Compliance, Compliance Officer Resume Sample

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Josiah Littel
9880 Abbott Mount,  Chicago, IL
+1 (555) 187 1873

Work Experience

Associate, Compliance Officer
06/2017 - PRESENT
Boston, MA
  • Monitor new patterns/techniques of money laundering & terrorist financing and ensure necessary measurs are implemented by the business to deal with any emerging AML risks. Also, review the Firm’s new business initiatives, products and services and address any emerging AML risks
  • Perform other various tasks and projects to ensure the Firm’s compliance with local/regional/global requirements and best practice standards
  • Assist with the preparation and filing of regulatory reports to the SEC, SRO’s, and various Morgan Stanley Boards (e.g. Annual Report on Supervisory Controls, FINRA Rule 4530 disclosures)
  • Country expertise, the in-depth knowledge of the local regulatory environment, regulatory structures, local regulatory and market contacts, local market practice, industry groups, culture, language, etc
  • Product expertise, the in-depth knowledge of a specific product/service, its structure, purpose, target clients, risks, deal/trade/process flow and settlement, exchanges, etc
  • Core expertise, the in-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions. Examples include Personal Investment, Chinese Walls, Licensing & Registration, Disclosure of Interest, Monitoring & Surveillance, etc
  • Communicate with traders and supervisors to assess risk and remediate issues
  • Participate in New Business Initiatives and business expansion requirements
  • Analyze and review new high risk and specialized client types’ KYC as part of the Onboarding process
Fixed Income Compliance Officer
03/2012 - 04/2017
Houston, TX
  • Impact analysis and implementation of regulatory changes affecting the RMD business as well as continuously monitor the business’ risk and control assessment
  • To manage the Country compliance risk and provide franchise support to the Citi Country Officer (CCO) and Country management
  • To advise Country management proactively on compliance risks and developments that affect the business activity that Citi conducts in the Country or from offshore
  • To assess the compliance risks faced by the businesses in the country and ensure that Citi is appropriately managing those risks and is in compliance with applicable laws and Citi standards of doing business
  • To participate from a franchise and reputation perspective, in strategic decisions affecting Citi’s business in the Country
  • To identify new and changed local laws and regulations; distribute these to the affected business units and ensure that these are incorporated in the MCA and tested for compliance
  • To escalate significant ethical or business practice concerns and to work with the relevant business and staff functions to investigate the concern and recommend appropriate remedial actions. To advise the CCO and other managers on the legal and regulatory ramifications of ethical and business practice concerns raised in the Country
Privacy Compliance Officer
01/2007 - 10/2011
Phoenix, AZ
  • To participate in the Country and Cluster BRCC process following the Basic Compliance Architecture and regional policies, CCC and the Country AML GBRC
  • To administer the compliance program for the country and to coordinate the business compliance with local and US regulations and Citi ethical policies that apply to their activities and products
  • Develop and update the AML program and procedures based on changes to both Citi Global AML Policies and the regulatory environment
  • Provide targeted AML training to the business and support departments as appropriate
  • Provide compliance guidance on the on-boarding/retention of sensitive /high risk client relationships
  • Develop effective working relationships with business and compliance colleagues to ensure effective operation of the program. Keep abreast with laws, regulations and corporate policies concerning money laundering and with any emerging money laundering concerns/trends globally. Ensure that the steps necessary for an effective Anti-Money Laundering program are in place
  • Support the business in audits (internal and external) as a key interface with regulators/auditors. Proactively engage with examiners, review audit findings, evaluate the business’ corrective action plans to deal with issues highlighted and track progress till closure
  • As the Anti-Money Laundering Officer (AMLCO), to administer the Global Anti-Money Laundering Policy and Global Sanctions Screening Policy providing guidance on the documentation and implementation of the Country Anti-Money Laundering Program and sanctions requirements


Argosy University - Seattle Campus
2002 - 2006
Bachelor's Degree in Business

Professional Skills

  • Excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner
  • Clear communication, strong influencing skills
  • Strong interpersonal and leadership skills, with the ability to successfully implement and deliver change
  • The ability to build and sustain strong relationships with business managers and external authorities through diligence, expertise and personal skills
  • Proven experience of working in a Compliance Advisory position
  • Proven experience with dealing with external regulators
  • Experience:- 8+ years of relevant law and/or compliance experience

