Compliance Officer Senior Resume Sample

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Yasmeen Mohr
47077 Mariah Heights,  Boston, MA
+1 (555) 653 0270

Work Experience

Senior Policy & Compliance Officer
05/2018 - PRESENT
Philadelphia, PA
  • Directs multiple Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Business Analysts involved in the evaluation of system requirements
  • Manages the tasks of BSA/AML Business Architects assigned to a project, as required, to assure objectives are met on time and within cost, includes project planning, project design, and developing integrated business solutions
  • Defines requirements, procedures, and practices to implement changes and increase efficiency
  • Analyzes problems in terms of process and/or system functionality; generates data and applies analytical and quantitative techniques to formulate, describe, communicate, and coordinate implementation of recommended solutions
  • Reviews and opines on customer specific HRIs throughout the client life cycle
  • Provides FCC concurrence for all high risk customers and ensures that Customer Due Diligence (CDD) is consistent with AML policy and line of business procedures
  • Provides EDD advisory services involving high risk/complex matters in conjunction with the FCC LOB Advisory function. This includes customer transaction, reputation and FCC risk issues; customer onboarding; client exits; the application of the AML Policy, and the implementation of Line of Business AML Procedures
  • Coordinates, monitors, and supervises day-to-day compliance with HNAH’s BSA/AML Policy
Senior Investments Compliance Officer
12/2014 - 01/2018
Philadelphia, PA
  • Sound decision-making skills; able to make decisions independently and quickly
  • Strong research skills coupled with strong problem solving/analytical skills
  • Serves as the second line of defense for responsible banking compliance
  • Continually review and analyze the effectiveness of first line’s risk processes and controls
  • Manages the company’s complaint process to ensure compliance with policy and law. Provides analysis of complaint trends to senior management and the board of directors. Analyzes complaint trends to identify products, processes or areas of concern
  • Reviews and approves marketing, policies, and procedures. Participates in development of new risk assessments and validates the business unit updates of compliance risk assessments, with particular attention to out-of-cycle regulatory or environmental changes that would impact the unit’s (s’) compliance profile
  • Partners with the Fair lending Program officer to manage risk assessments and activities in conjunction with the bank’s Responsible Banking and Fair lending Program
  • Works with business unit(s) to identify appropriate audiences for training. Identifies need for new training; develops and delivers as needed
Senior Grants Compliance Officer
06/2009 - 09/2014
Dallas, TX
  • Extensive working knowledge of the ITAR and EAR
  • Prepares and submits export license applications and complex agreements in support of Honeywell Aerospace export compliance activities
  • Ensures record keeping of all required documents
  • Trains departments to help them to identify export licensing requirements and ensure compliance with the regulations
  • Works directly with Honeywell’s Washington DC International Trade Compliance to maintain the appropriate level of quality control and standardization on export applications and procedures
  • Responsible for VAT registration and deregistration of clients
  • Ambition: we are a growing company in which we constantly look for the next opportunity and where all ideas are welcome
  • Responds to various compliance inquiries from the organizations’ operating units
  • Provide advisory support on U.S. privacy and banking confidentiality laws to businesses and global functions


University of North Carolina at Asheville
2004 - 2008
Bachelor's Degree in Computer Science

Professional Skills

  • Excellent problem solving, research and analytical skills
  • Well-developed organisation and time management skills
  • Experience in conducting monitoring and assessing risk associated with regulatory compliance issues
  • Extensive experience in drafting and submitting export license applications and proposed agreements
  • Experience with spreadsheets, including Sharepoint, Excel, etc
  • Proven ability to analyse financial data to inform programmatic management decisions as per organisation’s strategy
  • Working knowledge in UCC, Privacy, Regulation E (Electronic Funds Transfer Act), Americans With Disabilities Act, and Vendor Oversight

How to write Compliance Officer Senior Resume

Compliance Officer Senior role is responsible for research, health, training, finance, credit, securities, integration, reporting, insurance, compliance.
To write great resume for compliance officer senior job, your resume must include:

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

Contact Information For Compliance Officer Senior Resume

The section contact information is important in your compliance officer senior 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 Senior Resume

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

Representative Compliance Officer Senior resume experience can include:

  • Determines methods and procedures on new assignments and be able to provide guidance to other less experienced professionals
  • Conduct regulatory tracking and impact assessments
  • Review Audit findings for areas of responsibility; evaluate the Business’s corrective action plan to address any issues and monitor progress made in their resolution
  • Provide oversight and monitoring of line of business processes and controls
  • Participate in or lead various projects related to mitigating risk to Key
  • Knowledge and understanding of information legislation and privacy legislation

Education on a Compliance Officer Senior Resume

Make sure to make education a priority on your compliance officer senior 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 senior 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 Senior Resume

When listing skills on your compliance officer senior 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 senior skills:

  • Computer literate with good working knowledge of Excel & macros
  • Tertiary qualifications in a relevant discipline, or equivalent experience
  • More than 10 years of experience in a compliance/regulatory or audit role
  • Strong knowledge of financial markets and transactions
  • Strong knowledge of Singapore financial markets regulatory environment
  • Willing to work on Singapore public holidays

