Compliance Officer Resume Sample

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Work Experience


Compliance Officer
09/2015 - PRESENT
San Francisco, CA
  • 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
  • Providing AML advisory support focused on communicating status of BUSA’s AML Program to Citi
  • Enhancing reporting processes as necessary.
  • Assist with the coordination and execution of the Bank’s Global Compliance/AML regulatory exam and audit management program
  • Support the Global Compliance/AML function in the proactive identification and escalation of issues raised in the course of regulatory exams, audits and Compliance Testing
  • Coordinate with regional advisory Compliance teams, Legal, Operations, Technology, Risk and Business management to identify, gather and produce responsive documents and information
  • Assist in the development and management of a global web-based reference library to facilitate global document retention practices, streamline calendaring and promote awareness of trends identified during exams and audits
Compliance Officer
07/2009 - 03/2015
Dallas, TX
  • Develop, enhance, and promote the use of globally consistent communication tools/templates/presentations
  • Ensure that the internal reporting and tracking of exams and audits (and associated issues) occurs on a timely basis
  • Manage unit's global activity calendar and coordinate on-going exam and audit calendars
  • Experience in banking compliance, legal or other control-related function in the financial services industry
  • Experience in Compliance, Operational Risk, Audit, Program Management or Consulting
  • Familiarity with US Consumer businesses and regulatory requirements
  • Demonstrated project management success coordinating large-scale projects involving diverse stakeholders
  • Strong organizational, analytical, reporting and communication skills
  • Goal orientated self-starter and team player

Education


Southern Adventist University
2003 - 2008
Bachelor's Degree in Business

Professional Skills


  • Strong interpersonal skills, collaborative skills and experience partnering with business units; proven team player
  • Strong interpersonal skills, conflict resolution skills, and ability to build working relationships
  • Excellent verbal and written communication skills and coordination skills
  • Excellent oral and written communication skills; experience communicating with all levels of management and writing reports
  • Effective organizational skills, including the ability to prioritize between multiple priorities and deadlines
  • Good organisational skills, including an ability to prioritise effectively; and
  • Strong statistical/data analytical skills, including data quality validation and descriptive statistics

How to write Compliance Officer Resume

Compliance Officer role is responsible for analytical, interpersonal, organizational, compliance, business, presentation, microsoft, excel, organization, analysis.
To write great resume for compliance officer job, your resume must include:

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

Contact Information For Compliance Officer Resume

The section contact information is important in your 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 Officer Resume

The section work experience is an essential part of your 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 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 officer position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Compliance Officer resume experience can include:

  • Well developed relationship-building skills, networking skills and communication /influencing skills
  • Strong organizational skills with an ability to effectively and efficiently manage multiple priorities including Regulatory SLAs
  • Strong research skills including experience with web based research tools
  • Interpersonal skills necessary to communicate effectively, both verbally and in writing, with a variety of individuals are required
  • Strong analytical, project management, and problem-solving skills; well organized with the demonstrated ability to multi-task and meet deadlines
  • Strong communication skills is critical – both written and oral, but with strong emphasis on written

Education on a Compliance Officer Resume

Make sure to make education a priority on your 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 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 Officer Resume

When listing skills on your 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 officer skills:

  • Proficient Microsoft Office skills and excellent organizational skills
  • Strong analytical skills to effectively execute monitoring and testing procedures
  • Good prioritization skills, able to juggle priorities to meet immediate and unpredictable deadlines while also ensuring that longer-term projects are completed
  • Consistently demonstrates excellent listening skills
  • Strong writing and presentation skills, with demonstrated ability to tailor updates to particular audiences and appropriately summarize detailed information
  • Works effectively with others utilising a range interpersonal skills to achieve their objectives

List of Typical Experience For a Compliance Officer Resume

1

Experience For Compliance Officer Resume

  • Solid organisational and regulatory filing skills with good communication and analytical skills
  • Strong problem-solving skills, analytical skills and attention to detail
  • Solid interpersonal skills with the ability to build strong and effective relationships with business unit clients; Customer service focus
  • Good organisational and project management skills with the ability to manage conflicting priorities and their own workload
  • Strong communication skills, attention to detail, ability to multi-task and the ability to be effective in a fast paced environment are critical
  • Effectively prioritize and manage multiple tasks and priorities
  • Strong inter-personal skills, exceptional communicator, internally and externally, and a strong team player
2

