Officer, Compliance Resume Sample

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Cade Balistreri
85092 Gwen Knolls,  San Francisco, CA
+1 (555) 967 1055

Work Experience


Lead Compliance Officer
09/2015 - PRESENT
Los Angeles, CA
  • Equities: Magic DMA platform, AES, Crossfinder/Lite Pool, SMG
  • Global Macro Products: Rates, FX, Commodities, WAKE
  • Operations: areas that are IT dependent/intensive
  • Additional business areas/systems/technology as it is developed
  • Protect the Bank’s assets by adhering to all banking, investment and lending regulations (as appropriate), Policies and Procedures, legal and ethical requirements, process requirements, bank guidelines and established risk guidelines
  • Maintain and update the Firm’s Watch and Restricted list according to internal policies and procedures
  • Regularly manages RMA SharePoint site to ensure quality, timeliness, and accuracy of content
Equity Compliance Officer
04/2009 - 04/2015
Chicago, IL
  • Reviews and Approvals of Static Data Amendments for existing customer accounts
  • Undertake specific due diligence assignments in conjunction with regional oversight as required, including but not limited to, Finders/Consultants, Reputation Risk, Politically Exposed Persons (PEPs)
  • Preparation of Monthly / Daily Management Statistics and Dashboard
  • Understand specific due diligence assignments in conjunction with regional oversight as required, including but not limited to, Finders/Consultants, Reputation Risk, Politically Exposed Persons (PEPs)
  • Development, implementation and maintenance of the RIA’s compliance program, including policies, procedures, systems monitoring, technology-based controls, and training
  • Work with Nasdaq’s Office of General Counsel to adapt to changes in the regulatory framework, or address the compliance implications of new business products and business activities
  • Compliance experience in registered investment advisor and broker-dealer activities
  • In-depth knowledge of SEC and SRO rule and regulations applicable to RIAs and broker-dealers
  • Strong interpersonal, communication and presentation skills; ability to work effectively with senior managers
Junior Compliance Officer
06/2004 - 12/2008
Dallas, TX
  • Records and compiles RMA data for monthly and ad hoc reporting to management and where applicable, business, and/or compliance partners
  • Addresses reporting/data deficiencies in advance of issues, where possible, so as to have as accurate data housed and reported as possible
  • Discharges the Compliance Officer accountabilities set out in the Compliance Officer Handbook by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification
  • Conduct appropriate background screening for approving third party payments
  • Conduct post transaction AML surveillance for Institutional IB clients
  • Evaluating and Approving new customer account documentations and supporting information in order to determine whether they satisfy the client on-boarding identification requirements as per Credit Suisse policies and procedures
  • Conduct the background screening on the Client name & other officials’ names using tools such as World Check / Lexis Nexis / Factiva
  • Interact with the front office to ensure that proper account documentation is obtained from the customer prior to approving client on boarding
  • Interface with and provide support to the firm’s international and domestic Client on-boarding, Client ID and Anti-Money Laundering and Operations groups

Education


Strayer University - Shelby Oaks Campus
2000 - 2004
Bachelor's Degree in Business

Professional Skills


  • Excellent writer and oral advocate, strong project management skills, strong influence skills
  • Strong communication skills paired with proven experience dealing with senior exec/ management
  • Strong communicator - in person and in writing; strong drafting skills is essential
  • Demonstrated strong analytical skills, problem solving and attention to detail
  • Strong organizational skills with ability to prioritize, multitask and work independently
  • Excellent product knowledge and strong communication skills
  • Proven effective supervisory skills in being flexible, creative, team-oriented and process-driven

How to write Officer, Compliance Resume

Officer, Compliance role is responsible for interpersonal, organization, analytical, compliance, organizational, business, training, collaboration, drafting, security.
To write great resume for officer, compliance job, your resume must include:

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

Contact Information For Officer, Compliance Resume

The section contact information is important in your officer, 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 Officer, Compliance Resume

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

Representative Officer, Compliance resume experience can include:

  • Excellent time management and efficiency skills; ability to provide high quality service in a timely manner, to manage multiple matters and to prioritize appropriately
  • Good conflict management, negotiation and influencing skills
  • Strong technical skills in MS Excel and/or Access
  • Demonstrated attention to detail, time management skills, & the ability to multi-task
  • Interest and passion for compliance management topics; willingness to expand your professional experiences and acquire new skills
  • Excellent Dutch and English written and verbal communication skills

