proven in-depth PC skills, good working knowledge of excel/access/VBA would be advantageous

List of Typical Experience For a Compliance Resume

1

Experience For Compliance Resume

  • Good interpersonal skills and effective written/oral communication skills (fluent English; German/French is of substantial benefit)
  • A close attention to detail, with excellent organizational skills and the ability to multitask and prioritize high volume, high priority initiatives
  • Strong skills and expertise in securities business area Compliance, with solid understanding with applicable laws & regulations
  • Excellent communication and interpersonal skills with ability to build good working relationships with Control Room stakeholders
  • Strong analytical skills, including the ability to identify problems and provide effective solutions
  • Strong written and verbal communication skills, including a demonstrated ability to clearly provide written
  • Proven analytical skills and good attention to detail
2

Experience For Compliance Resume

  • Effective interpersonal skills and ability to forge strong relationships with colleagues and clients
  • Strong attention to details, analytical, investigation, with good interpersonal and communication skills
  • Excellent communication skills, both verbal and written, to enable effective communication
  • Good PC Skills especially good at PPT tool
  • Strong analytical and problem solving skills, quick learning ability required
3

Experience For Compliance Resume

  • Excellent communication skills (oral and written) and relationship building abilities
  • Excellent research and problem solving skills with the ability to exercise sound and balanced judgment
  • Strong interpersonal skills for interfacing with all levels of internal and external partners and teams
  • Strong verbal and written communications skills with ability to deliver high quality work products, reflecting attention to detail and analytical prowess
  • Strong analytical and judgment skills, attention to details and thoroughness of execution
  • Strong written and verbal communication skills and ability to multitask
  • Great attention to detail, coupled with strong problem solving skills
  • Strong analytical and communication skills with ability to influence and lead
  • Excellent interpersonal and communication skills, the ability to clearly articulate ideas
4

Experience For Compliance Resume

  • Strong interpersonal, communication (live, phone, email), and analytical skills
  • Good command of written and spoken English – Mandarin and Cantonese language skills are advantageous but not essential
  • Solid office experience / assistant and meeting coordination experience at the executive level
  • Excellent communication skills (oral and written), with ability to ask probing questions
  • Excellent interpersonal and written & verbal communication skills in both English and Japanese
5

Experience For Compliance Resume

  • Excellent time management, analytical, and communication skills
  • Excellent interpersonal skills – team player, able to forge relationships, build consensus and influence decisions
  • Prior regulatory compliance experience or control function experience beneficial
  • Proven leadership and people management skills, in an operations / risk / controls function required
  • Excellent verbal and written communication skills including executive presentations
  • Demonstrated skills in risk assessment
  • Highly organized with excellent attention to detail and follow through, holds task owners accountable and works effectively to deadlines
  • Effective communication skills with the ability to communicate to all levels of the business
  • Excellent written and verbal communication skills and ability to interact with senior leaders across departments
6

Experience For Compliance Resume

  • Highly organized with good time management skills and a responsive nature
  • Standard PC skills ( e.g. Expert skill for Excel, Word, PPT, MS Access etc. is preferable but not mandatory)
  • Strong business and commercial awareness and analytical skills
  • Strong analytical and risk assessment skills required
  • Excellent communication skills (verbal and written required)
  • Effective communicator; experience preparing and conducting privacy training
7

Experience For Compliance Resume

  • Possess advanced PC Skills including Microsoft Excel, Project, Access, Word, PowerPoint and other reporting tools
  • Native level proficiency in German and English, with exceptional verbal, writing, editing and interpersonal skills
  • Extensive proven experience in leading and executing projects with senior stakeholders, to budget, schedule and quality
  • Strong preference towards Precious Metals trading and/or Precious Metals Surveillance experience
  • Proven senior management engagement experience, including the ability to influence and drive change
  • Experience of performing evidence verification for controls required
8

Experience For Compliance Resume

  • Demonstrate experience developing background information to brief senior management on new developments
  • Prior experience gained from working in Compliance within Investment Banks
  • Effectively perform quality control over the work of others.
  • High-level of language skills (Japanese and English) are a requisite
  • Able to effectively summarize, communicate and defend positions
  • Detail oriented and ability to work effectively to meet time-sensitive deadlines
9