Experience For Compliance Officer Resume

  • Prior experience in examinations/auditing roles, and strong understanding of testing methodology, risks and controls analysis and business processes mapping
  • Strong communication, writing and influencing skills during negotiation processes with clients
  • Detail Oriented with good planning and organization skills
  • 5=years of experience in consumer Compliance or similar experience with a strong understanding of the Credit Card business
  • Good communication skills, including the ability to deal with potentially contentious issues
  • Experience in financial services with a good understanding of complex bank environments, with AML related experience
  • Strong computer and technology skills and familiarity with industry software programs including Broadridge/ADP, MS ACCESS, IRESS, and RAPTOR would be an asset
3

Experience For Compliance Officer Resume

  • Strong research/investigative skills
  • Excellent skills in oral and written communication, especially ability to express statistical ideas and concepts clearly and logically to non-statisticians
  • Good communication skills in both written and oral English
  • Very good data analysis skills and expertise with Excel and other database tools
  • Demonstrate leadership skills and the ability to engage with colleagues in compliance, risk and the business during all phases of the business processes
  • Excellent critical thinking, analytical and research skills
  • Validates, as required, that corrective actions for findings are effectively implemented
  • Strong written and communication skills; ability to communicate with financial advisors, branch staff, leaders, department members and others in the firm
  • Excellent in project management and organization skills
4

Experience For Compliance Officer Resume

  • Good communication skills with Front Office
  • Communicating effectively and constructively within the Compliance and CRO Team
  • Develop Compliance Testing review programs and testing strategies by effectively assessing risks, identifying controls and designing tests/test steps
  • Skilled in working under pressure, managing multiple concurrent responsibilities, and prioritizing assignments according to often tight deadlines
  • Adopts a strong audit style approach to investigating and documenting their work ensuring conclusions are fully documented and supported by underlying evidence
  • Expert oral and written communication skills including presentation and public speaking
  • Solid experience in at a Medium to Large sized Investment Bank in either Account Opening or Money Laundering Prevention
5

Experience For Compliance Officer Resume

  • Advanced Microsoft Office Excel (examples include: pivot tables, conditional formatting, macro creation, linking spreadsheets) and PowerPoint skills
  • Experience analyzing issues and formulating effective corrective action plans
  • Notable demonstrable experience working in a financial crime environment – including Customer Due Diligence, AML and Sanctions experience
  • Apply analytical and decision-making skills in a collaborative environment
  • The Official Business Skills Test in Bookkeeping 2nd grade
  • Strong Data Interrogation/Testing Experience
  • Design and develop technical and soft skills training
  • Clear and persuasive communication skills (verbal and written); able to influence based on the message versus relying on authority
  • Good CIB product knowledge and extensive experience of front-office activities and dealing with senior business management
6

Experience For Compliance Officer Resume

  • Prior policy drafting experience
  • Prior Private Banking / Wealth Management Advisory Compliance Experience
  • Work with the business lines affected by changing laws, regulations, or policies to ensure that appropriate changes are implemented timely and effectively
  • Able to work effectively with senior business and staff, and with a matrixed organization of Compliance colleagues
  • Able to work effectively with senior business management and staff and with a matrixed organization of compliance colleagues
  • Related work experience, with 3+ years of applied technical experience
  • Functional/professional experience. Compliance/Audit/Risk Management or operational risk experience required
  • Work effectively in a multi-task, high volume and evolving environment
  • Effectively advise the Small Business unit on solutions to mitigate compliance risk
7

Experience For Compliance Officer Resume

  • Registered Investment Advisor experience or Broker-Dealer experience with research services
  • Well versed in compliance (preferably AML) skills, capacity, training needs requirements
  • Identify issues and clearly / effectively communicate them to management and staff
  • Effectively organize and manage multiple projects simultaneously
  • Effectively execute the controls plan as required
  • The ability to work effectively with others, be prepared to take a supportive role where required, and assist others at short notice
  • It is require having a robust suitability and appropriateness experience, as well as private banking experience and depth knowledge of regulation
  • AMLCO skills and capacity assessment tracking and analysis
8

Experience For Compliance Officer Resume

  • Well-versed in compliance (preferably AML) skills, capacity, training needs requirements
  • Excellent industry compliance experience at an Asset Management institution
  • Communicate effectively with external parties, including FDIC, Federal Reserve, FINRA, SEC and other regulators
  • Strong multi-tasking ability a strong asset
  • Effectively support the on-boarding of new businesses, from a Compliance perspective, as they come under the management of RLLS
  • Interact effectively at all levels of an organization
9

