Compliance Services Resume Sample

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Wellington Toy
4874 Gregg Lodge,  New York, NY
+1 (555) 592 7698

Work Experience

Merchant Services Risk Management & Compliance Specialist
02/2018 - PRESENT
Detroit, MI
  • Cybersecurity Experience required
  • Management Experience required
  • Acts as a change champion and persuasive advocate; building networks and gaining cooperation across industry, service line or functional boundaries to make certain that the proposed action is always in step with the firm’s strategic direction
  • Strong knowledge of firm and regulators’ independence rules and policies
  • Perform research and gather documentation in relation to the department’s RCM requirement
  • Partner with the Centralized Compliance Services group to manage the regulatory requirements for branch office filings, and ongoing maintenance and review of Outside Business Activities on registered employees’ Form U4 filings
  • Contribute to the ongoing maintenance of the Firm’s Form ADV including quarterly Form ADV Part 2A updates and the annual update
Merchant Services Compliance Finance Analyst
06/2011 - 09/2017
Phoenix, AZ
  • An effective leader with tenacity and drive to achieve outstanding results
  • Strong computer skills: Microsoft Office and Outlook; ability to learn other systems
  • Strong attention to detail, organizational skills and problem-solving skills
  • Fully understand and execute IC 3rd party on boarding process. Ensure all company criteria is met when on-boarding IC’s – including, where applicable, background checks, MVR’s, required insurances and all agreements signed
  • Complete, maintain and track ICC (Illinois Commerce Commission) equipment leases for IL IC’s only
  • Ensures that Merchant Services operates within established bank guidelines, policies and procedures including State and Federal regulations and Payment Card Companies’ bylaws, rules and regulations
  • Keeps informed and has current knowledge of: 1) bank policies and procedures, 2) applicable federal laws and regulations, 3) payment card companies’ bylaws, rules and regulations, 4) industry business enhancements and pricing changes, and 5) vendor’s operational changes and product development
Compliance Services Administrative Assistant
10/2006 - 04/2011
Houston, TX
  • Drive consistency in Regulatory Compliance/ Financial Crime Compliance / Conduct messaging throughout the business line and Ireland Compliance, building a culture of transparency between Financial Crime Compliance/ Regulatory Compliance and the first line of Defence
  • Experience of working within a highly complex matrixed environment including reporting internationally
  • Lead large and complex change initiatives from an Financial Crime Compliance/ Regulatory Compliance perspective, contributing to joining up with the other teams in Risk and Business
  • Works with program offices to develop and/or amend policies and procedures to align with Chancellor’s Regulations and other internal policy documents
  • Tertiary qualifications in Science, Engineering, Safety or other relevant discipline
  • Strong technical experience (>20yrs) and background in one or more of the following areas: Auditing (Environment, WHS, EMS, Compliance); Work Health and Safety Consulting; Risk Engineering; Occupational Hygiene; Air Quality
  • Demonstrated experience in managing complex projects and meeting delivery requirements
  • Leadership skills including technical leadership, human relations, team building innovation and motivation skills


Lindenwood University - Belleville Campus
2001 - 2006
Bachelor's Degree in Finance

Professional Skills

  • Strong managerial skills in leading large and virtual teams is critical
  • Strong accounting and analytical skills and able to apply technical knowledge to solve business issues
  • Professional demeanor, team player and positive attitude, able to adapt to changing priorities
  • Advanced understanding of the business line’s operations, products/services, systems and associated risks/controls with international experience
  • Experience in Private Banking, Trust or Asset Management compliance
  • Experience to Purchasing and Logistics or supply chain is an advantage
  • A person with relevant qualification (i.e. CTIM, CIMA, ACCA, CA) with 5 to 8 years’ relevant experience

How to write Compliance Services Resume

Compliance Services role is responsible for software, microsoft, accounting, credit, securities, training, auditing, purchasing, analysis, reporting.
To write great resume for compliance services job, your resume must include:

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

Contact Information For Compliance Services Resume

The section contact information is important in your compliance services 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 Services Resume

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

  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business partners
  • Experience in an global FMCG or similar dynamic operating environment
  • Proven ability to solve problems, determine next steps and manage execution of projects from inception to completion
  • Experience in compliance related activities
  • Experience in International Trade Compliance
  • Designing and implementing compliance framework and policies

Education on a Compliance Services Resume

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

When listing skills on your compliance services 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 services skills:

  • Confident and articulate, with strong communication and interpersonal skills
  • Strong verbal and written communication skills and able to articulate ideas and analysis of issues to all levels of management
  • Advanced MS Excel Skills (e.g., macro, pivot tables, v-lookups, & what-if analysis)
  • Demonstrated ability to prioritize, multitask and develop work plans to illustrate progress and challenges faced
  • A qualified accountant (CIMA, ACCA, CA) with 3 to 5 years’ relevant experience
  • Experience in the financial services industry or a data analytics / visualization role

List of Typical Experience For a Compliance Services Resume


Experience For Merchant Services Compliance Finance Analyst Resume

  • Preferably good Custody and Fund Services product knowledge
  • Understand the impact of the accounting process and practice, and also tax related matters
  • Prepare management and governance reports on a monthly basis
  • Provide general compliance knowledge of Anti-money laundering and sanctions, conflicts management, Information barriers, data privacy and bank secrecy is also beneficial
  • ​Quick learner and is IT savvy
  • Quick learner and is IT savvy

