Securities Compliance Resume Sample

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Abbey Renner
6804 Zemlak Pass,  Boston, MA
+1 (555) 668 9695

Work Experience

VP, Institutional Securities Compliance
02/2016 - PRESENT
New York, NY
  • Works closely with the Legal department to prepare annual reports for each of the firm’s Futures Commission Merchant (“FCM”) and Swap Dealer (“SD”) entities
  • Coordinates the firm’s U.S. regulatory reform efforts; and
  • Assist in drafting annual reports for the firm’s FCM and SD entities and the primary dealer reports
  • Compliance Reviews - Conduct Desk Reviews of Morgan Stanley’s Australian businesses to monitor for compliance with policies and procedures and prepare draft reports of findings for management
  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training
  • Apply a consistent approach across businesses, products and regions
  • Develop associated functional specifications and testing scripts
  • Participating in regulatory and internal investigations and audits
Securities Division Compliance
09/2010 - 01/2016
San Francisco, CA
  • Coordinate the firm’s regulatory reform efforts
  • Team worker and yet autonomous. Communicates well
  • Draft CCO annual reports for the firm’s FCM and SD entities
  • Actively manage the regulatory and legal risks of covered business units
  • Conduct compliance testing, quality assurance and ad-hoc reviews to ensure the Registered Investment Adviser and Broker Dealer’s policies and procedures are sufficient and are being followed to meet regulatory requirements
  • Coordinate review, updating and maintenance of SDC policies and procedures
  • Assist in the development and implementation of training programs
  • Assist in the project management of MSG projects
  • Become involved in the firm’s regulatory reform efforts
Compliance, Securities Division Compliance
01/2007 - 03/2010
Detroit, MI
  • Maintain SDC personnel information in firm systems
  • Assist in the closure of aged findings and develop reporting on that aging
  • Assist in the development and maintenance of management reports
  • Develop Technology solutions for the work of SDC personnel
  • Monitors new and pending legislation, regulation, and bulletins with compliance implications and assists in development of programs, policies, procedures and training to implement related requirements and satisfy regulatory requirements. Conducts interviews and information gathering, analyzes data and documents findings
  • FINRA regulatory experience
  • Possess the following FINRA registrations or their equivalents: Series 6 and 63
  • Assist in monitoring all aspects of customer account activity to ensure that business is being conducted and supervised in compliance with applicable laws, regulations and firm policies
  • Assist in various audits and examinations of the broker/dealer and registered investment advisers


University of Phoenix - St. Paul Learning Center
2001 - 2006
Bachelor's Degree in Business

Professional Skills

  • Performing regular testing, targeted reviews as well as monitoring of business activity to ensure compliance with appropriate rules, regulations & firm policies
  • Existing Compliance knowledge and 6+ years’ experience from an Institutional Investment Firm or working in a Compliance department or with a regulator
  • Strong Knowledge of the Corporations Act and ASIC Market Integrity Rules and Exchange Operating Rules.
  • Strong practical product knowledge of cash equities, derivatives (ETO’s, Futures, OTC’s), fixed income products and automated trading engines
  • Relevant industry or compliance operations/processes experience
  • Developing testing plans and process enhancements on a continuous basis
  • Providing compliance training to the business

How to write Securities Compliance Resume

Securities Compliance role is responsible for research, travel, insurance, design, reporting, trading, training, securities, excel, powerpoint.
To write great resume for securities compliance job, your resume must include:

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

Contact Information For Securities Compliance Resume

The section contact information is important in your securities 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 Securities Compliance Resume

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

Representative Securities Compliance resume experience can include:

  • Assist in investigating and addressing customer complaints
  • Assist in responding to inquiries and requests for information from securities and insurance regulators
  • Assist the Director of OAS Compliance Development, Oversight & Surveillance and/or other leaders in the compliance department as directed
  • Ideally have Legal or Technology background
  • Design and conduct compliance review frameworks and programs
  • Interest in the financial markets and a willingness to learn

Education on a Securities Compliance Resume

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

When listing skills on your securities 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 securities compliance skills:

  • 2/3+ years of experience with compliance, commodities and / or securities industry
  • Participating in ad hoc regulatory and internal investigations and audits
  • Advising the business and management teams on any related compliance matters
  • Produce ongoing reporting on the forensic testing programme
  • Possess the following FINRA registrations or their equivalents within 6 months of hire: Series 6, 63, 26 and 51
  • Interact with the Business and Federation departments to present findings and propose solutions for potential remediation or enhancements

List of Typical Skills For a Securities Compliance Resume


Skills For Securities Division Compliance Resume

  • Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/rule changes and developing proposals in order to test conformance with new regulation
  • Distill information into clear and succinct communications and presentations
  • Strong communication (written and oral), critical thinking, analytical research and attention to detail skills required. Ability to manage and advance multiple projects simultaneously and meet deadlines. Ability to work with internal and external customers in a team environment

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