How to write Compliance, Compliance Officer Resume

Compliance, Compliance Officer role is responsible for compliance, risk, finance, credit, training, security, trading, architecture, reporting, design.
To write great resume for compliance, compliance officer job, your resume must include:

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

Contact Information For Compliance, Compliance Officer Resume

The section contact information is important in your compliance, 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 Compliance, Compliance Officer Resume

The section work experience is an essential part of your compliance, 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 compliance, 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 compliance, compliance officer position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Compliance, Compliance Officer resume experience can include:

  • To act as principal liaison with Internal Audit (IA) for matters relating to compliance, and monitor corrective action required by IA that relates to compliance and other corporate audits that relate to compliance
  • Risk focused, good written and oral communication skills
  • An excellent understanding of the relevant regulatory regimes and associated personnel
  • Experience with SEC Rule 206(4)-7 and FINRA Rule 3012
  • Experience in compliance, legal, risk management, or regulatory related function in the financial services industry
  • Overseeing the Treasury Auction Process and assisting in Treasury and Federal Reserve’s on-site visit for review of Treasury Auction process

Education on a Compliance, Compliance Officer Resume

Make sure to make education a priority on your compliance, 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 compliance, 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 Compliance, Compliance Officer Resume

When listing skills on your compliance, 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 compliance, compliance officer skills:

  • Extensive Compliance experience and/or a solid legal, regulatory consulting, regulatory audit or regulatory risk background
  • Good knowledge of Bank policies and Procedures with a good understanding of Legal Principles and the regulatory framework
  • Excellent working knowledge of the Swiss regulations and related rules and regulations
  • Previous work experience in Private Banking
  • Promote strong compliance culture in a dynamic and changing environment with considerable commercial pressures
  • Monitoring of the business, including transaction reviews, compliance risk reviews and review of new business and transactions requiring pre-approval

List of Typical Experience For a Compliance, Compliance Officer Resume


Experience For Fixed Income Compliance Officer Resume

  • Rules and Regulations - responsible for interpreting and enforcing applicable rules and regulations, with emphasis on credit trading, including Section V of the ’33 Act and rule 10b-5, SEC Rule 144a, Regulation S, Rule 15a-6, Rule 17a-3, 15c3-5 and FINRA Rule 5270
  • Monitoring and responding to privacy related complaints, incidents and issues related to unauthorized disclosure of individually identifiable information
  • Responding to questions and inquiries relating to privacy and compliance
  • Participating in key Compliance projects (local, regional or global) as agreed with Compliance management
  • Respond to trading desk questions

Experience For Country Compliance Officer / Amlco Resume

  • Analyze changes to policies and procedures to determine/ approve required compliance with regulations and policies
  • Participate in various strategic business initiatives and ad hoc compliance projects as assigned
  • Draft and review periodic Compliance memos, reports and advisements. Escalate issues pursuant to established policies and guidelines
  • Provision of expert guidance on the development of relevant policies and control documentation as well as reports used for surveillance purposes
  • Provide Compliance support for the Institutional Equity Division, as well as support functions: IT, Risk, Operations, controllers, finance

Experience For Privacy Compliance Officer Resume

  • Provide guidance to the firm’s fixed income businesses
  • Implementing of the Compliance Controls Framework (CCF) including, but not limited to; Assessing the overall risk environment and considering the adequacy and appropriateness of a) Policies and Procedures; b) Training; c) Level 1 Controls; d) Level 2 Controls; e) Level 3 Findings; Reporting to Senior Management the results of such Risk Assessments
  • Advising and supporting the London-based businesses on applicable law, rules and regulation, including the development of responses to, and implementation of, new regulations
  • Providing advice on application of rules and policies to specific transactions/deals and general business activities based on an understanding of business strategies and product portfolios
  • Experience conducting compliance audits and collaborating with auditees regarding deficiencies and pragmatic corrective actions

