Markets Compliance Resume Sample

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Alexander Hand
2177 Ara Lock,  New York, NY
+1 (555) 553 3879

Work Experience

Managing Director CIB Head of Markets Compliance
04/2016 - PRESENT
San Francisco, CA
  • Relevant experience in the financial services field preferably at a diversified financial services company either directly within compliance, legal or risk management
  • Ensure the Markets Compliance function has the necessary resources to carry out its mandate effectively
  • Put in place measures and build the right environment for staff within the Markets Compliance function to develop their skills and capabilities, particularly so that they are up to date with developments in compliance laws, rules and standards
  • Your participation as a member of the APAC CCRO leadership team
  • Your coordination with relevant regional and global CCRO and other partners, including GC and other control functions on the application of relevant regulations and Bank policies applicable to the Bank’s businesses, and other local management and shared services in respect of the business
  • Participating in CCRO groups in a compliance advisory capacity on developing policies and procedures
  • Ensure that the APAC Regional CCRO is regularly and appropriately informed about material developments, including Weekly Escalation Report
BA Japan Markets Compliance
02/2009 - 10/2015
Los Angeles, CA
  • Ensure CCRO sponsored projects and work plans are appropriately prioritized and implemented
  • Being well versed in all aspects of compliance risk, particularly compliance risk in APAC Markets
  • The ability, and credibility, to work with and support senior management in overseeing the management of compliance risk present in the business strategy
  • Effectiveness in crafting and maintaining regulatory relationships with the bank’s regulators, where applicable
  • Relevant exposure to Markets Compliance in APAC Region
  • Possessing business insight and commercial understanding within financial institutions or regulators
  • Experience of dealing with and reaching positive agreements with Asian regulators
  • Deep understanding of regulatory issues relevant to APAC Markets including licensing requirements, applicable securities laws and exchange rules
Markets Compliance, AVP
01/2004 - 12/2008
New York, NY
  • A dedicated approach to work and possessing the initiative to drive projects and matters forward to resolution
  • Excellent interpersonal and influencing skills, with the ability to establish credibility and strong collaboration with internal partners at various levels of seniority
  • Work under pressure and achieve tight deadlines, and to work as a member of a cross functional team in an in-house environment
  • Design and effect delivery of training program tailored to covered business and control units supporting compliance with applicable regulatory obligations and the firm’s compliance-related policies and procedures
  • Compile and provide KRI’s, compliance reporting, metrics and management information for relevant committee and management requests
  • Actively participate in management, remediation and closure of compliance owned audit issues, MRA’s MRIA’s or other compliance owned issues or findings
  • Subject to adequate staffing oversee the EMEA Global Markets Compliance group’s involvement in business led projects, ensuring timely and robust input and challenge by group members
  • Provide Compliance support to business and corporate projects as required, including those relating to regional governance, acquisitions/divestitures, remuneration, and new tax initiatives etc
  • Knowledge of the relevant OTC regulatory reforms such as Singapore’s, Dodd Frank and EMIR regulatory requirements


University of Phoenix - Wichita Campus
1998 - 2003
Bachelor's Degree in Business

Professional Skills

  • Excellent management skills including people and problem solving
  • Sound decision-making skills balancing commercial needs with the need to maintain a strong control infrastructure
  • Excellent organizational skills, able to manage daily queries with ongoing projects
  • Analysis, planning, and problem-solving skills
  • Proven experience in dealing with regulators
  • Language skills (Fluent in both Japanese and English)
  • Strong understanding of Global Markets products, particularly Equities products

How to write Markets Compliance Resume

Markets Compliance role is responsible for commercial, infrastructure, design, equities, training, planning, education, compliance, tax, legal.
To write great resume for markets compliance job, your resume must include:

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

Contact Information For Markets Compliance Resume

The section contact information is important in your markets compliance 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 Markets Compliance Resume

The section work experience is an essential part of your markets compliance 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 markets compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular markets compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Markets Compliance resume experience can include:

  • Strengthen Compliance culture by on-going monitoring and evaluation of the ethical culture and compliance with laws, regulations, policies and procedures to ensure adherence of Compliance
  • Strong communication and stakeholder engagement skills at all levels
  • Strong focus on Equities and Equity Derivatives Compliance
  • Understand the business, analyze the issues and formulate appropriate recommendations
  • Understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
  • Manage and prioritize multiple projects, many with tight deadlines

Education on a Markets Compliance Resume

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

When listing skills on your markets compliance 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 markets compliance skills:

  • Strong experience in understanding, assessing and responding to regulator requests, requirements and audits
  • Willing and eager to learn and understand the business
  • Working knowledge of swap derivatives
  • In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products
  • General understanding of products, services, and processes
  • Develop a rapport with business but maintaining independence

List of Typical Skills For a Markets Compliance Resume


Skills For Managing Director CIB Head of Markets Compliance Resume

  • Resilience to change, ability to deal with conflict, adaptability
  • Multi-task and interface with peers
  • Global Acumen - Developing and incorporating an understanding of the competitive global business environment as well as an awareness of economic, social and political trends that impact the organization’s global strategy
  • Work independently and as part of a team yet understand when matters need to be escalated to senior management
  • Think critically and make decisions

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