Experience For Compliance Officer Resume

  • Proven years of experience in Compliance
  • Experience in the industry or relevant work experience in a comparable organization, exchange or regulatory institution
  • Advanced skills with Excel and at least one of the following: SQL, R, SAS
  • Prior experience in a compliance environment or in a similar role within the financial services industry
  • Superior verbal and written communication skills, with the ability to translate complex information, analytics and situations into a clear and simple message
  • Managing an effective monitoring program and conducting reviews and investigations, maintaining documentation standards, and filing CTRs and SARs as required
  • Investigating individual compliance cases, gathering evidence and making contact with the relevant parties involved
  • Advising on Issues Management and performing validation of Regulatory corrective action plan items
10

Experience For Compliance Officer Resume

  • Leading effective training programs
  • Maintaining the UK Compliance Manual and ensuring the effective implementation of SCML compliance policies and procedures
  • Ensuring good documentation / record retention standards for all investigation work papers
  • Understanding of, and demonstrated ability to thrive in complex, matrix managed organizations
  • Executing various targeted review procedures designed to validate compliance with applicable regulatory requirements
  • Assisting in the validation of remediation activities performed by CB businesses to address identified control gaps
  • Outgoing and good networker
  • Developing what-if scenarios to analyze and test transactional rules allowing for the evaluation and validation of process improvement opportunities
  • Executing the effective compliance monitoring and surveillance program

List of Typical Skills For a Compliance Officer Resume

1

Skills For Compliance Officer Resume

  • Strong administrative skills are required, including good knowledge of Microsoft Office suite (Excel, PowerPoint, Word)
  • Strong organizational skills and ability to manage multiple priorities and projects
  • Excellent communication –both written and verbal as well as highly effective interpersonal skills
  • Strong writing skills, including composing Final Reports and Workpapers
  • Have a good understanding of business controls and influencing skills
  • Strong writing and communication skills including presentation design
  • Experience in compliance monitoring reviews, e.g. account opening or periodic reviews Skills
2

Skills For Compliance Officer Resume

  • Excellent organizational skills with the ability to lead initiatives and provide support for program planning, execution, tracking and communication
  • Strong writing, communication skills
  • Strong organizational skills, including attention to detail and the ability to plan, execute and follow through
  • Strong organization and analytical skills and capable of independently handling multiple projects to completion
  • Strong financial analysis, writing and presentation skills
  • Strong interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject
  • Excellent oral and written communication skills, including the ability to articulate complex regulations and rules; and,
3

Skills For Compliance Officer Resume

  • Strong writing, analytical and communication skills and be able to multi-task and complete projects on time
  • Strong analytical skills – able to recognize various possible outcomes resulting from actions
  • Excellent oral and written communication skills, including the ability to articulate complex regulations and rules
  • Strong project management and communication skills, including presentation design
  • Demonstrated problem analysis, sound judgment, decision making and risk management skills
4

Skills For Compliance Officer Resume

  • Strong Excel skills and knowledge of project management and reporting tools
  • Excellent writing skills, with the ability to draft detailed policies and procedures in a short time frame
  • Excellent communication, conflict management and problem solving skills
  • Excellent communication/writing skills required
  • Excellent computer skills and knowledge of MS Office (Outlook, Word, Excel, etc.)
  • Team player, good coordination skills
5

Skills For Compliance Officer Resume

  • Solid time management and/or project management skills
  • Strong leadership skills with ability to establish rapport and credibility at all levels of the organization
  • Proven ability to work cross-culturally and bridge cultural barriers and communicate effectively at both local and global levels
  • Strong interpersonal skills are also critical
  • Prior experience supervising employees or equivalent experience managing projects or processes
  • Strong written/verbal communication, interpersonal and relationship building skills
  • Strong problem solving, analytical ability oral and written communication skills
  • Excellent relationship building and partnership skills
6

Skills For Compliance Officer Resume

  • Excellent analytical, data synthesizing skills
  • Excellent communication skills (verbally & in-writing)
  • Excellent organisational & planning skills, to be able to manage and control own work schedules to very tight deadlines
  • Excellent data management and organization skills
  • Strong skills in qualitative and quantitative analysis
  • Excellent organizational skills with the ability to work independently, without supervision
  • Very good PC skills and knowledge, in particular Excel and Word
  • Strong interpersonal and communication skills with the ability to communicate at all levels
  • Quick study who possesses strong research skills
7