Education on an Officer, Compliance Resume

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

When listing skills on your officer, 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 officer, compliance skills:

  • Very good attention to detail, proactive, eager to learn and problem solving skills. Team spirit and excellent interpersonal skills
  • Excellent written communication skills particularly when drafting policies and/or training materials
  • Excellent oral communication skills, including the ability to present confidently to Senior Managers of the Firm
  • Solid skills in Microsoft Office suite (e.g., Word, Excel, Outlook)
  • Very good communication and collaboration skills
  • Good English communication skills in both written and verbal

List of Typical Experience For an Officer, Compliance Resume

1

Experience For Lead Compliance Officer Resume

  • Strong communication skills and comfortable dealing with employees, senior management, compliance officers, front office and other staff
  • Solid understanding of SRO rules for securities and futures licensing
  • Strong understanding of FX and derivative products and related processes
  • Good knowledge of banking systems and products
  • Maintaining of file reviews statistics and reporting + ad-hoc reporting and monthly reporting to senior management
  • Monitoring systems: to ensure the use of monitoring tools, and to be in charge of evaluating proposed changes of the systems and reporting to the team
2

Experience For Junior Compliance Officer Resume

  • Investigating and Issuing policy breach or reminder emails to employees who have breached the PA trading policy
  • Assisting and participating in specific projects initiated by the compliance team
  • Designing global training programs
  • Monitoring associate activities for adherence to organizational policies and procedures and compliance training requirements
  • Understanding of OTC clearing
3

Experience For Compliance Officer / Manager Resume

  • Cutting-edge knowledge of banking laws and Federal Reserve, OCC and FDIC rules and regulations
  • Ensuring implementation, dissemination and monitoring of the compliance framework
  • Conducting investigations and monitoring of business processes
  • Supporting in risk assessments and the compliance monitoring program within your business lines
  • Willing to travel 2-3 days per month
  • Providing expert regulatory advice, challenge and oversight on potential UDAAP matters
4

Experience For Equity Compliance Officer Resume

  • Understanding Regulatory Requirements
  • Ongoing maintenance of the firm’s Form ADV Part 2A and Appendix 1
  • Overseeing the company’s Compliance policy framework; and
  • Supporting initiatives that foster a culture of integrity
  • Assisting with CID / AML Adhoc projects / tasks
  • Supporting Control Room on adhoc projects
5

Experience For Equities Compliance Officer Resume

  • Performing conflict of interest checks
  • Ensuring, together with the business that the Compliance Procedures are complied with
  • Assisting in assurance reviews, audits, regulatory examinations and other such other reviews affecting the client
  • Performing risk assessments on the assigned programs and products
  • Renovating regulatory processes (e.g. involvement with the likes of disclosure of interest and other types of regulatory reporting)
  • Providing support to legal + admin teams/liaise with legal + admin teams on specific requests
  • Assist in conducting testing and compiling the firm’s report relating to Section 206(4)-7 of the Investment Advisors Act
  • Develop compliance training materials and assist with administering Mizuho’s compliance training program
6

Experience For Compliance Officer Entry Resume

  • Provides scheduling, tracking, reporting and/or database support to programs
  • Knowledgeable of FINRA and SEC regulations relating to equities trading and market making (Reg SHO, Reg NMS, etc.)
  • Monitor materials through the Firm’s marketing and advertising approval system and ensure business’ proper adherence to suggested changes
  • Assist in planning and conduct continuing education
  • Provide training to business line management and staff regarding risk management strategies as requested
  • Participate in strategic projects and initiatives relating to the Equities business, including participation in New Business committees
  • Trade reporting (including TRACE, OATS, Bluesheets, etc)
  • Work with vendors in procuring training materials and classes for registration candidates
  • Prepare supervisory reporting to line managers and breach reporting to senior management
7

Experience For Securities Compliance Officer Resume

  • Business continuity planning and COB testing
  • Conduct compliance testing and ad-hoc reviews to ensure policies and procedures are achieving compliance with the applicable rules and regulations
  • Core knowledge of Client Identification, KYC documentation, Anti Money Laundering, regulatory processes relating to securities industry
  • Responsible for performing Anti-money Laundering and Client ID functions for APAC region
  • Responsible for developing and administering compliance programs for swap dealer activities
8