Experience For Compliance Resume

  • Build internal and external relationships with key stakeholders, and communicate effectively across all levels of the organization including senior management
  • An ability to communicate clearly and effectively on local regulatory matters and outsourcing issues to key stakeholders at all levels
  • Relevant experience (for AVP level). Experience in Private Banking area is desirable
  • Proficiency in written and spoken English. Chinese language skills advantageous but not mandatory
  • Work effectively with business management and staff and provide pro-active advice
  • Experience in anti-money laundering regulations, investigation, or AML related field and 2-5 years supervisory experience
  • Relevant experience (for Asoociate level). Experience in Private Banking area is desirable
  • Expertise with Microsoft Word, Excel (intermediate to advanced skills) and PowerPoint
10

Experience For Compliance Resume

  • Database or data analysis skills in the Financial Services or related industry
  • An ability to influence and communicate clearly and effectively on regulatory matters to key stakeholders at all levels in a variety of media
  • Effectively review and analyze strategies and apply judgment to resolve issues
  • Concise written and communication skills
  • Experience with at least 3 years relevant experience with Australia related regulations

List of Typical Skills For a Compliance Resume

1

Skills For Compliance Resume

  • Good interpersonal skills and effective communication skills
  • Organizational skills, communication skills, interpersonal skills, and ability to work across highly technical cross functional teams
  • Strong leadership skills with a proven track record of making a positive impact on the organization
  • Team focused, with excellent leadership skills and the ability to lead by example to actively demonstrate behaviours that support the firm’s values
  • Possess excellent analytical skills, preferably with previous experience as a business, legal or compliance analyst
  • Strong analytical skills, ideally with previous experience as a business, legal or compliance specialist in Liquidity Products or Treasury Services
  • Good communication and interpersonal skills with ability to build good working relationships with different business and operations departments
  • Leveraging strong communications and relationship-building skills in frequent interaction with team members in multiple locations
  • Investigative skills and an analytical mindset, including proven problem solving ability
2

Skills For Compliance Resume

  • Strong analytical and problem solving skills, quick learning ability
  • Strong strategic, organizational, problem solving, project management and analytical skills
  • Has strong experience assessing risk level of cases and prioritize accordingly
  • Work effectively in a team environment and foster effective working relationships
  • Proven technology skills; high proficiency in all Microsoft Office applications, particularly Outlook calendaring, PowerPoint and Excel
3

Skills For Compliance Resume

  • Demonstrated skills in risk assessment. The ability to make sound decisions, including escalation when appropriate, in regard of AML/CFT risks
  • AML-related knowledge skills and experience gained in an AML, compliance or customer onboarding role within a financial institution or regulator
  • Leverage strong communication and relationship building skills in frequent interaction with other areas of the firm and professionals across the globe
  • Excellent communication (both verbal & written) and interpersonal skills, including dispute resolution
  • Strong organizational and co-ordination skills, with ability to share and receive information, knowledge and expertise within a virtual team environment
  • Strong attention to detail, analytical skills and sound judgement
  • Demonstrated communication skills both written and oral
4

Skills For Compliance Resume

  • Good analytical, workflow and data analysis skills
  • Excellent communication and interpersonal skills with attention to detail
  • Able to work as a team player with effective communication skills
  • Play key role as the main BLC and IGM officer with strong communication skills
  • Excellent written skills, and ability to prepare clear, concise reports with minimal supervision
5

Skills For Compliance Resume

  • Strong analytical and communications skills and a team player
  • Attention to detail, efficient and strong administration / organisational skills
  • Strong programming skills preferable (Java, C++, Python, and other languages like Java Script, Ruby, or PHP can be considered.)
  • Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English
  • Identifying potential compliance and reputational risks and effectively escalating to appropriate individuals
  • Programming skills (Alteryx, Matlab, R, Python, etc.)
  • Outstanding communication skills in English necessary; fluency in Asian languages (e.g. Mandarin and/or Cantonese) advantageous
  • Experience in Predictive Modelling, Machine Learning etc. / Experience solving Segmentation, Optimization problems using data analytics an advantage
  • Strong understanding of a wide range of financial instruments Experience dealing with regulatory matters
6