List of Typical Skills For a Compliance Services Resume


Skills For Merchant Services Compliance Finance Analyst Resume

  • Strong knowledge of applicable regulatory requirements and the ability to translate those requirements into operational compliance controls
  • Hardworking, quick to learn, efficient, with a real passion for excellence
  • Demonstrable success in coordinating large scale initiatives involving geographically and functionally diverse stakeholders is required
  • Ensure that team resources contribute to FSS as a whole and understand how they can contribute to other teams’ priorities and achieve the right balance
  • In depth understanding of interpretation of IAS/IFRS and relevant accounting standard
  • In depth understanding of Financial accounting model
  • Ensure that team resources contribute to FSS as a whole and understand how they can contribute to other teams priorities and achieve the right balance

Skills For Merchant Services Risk Management & Compliance Specialist Resume

  • Understanding of data structure and capable of using MS Access Database, R and SQL
  • Own scheduling and holding IEP, SEP, BIP, and Eligibility meetings in a timely manner
  • Provide technical support and training on the SEDS system to staff (including case managers and related service providers)
  • Able to pick up leaning of new software
  • Take direction from department personnel. Report recurring problems to management and assist in resolution
  • Draw connections across businesses and various risk and performance measures, generate new ideas and implement them, including the ability to take ownership and accountability of tasks and projects from inception to conclusion
  • Basic understanding of financial market and products
  • Familiarity with the evolving regulatory landscape, especially related to compliance in financial industry

Skills For Core Compliance Services Resume

  • Support case managers with necessary paperwork and collecting data for LRE and dedicated aides requests
  • Serve as a liaison between KIPP DC and attorneys representing students with disabilities
  • Ensure clinicians providing Medicaid-reimbursable services log service notes correctly and timely respond to Random Moment In Time Surveys (RMTS)
  • Can exercise independent judgment, decision making and delivery and deadline-focused with ability to pay attention to details
  • Highly proficient in the use of MS Office tools and accounting computer software
  • Multitask and be able to meet tight deadlines
  • Proficient Data Visualization Capability (e.g., Tableau, DataWatch, Qlik etc.)
  • An understanding of RBC US Wealth Management’s regulatory requirements and priorities, along with the ability to align the departments’ plans and priorities with those of the firm
  • Compliance department, employees across the firm and across the broader organization

Skills For Compliance Analyst, Capital Services Resume

  • Transaction or Trade Services background
  • Regulatory Agency (e.g., Fed, OCC) background
  • Ensure that clinical staff performance is compliant with the various regulations and standards applying to utilization management operations (including NCQA standards, URAC and NJ DOBI requirements)
  • Monitor the medical review process to assure that staff are making appropriate medical necessity determinations, applying InterQual and medical policy correctly, and making accurate and well-documented referrals to medical directors
  • With at least 10 years of broad tax and/or audit background. Strong knowledge of tax, PEZA, BOC law and regulations, practice and procedures

Skills For Trust Services Group Compliance Analyst Resume

  • Design and develop analytical tools / MI to help measure the effectiveness of core compliance control processes
  • Assist’s in providing support for card acceptance strategies and initiatives to include measurement and tracking
  • Provide feedback to the managers regarding probationary and annual staff reviews and status of corrective action plans when indicated
  • Knowledge of New York City Department of Education databases, programs, systems and reports
  • Support management with ad-hoc analysis and activities in order to achieve company’s overall objectives

Skills For Analyst, Global Shared Services Compliance Resume

  • In depth knowledge of the Customs Regulations (19CFR) as it relates to FTZ’s, Fines and Penalties and Import Operations/Customs Entry
  • Exceptional ability to be innovative, self-reliant, and resourceful
  • Exceptional communication skills with strong ability to influence and build consensus amongst stakeholder groups and individuals without having direct management authority
  • Ensure student support services staff abide by IDEA and local regulations
  • Oversee compliance of student support services files
  • Support and train case managers to gather and analyze data (assessments, grades, observations, teacher comments, etc.) prior to requesting evaluations and input information into SEDS
  • Consult with IEP teams to determine whether to proceed with the LRE process for placement and dedicated aide concerns, as needed

Skills For Driver Services Compliance Specialist Resume

  • Collaborate with the case manager and Director on due process actions
  • Coordinate the dissemination and collection of Medicaid related documents to parents and other stakeholders
  • Coordinate the alternate assessment for students with disabilities
  • Oversee related services delivery services weekly and monthly to report to Director
  • Provide technical assistance to staff members in order to comply with the ADA and Section 504. Attend 504 meetings as needed

Skills For International Payment Services Compliance Change Analyst Resume

  • Build holistic core compliance analytics dashboard to measure key risk and performance indicators
  • Provide strategic insights to senior management on potential risk mitigation strategies
  • Work with central data analytics / visualization team, IT, and stakeholders to deliver timely analytics and metrics
  • Help identify data gaps from upstream source systems, work with IT partners to improve data quality and coverage
  • Understand how evolving regulatory requirements interact with banking activities, and develop analytics around the impact of regulatory change on assessing Credit Suisse clients, employees and bank related risks
  • Work on special projects and respond to ad hoc inquires

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