Experience For Central Compliance Officer Resume

  • Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps.
  • Prepares and delivers written and oral presentations and training to trust staff and management
  • Remains current with regulatory environment and existing regulations; assess potential impact
  • Review sales and marketing materials from product and regulatory perspectives
  • Provide project, policy, and advisory support on anti-money laundering and other financial crime risk
  • Assist with review and reporting of compliance violations
  • Take an active role in supporting Compliance senior management on Bank-wide special projects/assignments
  • Work in a trading floor environment
  • Design and deliver training on regulatory, compliance policies and procedures to front office and to promote compliance awareness across the businesses
9

Experience For Consumer Compliance Officer Resume

  • Review and provide challenge/risk assessment for electronic trading systems/algos changes
  • Approve PA trading requests from staff
  • Conduct monthly and quarterly RIA monitoring and surveillance reviews of TFA’s advisory accounts
  • Coordinate and conduct weekly staff meetings and surveillance joint sharing sessions
  • Conduct 1:1 meetings with analyst team to review QA issues and provide individual coaching
  • Provide sound AML risk-based guidance and direction to stakeholders in transaction monitoring projects
  • Review analytical output from specialist teams of statisticians to select risk-appropriate thresholds for transaction monitoring
10

Experience For Compliance Officer, Ii Fair Lending Resume

  • A critical and analytical mind with the tenacity to identify and address the underlying roots of challenges and issues
  • Confidence to raise challenging questions and concerns when necessary
  • Draft compliance policies and procedures covering Mizuho Bank, Ltd. and Mizuho Bank (USA) and coordinate implementation across Mizuho Americas LLC
  • Lead & Manage customer audits of ISC, specifically Sourcing and Procurement
  • Develop and lead new training programs that creatively engage buyers and commodity managers

List of Typical Skills For an Officer, Compliance Resume

1

Skills For Lead Compliance Officer Resume

  • Analytical with good investigation skills
  • Team player who is result driven with strong execution skills
  • Capacity to prioritize effectively and multitask as necessary
  •  Excellent Dutch and English written and verbal communications skills
  •  Good communication skills coupled with the ability to liaise with people internationally, through spoken and written channels and at all levels
  • Excellent Dutch and English written and verbal communications skills
  • Proven experience of working within a regulated environment with a broad and deep understanding of regulatory rules/principles
  • Expert computer skills, especially Microsoft Office applications and Core Banking platforms
  • Sound analytical/problem solving and investigative skills
2

Skills For Junior Compliance Officer Resume

  • Demonstrates good judgment and professionalism in handling sensitive and confidential information
  • Prior experience administering a registered investment adviser compliance and program and knowledgeable of investment adviser regulations
  • Attentive to detail and possesses analytical skills
  • Demonstrated experience developing higher education affirmative action plans and related reports
  • Demonstrated professional experience conducting confidential, formal investigations for Title VI, Title VII, and Title IX complaints
  • Demonstrated experience developing affirmative action plans or similar/related reports
  • Demonstrated professional experience conducting confidential, formal investigations
3

Skills For Compliance Officer / Manager Resume

  • Confident and concise communication skills (both verbal and written)
  • Proven consistent work quality (minimal defects) and good track record performance
  • Effectively present data and analysis and the ability to proactively communicate status updates through management reports and presentations
  • Proven ability to provide strong commercially oriented compliance advice to OPU Management and General Managers
  • Proven ability to provide strong and balanced healthcare & pharmaceutical compliance advice
  • Solid analytical, organizational and drafting skill are also necessary
  • Communicate effectively in drafting documents and compliance notifications
  • Good understanding of the banking industry and structured products
  • Banking experience in a legal, compliance, risk, audit or other relevant business function (e.g. trading, operations, credit risk)
4

Skills For Equity Compliance Officer Resume

  • Team player – with a proven ability to build relationships and a keen interesting in developing their compliance expertise
  • Implement effective compliance training contents and administration processes; administer and improve the electronic compliance learning platform
  • Sound understanding of monitoring-, risk management- and audit practices and -processes and of the main functionalities of an effective global CMS
  • Experience in compliance, consulting, operational risk, IT systems security, business process management, or financial services
  • Good understanding of LSE and European Exchange Requirements
5

Skills For Equities Compliance Officer Resume

  • Good understanding of equity products
  • Experience in conducting compliance reviews is essential
  • Direct experience in processing firm and agent registration highly desirable
  • Communicate with staff at all levels, and across disciplines and the ability to build and maintain good working relationships
  • Ideally have experience working within an investment compliance role
6