Skills For Compliance Officer Resume

  • Strong global/inter-cultural sensitivities and matrix organization navigation skills
  • Good program and project management skills
  • Have strong research and communication skills and Proficiency in Microsoft Office (Word, Excel, PowerPoint, Access, Visio, SQL, SharePoint)
  • Strong analytical skills to deal with complex legal compliance issues
  • Good inter-personal, oral and written communication skills
  • An open, flexible, team-oriented personality with good communication skills
  • Excellent written and oral language skills in at least English and German
8

Skills For Compliance Officer Resume

  • Effective communication and presentation skills directed to sophisticated and front-line junior
  • Good investigative skills & tenacious approach to work
  • Fluent in English with strong presentation skills to work with the business
  • Excellent presentation skills and the ability to produce high quality written communication
  • Strong Microsoft Office Suite skills (Word, Excel, Power Point and Access)
  • Strong analytical, written, and oral communication skills at all levels
  • Extremely strong attention to detail and organization skills
9

Skills For Compliance Officer Resume

  • Demonstrates extensive US and local regulatory compliance knowledge to be able to effectively support and drive the Global Compliance Program
  • Demonstrate exceptional analytical skills and attention to detail
  • Validates, as required, that corrective actions for issues are effectively implemented by established deadlines
  • Solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format,(e.g. spreadsheets, databases, etc.)
  • Strong analytical skills required to gather, assesses and present quantitative and qualitative data
  • Outstanding organization, decision making and problem solving skills
  • Training metrics development and generating skills
10

Skills For Compliance Officer Resume

  • Working closely with the Regional Sector AML ADAP Head and the Regional AML Team in effectively managing AML/Sanction risks in NAM
  • Outstanding IT skills and understanding
  • Drafting of test reports that effectively communicate testing processes, observations and results
  • KYC and CDD/EDD experience, including good understanding of various corporate structures including offshore Trusts, Funds, Special Purpose Vehicles etc
  • Senior associate or supervisory experience in public accounting or equivalent workpaper practice techniques and reporting writing experience
  • Global banking industry experience; experience working in a compliance governance or advisory, regulatory, audit, or testing-related environment

List of Typical Responsibilities For a Compliance Officer Resume

1

Responsibilities For Compliance Officer Resume

  • Manage the day-to-day work flow of supervision, testing and training matters to ensure the timely, accurate and consistent execution of the firm’s broker-dealer compliance program
  • Excellent project management skills, strong writing, analytical and communications skills
  • Conveys information clearly, accurately and succinctly. Uses a range of effective interpersonal skills to effectively influence others
  • Excellent Project Management Skills with experience managing cross functional projects
  • Excellent PowerPoint and Excel skills, including creating formulas, conditional formatting, basic macros, and producing and formatting charts
  • Compliance experience, including a strong preference for experience working at a regulator or supporting a buy or sell side trading desk
  • Good intellect and report writing skills (writing sample encourages)
  • Demonstrated communication, critical thinking, relationship management, and project management skills
  • Previous experience of working effectively in a team environment and the ability to work with and maintain confidential information
2

Responsibilities For Compliance Officer Resume

  • Exercise sound judgment and successful execution of strategies, with an understanding of how to operate effectively across diverse business units
  • Experience in designing, developing and presenting business requirements to technology team and validate the implementation
  • Ensure assigned testing responsibilities are performed timely with high level of quality work paper documentation and report writing skills
  • Develop and utilize strong Compliance Testing review programs and effective testing strategies
  • Strong understanding of and experience with the guideline monitoring function within an investment management organization
  • Experience in financial services with a good understanding of AML relevant business domains
  • AML professional skills, capacity tracking and analysis
3

Responsibilities For Compliance Officer Resume

  • Ensure compliance and operational risk topics are effectively discussed in governance forums and are supported by compelling MI
  • Experience in Model Risk management, model validation and working with regulators
  • Prior Private Banking / Wealth Management Advisory Compliance Experience preferable
  • Exceptional team working skills. Ability to interact with and influence others to create momentum and drive initiatives successfully to completion
  • Strong organizational awareness with experience working in a cross-functional environment and/or in a control function
  • Advanced skills using Word, Power Point, and Excel
  • Effectively interact and communicate with all levels of staff, up to and including executive vice president
  • Experience in financial services with a good understanding of AML relevant business domains
  • Work independently and interact effectively with all levels
4