Skills For Compliance Resume

  • Demonstrated experience managing and developing people
  • Sales or trading experience, as well as other experience in the financial services industry, e.g., working for another broker dealer, law firm, or big 4 firm
  • Have prior experience in law and finance, including investment banking transactions
  • Communication skills including confidence in expressing business views tactfully
  • Sales or trading experience, as well as other experience in the financial services industry, e.g., working for another broker dealer,
  • Good team player - one who is able to prioritize in a fast moving, constantly changing
  • Prior experience in or understanding of the securities/banking industry
  • Prior Compliance experience gained from working within investment banking/financial services industries required
  • Solid track record in developing and maintaining good relationship with relevant regulators
7

Skills For Compliance Resume

  • Proven administrative experience in a similar role, assisting senior management
  • English/Cantonese/Mandarin - MS Office, PM skills desirable but not essential. Understanding of Regulatory environment
  • Demonstrated experience within a matrix reporting environment
  • Strong team player able to build effective working relationships with stakeholders
  • Highly motivated individual with outstanding time-management, analytical and communication skills
8

Skills For Compliance Resume

  • Leadership and direction setting skills
  • A solution driven approach with exemplary problem solving skills
  • Investigative instinct and analytical mindset, including problem-management skills and the ability to work independently
  • An ability to communicate clearly and effectively with key stakeholders
  • General analytical and quantitative skills
  • Strong Experience in AML or economic sanction risk in Financial Services or governmental agencies
  • Able to provide on point solutions for any issue quickly and effectively
  • Actively supports and drives efforts to have a ‘Strong’ Channel Partner compliance function and for Illumina to have ‘Strong’ controls in place
  • Advanced skills in microsoft office, EXCEL, WORD etc
9

Skills For Compliance Resume

  • Self-motivated and a willingness to learn and develop new skills
  • Proven experience in an equivalent leadership role
  • Superior written and verbal communication skills with an ability to engage different stakeholders and audiences
  • Work effectively at all levels of the organization-with team members, managers, and senior leaders
  • Basic leadership skills and competency toolkit
  • Prior discovery and/or record review experience
  • Additional language skills (preferably spoken fluency in French, German and/or Russian)
  • Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
10

Skills For Compliance Resume

  • The ability to communicate clearly and effectively (both verbal and written) on regulatory matters to key stakeholders at all levels
  • Combine analytical skills with sound judgment to review and process multiple escalations on a daily basis
  • Train/coache/support the individual members of APAC CCT to enhance CCT skills and technical knowledge about DB’s businesses and regulatory risks
  • Use management skills to develop and implement consistent processes and disciplined controls
  • Proven track record of strong program delivery on complex projects delivered across multiple LOBs and locations
  • Proven track record of strong project management delivery
  • Developing strong working relationships with Compliance team, including participation in international compliance working groups

List of Typical Responsibilities For a Compliance Resume

1

Responsibilities For Compliance Resume

  • Assess new business proposals (products, services and systems) in light of new and existing policies and procedures, before, during and after their design and structuring
  • Effective manager with recognized leadership skills; prior experience in providing constructive feedback would be helpful
  • Effective organisational and prioritisation skills
  • Strong analytical, problem-solving and organizational skills and the ability to manage multiple projects simultaneously
  • Excellent time management, analytical, and presentation skills
  • High level of integrity and a self-disciplined approach to work, excellent analytical skills, both numerical and verbal
  • Proficiency in Microsoft Office applications with strong Excel and Powerpoint skills
  • Good communication skills in Japanese and English (both verbal and writing)
2

Responsibilities For Compliance Resume

  • Strong programming skills preferable (C++, Python, R, etc.)
  • Experience of working in APAC region and with others across other locations a strong advantage
  • Work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment
  • Experience of working in APAC region and with others from across other locations a strong advantage
  • Experience in project management, technology experience, implementation, or strategic planning
  • Effectively and efficiently conduct business by phone with both internal and external stakeholders
  • Additional language skills (preferably Cantonese and/or Korean)
  • Prior experience in a regulatory, audit or surveillance role
  • Prior experience in data analysis / MI report production require
3

Responsibilities For Compliance Resume

  • Additional language skills (preferably Cantonese)
  • Auditing/testing experience covering Sarbanes-Oxley, operations processing, and product accounting controls in the financial
  • Developing and implementing the controls testing programme into an organised and risk-based work schedule to ensure effective use of the Bank’s resources
  • Leading on and assisting with effective compliance monitoring activities for APAC, that meet global and local regulatory requirements and internal standards
  • Auditing, testing, regulatory/law enforcement, or trading experience
  • Evaluating control algorithm design and effectiveness through reviewing the software code
  • Designing and developing complex surveillances with a strong emphasis on analytical models
  • Contributing to effective quantitative problem solving and delivery for projects, this requires
  • Validating mortgage loan data to source documents for accuracy and data integrity to ensure appropriate HMDA reporting
4