Skills For Compliance Officer Entry Resume

  • Effective communication on complex, often difficult topics involving senior management
  • Work under own initiative and experience when targets and tasks are set
  • Strong work ethic, team work and drive
  • Legal experience in a financial services environment
  • Experience in broker-dealer or banking compliance or similar control function
7

Skills For Securities Compliance Officer Resume

  • Previous mutual fund dealer and/or securities compliance experience required
  • Experience on Compliance or related area
  • Active to act coordinator role, and good team player
  • Relevant compliance experience
  • Demonstrates outstanding performance in achieving sales goals
  • Manage conflicting demands on one’s time and ensuring that job priorities are accomplished
  • Solid understanding of FINRA and SEC broker dealer rules and regulations
8

Skills For Central Compliance Officer Resume

  • Solid understanding of SEC investment adviser rules and regulations
  • A J.D. and a member of a state bar in good standing
  • Experience working in a postsecondary education environment
  • Significant years of experience developing AAPs
  • Significant of professional experience conducting confidential, formal investigations for Title VI, Title VII, and Title IX complaints
  • Establish effective working relationship with and among staff and foster group cohesiveness and teamwork
  • Excellent knowledge of rules and regulations relating to Prime/SBL businesses in APAC
9

Skills For Consumer Compliance Officer Resume

  • Accredited lawyer or other experienced compliance professional with legal background is required
  • Experience in all MS applications, especially Excel, PowerPoint and Word
  • Mediation and conflict resolution experience
  • Detail-oriented and able to prioritize multiple task
  • Demonstrated ability to resolve conflict and deal with confrontation
  • Other experience in compliance or legal field is helpful
  • Experience with ERP / Procurement systems
  • Relevant experience of 2-3 years, ideally within a trust company/fiduciary/domiciliation agent
  • Capacity to set priorities is essential
10

Skills For Compliance Officer, Ii Fair Lending Resume

  • Equities compliance experience at a broker dealer, government agency or self-regulatory organization
  • Experience working at a large multi national Investment Bank
  • Assisting the Senior Compliance Officers in maintaining, updating and implementing
  • Managing the company's Compliance testing and monitoring program
  • Reviewing consumer pricing and underwriting overrides on a monthly basis

List of Typical Responsibilities For an Officer, Compliance Resume

1

Responsibilities For Lead Compliance Officer Resume

  • Numerate and have good PC skills with MS Office (Excel/ Word/ PowerPoint)
  • Strong Analytical skills, with ability to think laterally and challenge conventional wisdom
  • Strong interpersonal and written and verbal communication skills required
  • Highly motivated self starter, that takes initiative and can work independently or effectively within a team
  • Prior experience in financial services industry would be a definite asset
2

Responsibilities For Junior Compliance Officer Resume

  • Effectively build relationships within the Global ISC community
  • Prior work experience preferably in Securities Industry with MNC Bank, Exchanges, and Regulatory Organizations
  • No prior experience required (new graduates)
  • Demonstrate compliance with all bank regulations applicable to the Commercial Banking Compliance Officer function
  • Reviews and analyzes the effectiveness of the first line’s fair lending risk processes and controls
  • Participate in initiatives across Sourcing & Procurement to create effective and efficient processes and practices
3

Responsibilities For Compliance Officer / Manager Resume

  • Strong knowledge of Microsoft Office applications such as Word, Excel, Access, and Powerpoint
  • Experience with front office systems
  • Ensure effective management, updates as well as national translations and local implementation of the Upfield policies and standards
  • Support the continuous process of effective and legally reliable documentation of the CMS
  • Very good language proficiency in Business English
  • One to three years of experience in an equivalent role at an international company with production- and sales activities
  • Work experience in compliance or KYC
  • Experience with international organization and ability to work in a multinational environment
4

Responsibilities For Equity Compliance Officer Resume

  • Experience in law, auditing, risk management or compliance
  • Direct industry experience
  • Experience in the compliance department of a large U.S. bank or large U.S. office of a foreign bank would be welcomed
  • Experience with swaps and/or uncleared swap margin rules and broker-dealer margin rules desired
  • Experience in the delivery and administration of EEO-related and diversity trainings and workshops
  • Preparing and filing all necessary reports for Title VI and Title IX
5