Responsibilities For Compliance Officer Resume

  • Prior bank regulatory work experience
  • Assisting in testing control effectiveness through executing tests and targeted reviews
  • Accounting knowledge and working experience preferably
  • Delivering effective compliance training and communications
  • Liaising with local Regulators, Law Enforcement and other Governmental Bodies and ensure good relationships with the same
  • Monitoring the effectiveness and general maintenance of the firm’s Information Barriers
  • Understanding of, and demonstrated ability to thrive in, complex, matrix managed organizations
  • Consulting experience at a corporate level Professional certification in risk management
5

Responsibilities For Compliance Officer Resume

  • Establishing an excellent relationship with the Legal and C&ORC department stakeholders, particularly local Compliance officers within the region
  • Experience in developing and executing e-learning training
  • Experience in instructing Testing team members on making corrections to work papers and supporting documentation
  • Experience implementing a metric reporting program covering compliance within the financial services sector
  • Senior associate in public accounting or equivalent work paper practice techniques and reporting writing experience
  • Skilled in researching, interpreting and disseminating information on compliance regulations and laws
6

Responsibilities For Compliance Officer Resume

  • Experience in developing and executing e-learning
  • Extensive experience in producing and/or designing standard, cross category reporting packages for AML metrics
  • Related Compliance, Audit and/or Control oversight work experience required, preferably within the Performing Servicing or Default Servicing industry
  • Assist the Director and SVP with the delivery of the CASS monitoring and testing programme including CAP validation
  • Lead the design and implementation of key initiatives to improve the CASS monitoring and testing programme including the CAP validation process
  • Experience reviewing communications (i.e. marketing, advertising, statement stuffers, statement messages, client mailings) helpful, but not required
  • Strong track record in assessing Anti Money Laundering (AML) cases and making decisions to mitigate AML risk / escalate accordingly
7

Responsibilities For Compliance Officer Resume

  • A good working knowledge of UK Joint Money Laundering Steering Group (‘JMLSG’) Guidance Notes and the CDD/KYC content of FCA Financial Crime Guidance
  • Experience with reviewing advertising and marketing materials for compliance with regulatory requirements
  • Experience at determining and writing business requirements for systems development and participation in User Acceptance Testing (UAT)
  • Experience in either Compliance Reporting, Regulatory Reporting or relevant Shareholder reporting role in Financial Services industry
  • Experience in developing training materials, agendas or equivalent
  • Previous experience and/or knowledge of general brokerage compliance, NASD and NYSE marketing and advertising guidelines is required
8

Responsibilities For Compliance Officer Resume

  • Extensive experience working with KYC, Transaction Monitoring and risk data
  • Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
  • Support compliance testing staff in enhancing the Global Compliance Test Program. Monitors and ensures the regulatory control environment is effective
  • Experience with Compliance testing or auditing within a Retail and Commercial Bank environment
  • Experience representing financial institutions in all forms of interaction with regulators, including examinations and regulatory inquiries
  • Experience preparing internal reports for senior management analyzing exam status, issues and outcomes
9

Responsibilities For Compliance Officer Resume

  • Identify monitoring opportunities and solutions to solve them. Effective at communicating strategy to the stakeholders
  • Experience reviewing marketing material such as RFPs
  • A strong knowledge of existing and forthcoming UK and EU regulations
  • Significant experience within Compliance at a regulated financial institution, with working knowledge of EMIR reporting requirements
  • Experience of supporting the front office on general trading issues
  • Experience in developing training materials and agendas
  • A good understanding of corporate banking and trade finance operational processes and flows
  • Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
  • Track record in managing high performing teams with demonstrated results
10

Responsibilities For Compliance Officer Resume

  • Strong understanding of risk and controls analysis and business process mapping
  • Experience in banking, fintech, regulatory, consulting, legal or other compliance and control-related function in the financial services industry
  • Experience in a role related to advertising laws and regulations-Knowledgeable of applicable US advertising laws and regulations
  • Experience working in a compliance governance, regulatory, audit, or testing-related environment, preferably at a global level
  • Experience in identifying root causes of compliance issues and developing appropriate action plans to address control deficiencies
  • Good working knowledge of UK regulatory rules and principles and how these apply to compliance monitoring and reviews
  • Related Compliance, Audit and/or Control oversight work experience required for consumer banking or institutional banking
  • Experience in reviewing Know-Your-Customer files for complex banking products
  • Experience in investigating customer transactions and reviewing customer information

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