List of Typical Skills For a Compliance Officer Senior Resume


Skills For Senior Policy & Compliance Officer Resume

  • Work cooperatively within a team to achieve team objectives and work outcomes
  • Support the development and monitoring of tools, programs and audit processes to enable systems improvement and implement best practice in information access and privacy management
  • Promote and adhere to the Public Sector Values of Integrity, Trust, Service and Accountability
  • Manage the logging, tracking and status reporting of government information, and privacy requests and provide administrative support to the Unit as required to support the smooth running of the Unit
  • Coordinate and undertake the sourcing, analysis and assessment of information to process access applications and informal requests under the GIPA Act
  • Comply with the System Requirement, Safety Responsibilities, Authorities and Accountabilities within the Safety Management System
  • Good communication skills - able to present complex matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm’s other Divisions)
  • Investment sales/business development experience required, including a good understanding of the MFDA policy, along with advanced product knowledge of CIBC proprietary mutual funds
  • Working knowledge of PC software applications (MS Word/Excel etc.), working knowledge of ICBS, Horizon, COINS, CORFAX, MFOL, BOSS, MFSS and Right-Fax is an asset

Skills For Senior Investments Compliance Officer Resume

  • Knowledge and understanding of CIBC SI compliance procedures and the PC Financial customer contact center and In-store processes and challenges is an asset
  • Strong working knowledge of the compliance risks associated with a banking institution as well as experience working in and/or building effective compliance programs
  • Advanced ability to analyze and interpret US or local export laws and regulations
  • Quickly adjusts to new situations
  • Deep knowledge of FCC risks, and KYC rules and other critical aspects of the business and risk identification capabilities(i.e.: risk of client composition, markets and geographies served, products and services offered)
  • Service-oriented and client focused. A team player with strong oral, written and interpersonal communication skills
  • Working knowledge of investment guidelines, securities ratings and industry classification, benchmark indexes, etc

Skills For Senior VAT Compliance Officer Resume

  • Interact with sales and trading staff, as well as management, in providing guidance concerning federal and SRO rules and regulations as they apply to the Fixed Income areas
  • Provide rule and policy-specific training to Fixed Income staff
  • The position requires ability and willingness to travel internationally (to Syria’s neighboring countries, as need arises) up to 40% of the time
  • Assist fixed income management in the establishment of an appropriate supervisory framework
  • Provide assistance with regulatory inquiries and examinations
  • Demonstrated ability to develop, implement, monitor and report on policies and strategies to improve compliance and manage risks in accordance with relevant legislation, policy and standards

Skills For Senior Grants Compliance Officer Resume

  • Collaborates with Senior Management, BRCM and Business Line Management in the execution of this role
  • Ensures employees apply compliance and operational risk controls in accordance with HSBC and regulatory requirements, expectations, standards and policies; and optimizes relations with regulators by addressing any issues
  • The reason for your interest in this role, and
  • Develop relationships of trust and confidence with the lines of business
  • Provide independent review and challenge on various line of business activities

Skills For Senior Lead Compliance Officer CBD nd LOD Lending Resume

  • Management:Line manage 2-3 direct reports
  • Grant contract management: Be lead person on all aspect of grant compliance, ensuring grant management standards (e.g. reporting, procurement, visibility, transfer of assets, audit, etc) are understood and applied by WVUK and National Office (NO) colleagues
  • Financial processes: manage grant financial processes, including co-financing and other match funding requirements, preparation and submission of financial claims, funding commitments, carry forwards, FOREX, cost recovery, and other grant financial issues as necessary
  • Financial reporting: manage grant financial reporting, proactively engaging with NO colleagues to ensure reports comply with donor requirements in terms of their presentation and timeliness. Advise on eligibility of costs and donor audit requirements
  • Donor requirements: develop and maintain familiarity with and detailed understanding of the grant management requirements of donors which fund grants in respective region /countries, providing specialist support to NO and WVUK colleagues
  • Risk management: manage financial and reputation risk by proactively monitoring grant performance, identifying issues, and working with colleagues to resolve these, minimising the potential for disallowed costs. Support roll out of updated processes and training staff on process and procedures

Skills For Senior Mortgage Default Compliance Officer Resume

  • Monitoring trips: make regular visits to NOs to monitor and verify grant compliance and financial management and to deliver grant management training. Using the opportunity to meet donors/local partners as necessary
  • Contract amendments: manage grant contract amendments, including donor liaison, working with colleagues in Policy & Programmes and NOs to ensure alignment between revised project implementation plans and budgets
  • Donor relationships: maintain effective relationships with donors, representing World Vision to a high standard in all interactions, including visits to delegations in-country and representation at meetings
  • Networking: participate in relevant external networks (e.g. BOND)
  • Information management: complete and maintain up-to-date grant information on PARIS/Horizon, especially financial and risk monitoring data
  • Training & Advice: Develop materials for and provide training on grant management and compliance best practice to colleagues in Policy & Programmes and NOs as necessary
  • Participates on teams to develop compliant products and services

Skills For Senior Lead Export Compliance Officer Resume

  • Thorough knowledge of compliance issues, laws and regulations relating to unfair, deceptive, abusive acts or practices (UDAAP) standards; Truth in Lending Act; Truth in Savings Act; Equal Credit Opportunity Act; Fair Credit Reporting Act; Real Estate Settlement Procedures Act; Fair Debt Collections Practices Act, and Uniform Commercial Code
  • Ensures products, services, and operations are in compliance with all legal and regulatory requirements: monitors, researches, and analyzes complex and difficult public policy governance including federal and state laws, regulations, staff commentaries, court decisions, legal opinions, trade association guidance, Instructions, and other resources
  • Maintains liaison with external groups and represents in external meetings as appropriate
  • Demonstrated experience in interpreting and applying the Privacy and Personal Information Protection Act 1998 and the Health Records and Personal Information Act 2002 in an operational context. Knowledge and understanding of privacy legislation, as well as excellent problem solving, research and analytical skills and the ability to make appropriate recommendations

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