Responsibilities For Equities Compliance Officer Resume

  • Serving as the university’s Title IX Coordinator
  • A thorough knowledge of equities rules, including regulatory reporting, e.g. TRF reporting, OATS, and Blue Sheets
  • Assist in monitoring the department budget and tracking actual and projected expense spending. Identify areas for expense reduction as appropriate
  • Truth in Lending Act and implementing Regulation Z
  • Coordinate central processes such as attestation requests, onboarding/offboarding of staff, maintain and monitor department logical and physical access
  • Sound knowledge of PRC (including PBOC, SAFE& CBRC) banking regulations
  • Team player, contributing to the success of the Compliance function
  • Participate as regulatory compliance subject matter expert for Commercial Banking in the bank-wide Compliance Committee
6

Responsibilities For Compliance Officer Entry Resume

  • Equal Credit Opportunity Act and implementing Regulation B,
  • Fair Credit Reporting Act, and
  • Completed or willing to complete the Professional Diploma in Compliance (LCOI)
  • The ability to work independently a fast-paced environment while remaining diligent, disciplined, and organized in your work
  • Independent, reliable and thorough way of working with endurance and enthusiasm for global Compliance topics
  • Assist a Compliance Officer in respect of handling compliance issues for a group of Client Entity Managers
  • Performance of quarterly and annual ‘clean ups’ of all outstanding contract notes
  • Performance of holding period violations checks for employees
7

Responsibilities For Securities Compliance Officer Resume

  • Measure performance and assess progress against agreed targets and standards using specific measurement tools
  • Readiness to make decisions, render judgments or commit oneself, after weighing all relevant information
  • Basic knowledge in using MS excel, PowerPoint and Word
  • Support critical regulatory initiatives such as HK OTC reporting, HK Professional Investors and/or any key remediation projects
  • Draft and deliver face to face training with our business
  • Assist in expanding coverage of swap dealer and prudential capital and margin rules
  • Provide or assist in providing
  • Reviews and coordinates implementation of new trust regulation through policy, procedures, and programs
8

Responsibilities For Central Compliance Officer Resume

  • Advise the front office on relevant requirements
  • Provide guidance on and implement controls with regard to all FCA rules applicable to an agency broker
  • Keep abreast of jurisdictional changes and challenges throughout Europe
  • Draft policies and procedures manuals
  • Significant experience within Compliance at a regulated financial institution, ideally within a business-facing role, with good asset-class knowledge (preferably to include equities)
  • Perform compliance monitoring of Commercial Banking to determine the adequacy of key risk controls and communicate findings, root cause analysis and recommendations for corrective action to management
  • Provide applicable business or commercial lending expertise for regulatory requirements and issues related to the Commercial Banking loan product lifecycles, which includes working with other Business Unit Management and Compliance Officers, and the Central Compliance Department in monitoring the commercial lending channels
  • Formally communicate technical compliance advice and guidance in response to Commercial Banking associates’ and management’s questions and in reviews of new products, services, marketing, processes, and/or delivery systems through use of Central Compliance approved communication templates
9

Responsibilities For Consumer Compliance Officer Resume

  • Proactively inform management of lending and deposit regulatory initiatives through formal issuance of memorandums using the Central Compliance approved communication templates
  • Provide or review job-specific regulatory compliance training to associates in the Commercial Banking unit
  • Dodd-Frank 1031 & 1036 (UDAAP),
  • Participates in the development of new risk assessments and validation process for updates to existing risk assessments in response to out-of-cycle regulatory or environmental changes that impact the business unit’s compliance profile
  • Reinforce FRB Policy governance and requirements
  • Conduct detailed risk assessments as part of overall evaluation of the Bank’s internal control framework addressing risks relative to business objectives, as assigned
  • Maintain working relationship with business line partners and other stakeholders
  • Analyze documents, statistics, reports and business trends
  • Assess the business line’s previous risk management policies and protocols, residual risk ratings, changes in control, enhanced controls, and assessing prior remediation plans
10

Responsibilities For Compliance Officer, Ii Fair Lending Resume

  • Robustly challenge Supervisor's regarding the discharging of their supervisory responsibilities
  • Work with global Compliance and other control/logistics/operations function colleagues to develop a comprehensive program for monitoring Supervisors
  • Electronic trading and market structure issues
  • Attend meetings and possibly present the FRB Group’s proposals to senior management and staff
  • Generates reports and spreadsheets as needed for federal regulators from area information per required schedule
  • Maintains quality customer service and relationships with internal and/or external contacts
  • Participate in relevant industry group discussion and coordinate within the Firm on global regulatory initiatives such as Dodd-Frank Act, EMIR, trade repository/ central clearing

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