Experience For Associate, Compliance Officer Resume

  • Advise Agency business units regarding the development and implementation of privacy policies and procedures
  • Perform audits of Agency and business units to ensure AHCCCS is in compliance with privacy policies and procedures and federal laws and regulations; address and resolve allegations of non-compliance
  • Ensure the Agency maintains appropriate privacy and confidentiality consent, authorization forms, information notices reflecting current legal requirements
  • Experience applying federal privacy laws (i.e., HIPAA) and regulations as it relates to SAMHSA (42 CFR Part 2) and identifiable information safeguards and disclosures
  • Provide compliance guidance to fixed income investment professionals and traders with respect to client guidelines and regulatory requirements imposed by US and foreign financial authorities
  • Drafting and maintenance of agencies' Notice of Privacy Practices

Experience For Compliance Officer, GAM Real Estate Resume

  • Responsible for the daily surveillance of fixed income separately managed accounts, ERISA and mutual funds
  • Liaise with Testing Group to design fixed income business test plan for the year and execute quarterly compliance tests (e.g. trade allocation, side letters, and the Custody Rule
  • Administer employee personal trading process and related reviews at the direction of a senior compliance officer
  • Conduct surveillance reviews to make sure the current compliance program is working,
  • Provide Compliance support for the Credit Corporates Sales & Trading desks, as well as related support functions
  • Communicate with senior business management, risk management and Sales & Trading desk personnel regularly and address issues on a real-time basis

Experience For Compliance Officer Sales Resume

  • Develop policies, procedures and training
  • Development and implementation of privacy policies and processes
  • Development and maintenance of agencies' Oregon Administrative Rules on privacy
  • Leadership on projects related to privacy and compliance
  • Review OATS reports to ensure compliance
  • Review, summarize, and provide recommendations on applicable new rule proposals and regulatory notices

Experience For Broker Dealer Compliance Officer Resume

  • Program process modifications
  • High discretion, integrity
  • Series 7, 55

List of Typical Skills For a Compliance, Compliance Officer Resume


Skills For Fixed Income Compliance Officer Resume

  • Understanding of credit products suite including corporate bonds, CDS, loans, credit indices, and structured products
  • Working knowledge of relevant ERISA and UCIT regulation
  • Existing knowledge of the broad range of business areas in which UBS is engaged
  • Create and deliver anti-corruption training targeted to different Morgan Stanley businesses including travel throughout EMEA for in-person training
  • Five or more years working a healthcare compliance (hospital, health plan, consulting, auditing)
  • General working knowledge of Private Banking products
  • Develop, implement and track progress of regional training plan
  • Possess one or more of the following certifications
  • Knowledge of broker-dealer regulatory compliance, including SEC, FINRA and other SRO rules and regulations

Skills For Country Compliance Officer / Amlco Resume

  • Knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations
  • Relevant level of BSA/AML certification helpful (e.g., Certified Anti-Money Laundering Specialist or CAMS)
  • Motivated, proactive and self-starting
  • Truth-In-Lending Act (TILA/Reg. Z)
  • Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (S.A.F.E. Act/Reg. G)
  • Fair Credit Reporting Act (FCRA/Reg. V)
  • Provide guidance to the FRC Credit Sales and Trading business area
  • Enforce applicable firm policies and best practices that are based on the relevant banking FINRA, SEA rules and regulations as well as The Volcker Rule
  • Partnership with client-facing staff and business support to continually improve our risk control environment

Skills For Privacy Compliance Officer Resume

  • Fluency in English, German is an asset
  • Coordinate globally to create and report on key program metrics
  • Provides recommendations to management regarding such matters as customer onboarding, account closures, detecting and escalating suspicious activity and any other AML or OFAC risks of significant complexity
  • Advice on transactions, compliance policies and procedures, and regulatory developments
  • Education on new laws and policies, business compliance needs and best practices
  • Assist in the Compliance surveillance program to monitor for real or apparent
  • Research, plan and assist in performing detailed reviews, in accordance with the Corporate Compliance Monitoring/Testing program to assess compliance with applicable rules and regulations
  • Analyse and monitor testing data and compile management information relating to; reviews completed, issues identified, outstanding action plans and progress against plan
  • Analyse and maintain Compliance Risk Assessment data and participate in periodic reviews

