Compliance Review Resume Sample

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Keenan West
7158 Parisian View,  San Francisco, CA
+1 (555) 402 5092

Work Experience

Utilization Review Compliance Manager
10/2015 - PRESENT
Chicago, IL
  • Review the design and effectiveness of business and control processes in adhering to regulations and the firm’s compliance policies for the Corporate and Investment Banking (CIB) businesses acrss Asia
  • The review of Financial Advisors’ “book of business”, including the analysis of money movements, trading activity, investment products and strategies
  • Preparing detailed written reports about Financial Advisors’ “book of business” and presenting the findings to key stakeholders in the Business Unit, Legal, Compliance and Risk
  • Display behavior which exemplifies Omnicare’s Code of Conduct and Core Values
  • Coach and mentor less experienced associates. Reviews Associate’s advertising for quality. Point person on team for answers to technical questions
  • Assist with the organization’s utilization review audit plan in accordance with the mission and strategic goals of the organization, federal and state law and regulations, and accreditation standards
  • Undertakes continuous education to maintain knowledge base, auditing and management skills consistent with the company and department’s professional development requirements and individual credentials
Compliance Review
03/2010 - 04/2015
Los Angeles, CA
  • Maintains Capella’s Federalwide Assurance (FWA) and IRB Registration with the Office of Human Research Protections (OHRP)
  • %: Compliance Oversight: Promote a culture of compliance within Capella’s research community, with particular attention to promoting the protection of human research participants and the responsible conduct of research and to ensuring adherence by Capella’s advanced doctoral researchers to University policy
  • Coordinate the review of research contracts and data use agreements with Capella’s legal department
  • %: Research Ethics & IRB Education: Develop and implement training and professional development to promote the responsible conduct of research and adherence to IRB best practices within Capella’s research community
  • Review and provide contractual advice with recommended deviations to non-standard contractual terms in accordance with Emerson’s contracting policies and procedures
  • To check all the booking packages for validation that they are ready to be booked according to Emerson’s policy
  • To ensure that Due Diligence of intermediaries are proceeded; Review and assess Due Diligence data with ability to address or highlight areas of risk for resolution in accordance with Emerson’s ethics policy
  • Reviewing marketing communications for clients, such as advertising, sales support materials, client communications, websites and social media
  • Staying abreast of changes to laws and regulations affecting the management, operations, and product offering of the company and clients
Compliance RN Utilization Review
06/2007 - 01/2010
Phoenix, AZ
  • Coordinating with legal counsel and business units to ensure adherence to laws and regulations relating to new or revised products and service offerings
  • Participating in business unit initiatives and projects
  • Keeping abreast of industry standards and knowledge to be able to communicate with both internal and external clients
  • Provide support to clients in various time zones
  • Centralise compliance reviews within one unit in Compliance for the purpose/benefit of benchmarking practices across different BUs and identify specific area/unit of concerns
  • To implement the compliance review plan according to agreed schedules and to ensure compliance review check steps cover key regulatory requirement
  • To perform independent reviews/surveillance tasks on both regular and ad-hoc basis and agree the management actions on the observations identified with relevant BU/SUs
  • To assist regional Compliance Review team in formulating the regional compliance test plans
  • To assist the Team Lead of Compliance Review to prepare review reports and consolidate findings identified


John Paul the Great Catholic University
2003 - 2007
Bachelor's Degree in Business

Professional Skills

  • Writing Skills – Strong academic and technical writing and editing skills. Ability to create, develop, and edit academic and technical documents
  • Strong analytical skills, risk-control mindset and detail-oriented to interpret regulations and develop relevant review strategies
  • Strong verbal and written communication skills, comfortable to articulate complex findings in clear, concise manner to senior management
  • Motivated individual with strong project management skills to manage multiple deliverables within defined deadlines
  • Approximately 6 - 10 years relevant Compliance experience or other related experience such as legal, risk management, audit , operations controls or similar
  • Employ interpersonal skills to establish credibility and influence and negotiate outcomes
  • Experience in financial services operational risk management, compliance, and audit specifically relating to financial product advice

How to write Compliance Review Resume

Compliance Review role is responsible for software, auditing, analytical, trading, retail, finance, training, design, education, research.
To write great resume for compliance review job, your resume must include:

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

Contact Information For Compliance Review Resume

The section contact information is important in your compliance review 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 Review Resume

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

  • To track the status of the agreed management actions for compliance testing observations noted and validate the management actions upon completion
  • To draft review report and consolidate findings identified in the review report
  • To keep proper trail of compliance review done, methodology adopted and issue raised
  • Experience in compliance / legal or audit department of a bank or authorized / licensed financial institution; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to [Business / Support Unit]
  • Effectively communicate with management and front line staff to drive compliance initiatives and other relevant process changes / projects

Education on a Compliance Review Resume

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

When listing skills on your compliance review 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 review skills:

  • Have proven resilience and sound judgement under pressure
  • This role is mainly a sedentary role with frequent sitting and occasional walking and/or standing
  • Be self-motivated and bring a high level of energy and commitment to the team
  • To assist Team Lead of Compliance Review to devise annual compliance testing plan
  • To provide practical assistance, recommendations to BU/SUs advice and on issues identified during the review
  • Develop a rapport with [Business/Support] Unit but maintaining independence

List of Typical Skills For a Compliance Review Resume


Skills For Utilization Review Compliance Manager Resume

  • Team player, comfortable to interact with teams across multiple locations and timelines globally
  • Broad understanding of advertising regulations relating to insurance and financial products, as well as SEC, FINRA and State Department of Insurance requirements
  • Excellent project management, analytical and organizational skills with an attention to detail
  • Make sound judgments and act quickly under tight deadlines; and to develop and negotiate creative solutions when necessary
  • Leadership Skills – Ability to exercise sound judgment, make independent decisions, and positively influence others; ability to lead interdisciplinary, cross-functional teams to collaborate and achieve goals; ability to demonstrate diplomacy, tact, and a professional demeanor; ability to effectively prevent, manage and mitigate conflicts

Skills For Institutional Review Board Administrator & Compliance Specialist Resume

  • A good understanding of the unique aspects of an online university and its mission; ability to apply technology in service and program delivery; in-depth knowledge of educational standards; ability to apply innovative thinking and analysis to a wide range of situations
  • Self-motivated to function independently in a fast-paced, high intensity environment often driven by deadlines; ability to respond well to changes
  • Technical and Computer Skills – Advanced knowledge and skills in using software related to academic delivery model; advanced knowledge in statistics and use of SPSS for purposes of reporting; proficiency with Microsoft office system and the ability to evaluate and learn new computer software applications
  • Experience in Wealth Management and/or other retail investment products and their regulatory frameworks
  • Thorough understanding of relevant legislation and regulation in relation to financial product advice, AFSL and ASX compliance and regulatory frameworks, including FOFA requirements
  • Understand the business, analyze issues and formulate appropriate recommendations
  • Foster compliance culture, in particular within [Business/Support] Unit and the compliance team

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