Responsibilities For Compliance Resume

  • Testing the effectiveness of controls
  • Strong problem solving background that includes identifying patterns, analyzing root causes and proposing solutions to resolve issues
  • Experience of working on/with due-diligence and monitoring – reviewing contracts, processing applications etc. required
  • Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries
  • Deploy and develop data analytics and reporting techniques for designing and monitoring effectiveness of controls
  • Consumer banking auditing, testing, or regulatory/law enforcement experience
5

Responsibilities For Compliance Resume

  • Consumer banking auditing, testing, or regulatory/law enforcement experience
  • Experience in handling and resolving complaints and difficult conversations and dealing with regulators
  • Compliance, auditing, testing, legal, regulatory/law enforcement, sales or trading experience
  • Strong knowledge of mortgage banking regulations, and regulations impacting high net worth lending
  • Solid working knowledge of all Fair Lending regulations and requirements, including HMDA
  • Experience working as PA to senior executives of global or leading Japanese or Foreign firms with high business ethics and common sense
  • Preferably, experience working as PA to senior executives of global or leading Japanese or Foreign firms with high business ethics and common sense
  • Good understanding of banking jargon and market commentary/color to complement communication surveillance
6

Responsibilities For Compliance Resume

  • Consolidate existing LOB and Corporate Functions RM reporting into the newly developed firmwide format
  • MIS Reporting / Analytics management and Records Management experience required, including both production and development
  • Compliance, legal, accounting, business or other relevant experience involving the securities or financial businesses
  • Facilitate a project management network to provide a vehicle for learning opportunities and sharing project management experiences
  • Excellent working knowledge of Private Banking investment products and, in particular, alternative investments
  • Execute testing as prescribed by scripts providing relevant evidence to prove results
7

Responsibilities For Compliance Resume

  • Strong working knowledge of the applicable regulatory principles and rules, such as client assets and transaction reporting
  • Experience in financial services generally, and in particular with the following: Reg C/HMDA, TRID/RESPA, Reg B/ECOA and the Fair Housing Act
  • Good understanding of complex OTC derivative products including interest rate, FX, equity and credit derivatives
  • Proven ability to apply these requirements to consumer financial services marketing, origination and servicing practices and procedures
  • Strong understanding of the bank, including consumer focused businesses
8

Responsibilities For Compliance Resume

  • Experience in the financial services industry, either working for another investment manager, broker dealer, law firm, accounting firm, or regulator
  • Ideally having compliance, legal, audit or other control function experience preferably covering asset management or broker-dealer business
  • Experience with developing and executing data and control tests
  • Experience in monitoring and investigating potential data quality anomalies
  • Management reporting or audit/testing experience
  • Strong understanding of the bank, including consumer focused businesses and products
  • Experience in coordinating global teams driving project results
9

Responsibilities For Compliance Resume

  • Hands on experience in a first/second line of defence role covering anti-money laundering and sanctions compliance
  • Experience using MyComplianceOffice and MetricStream as well as sanctions screening tools
  • Experience reviewing and auditing medical records
  • Demonstrated ability to assist in planning and executing an internal level audit of processes and controls as
  • Delivery focused, able to balance competing priorities and deliver according to strict time and quality standards
  • Practical experience of an appropriate risk based approach to monitoring/surveillance (gained either in Audit or Compliance monitoring)
  • Experience of working as a point of contact for queries and advising on relevant policies required
  • Experience with researching, reporting and documentation processes required
10

Responsibilities For Compliance Resume

  • Experience of delivering compliance training required
  • Collaborative, inclusive nature in solving problems and advancing priorities
  • Experience of building and managing a team and relationships with senior stakeholders, as well as an ability to influence senior stakeholders and colleagues
  • Balance multiple priorities in a fast moving and demanding environment
  • Gain a good understanding of the operation of insurance companies in an international context
  • Produce consolidated project status reporting
  • Extensive experience in a banking compliance, risk management or regulatory policy environment

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