Skills For Associate, Compliance Officer Resume

  • Work with the Compliance Advisory teams/Subject Matter Experts to ensure up to date and comprehensive understanding of business areas. Use this knowledge to develop and execute the Monitoring/Testing programme
  • Experienced compliance professional with Markets and regulatory expertise
  • State Medicaid Compliance experience
  • Good and independent judgement, ability to work independently
  • Three years of compliance or related work experience preferably in institutional capital markets
  • Perform compliance reviews of marketing materials and financial promotions
  • Support Compliance advisory team on regulatory projects and daily inquiries
  • Proficient in MS Office (Outlook/Word/Excel/Access/PowerPoint),
  • Self confident, self motivated

Skills For Compliance Officer, GAM Real Estate Resume

  • Learn & develop to take on exceptional tasks
  • High tolerance for work pressure – perseverance and flexibility
  • Successfully influence colleagues of all levels
  • Good interpersonal skills, especially the ability to communicate effectively at all levels, internally and externally, e.g. Regulators, Business Managers, Audit, Risk Management, Legal and other line of business and Compliance colleagues within and outside of Switzerland
  • Excellent knowledge of listed derivatives exchange rules (e.g. Eurex, ICE Clear Europe/LIFFE) and European rules, directives and regulations (e.g. FCA, MiFID, EMIR)
  • A working knowledge of commodity products (both physical and financial is beneficial)
  • Preferably a working knowledge of Foreign Exchange (FX)
  • Comfortable facing off to front-office staff from global business
  • The role requires the ability to build relationships of trust with the business as well as other support and control functions

Skills For Compliance Officer Sales Resume

  • Certified Information System Auditor (ISACA)
  • HealthCare Information Security and Privacy Practitioner (ISC2)
  • Registered health Information Administrator (AHIMA)
  • Practical and pragmatic, solution oriented
  • Able to remain focused under pressure
  • Unfair, Deceptive or Abusive Acts or Practices Act (UDAAP)

Skills For Broker Dealer Compliance Officer Resume

  • Equal Credit Opportunity Act (ECOA/Reg. B)
  • Home Mortgage Disclosure Act (HMDA/Reg. C)
  • Identify, asses, draft and implement relevant policies and procedures
  • The ability to make decisions, resolve conflicts and exercise sound judgment under pressure
  • Continually monitor and seek to improve Citi’s AML Program as it relates to ICG. Where issues are identified with Citi’s AML Program, lead the regional AML Compliance effort to improve and / or remediate the AML Program

Skills For Compliance Officer, Russia Resume

  • Demonstrated experience developing and implementing privacy policies and procedures and training programs
  • Be energetic and passionate about digging into the details, demonstrate a thirst for knowledge and learning
  • Relevant Compliance Officer experience at a broker-dealer, governmental agency or self-regulatory organization
  • Experience with US Treasury Auctions, Primary Dealer Requirements and/or familiar with residential mortgage laws
  • Assisting other support groups in the analysis of each business, including risk assessment and internal audit

Skills For Equity Sales & Trading Compliance Officer Resume

  • Administer employee onboarding process, including training and registrations (U4, NRF and U5 filing) at the direction of a senior compliance officer
  • Specific responsibility for assisting the CCO and senior compliance officers with developing and administering a compliance program.
  • Build deep and trusting relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.)
  • Opportunity to undertake outside training in Compliance
  • Opportunity to work in AML at a senior level in one of the most diverse global banking groups in EMEA
  • To provide compliance training in line with the business’s assessment of need
  • Advisory - responsible for providing compliance coverage to the UBS Investment Bank’s FRC (FX, Rates and Credit) division

Skills For Compliance Officer FRC Advisory Resume

  • Act as liaison with the AML officer and fiduciary staff members in implementing changes to the Bank’s AML Program, if needed
  • Design applicable training for business unit personnel
  • Develop and implement agency policies and procedures regarding public and confidential and protected records retention, destruction, and disclosure
  • To support, and where required enhance, the compliance control framework in relation to various Businesses with Global Credit
  • Current knowledge of legal/regulatory environment, new developments and an awareness of industry best practices
  • A proactive approach to enhance the authority, independence and reputation of the department
  • Make decisions and exercise sounds judgment under pressure

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