Compliance Officer Resume

One of the most sought after new employees is the Compliance Officer.

The Chief Compliance Officer oversees the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company's Standards of Conduct.

The Chief Compliance Officer acts as staff to the CEO and Board of Trustees' Corporate Compliance Committee by monitoring and reporting results of the compliance/ethics efforts of the company and in providing guidance for the Board and senior management team on matters relating to compliance.

Sample Compliance Officer Resume

Richard Anderson
1234, West 67 Street,
Carlisle, MA 01741,
(123)-456 7890.

Objective:

Seeking position as a compliance officer.

Professional Experience:

United Commercial Bank, San Francisco, CA
Senior Compliance Officer

Ensure acquiescence with compliance standards and regulatory requirements.
Identify compliance risks from every business line and manage them by providing training, advice, testing and monitoring.
Carry out compliance planning for every business line.
Developed and updated inventory of regulations, rules, practices and guidelines for California operations.
Presented the firm in communication and interaction with regulatory bodies.
Held compliance training and responsible for updating employees and line managers on compliance related matters.
Review and monitored internal procedures and practices to provide compliance with group and regulatory requirements.
Make sure that systems and Anti Money Laundering (AML) processes meet the requirements of regulatory.
Implemented specific measurements and monitored business activities as necessary.
Carry out as hoc projects and prepared period reports to management.

OptionsXpress, Chicago, IL
Compliance Officer

Provided training and guidance to junior level staff.
Provided guidance and directions for special back-end reviews.
Helped in development and management of the banks enterprise-wide compliance management.
Organize document requests and compliance information for compliance examinations.
Regularly updated compliance programs or roadmaps offering details about Bank activities and regulatory requirements to ensuring compliance with the regulations.
As per the need participated in special projects.

Skills:

Basic knowledge of relevant rules and regulations, codes of conduct, etc.
Excellent interpersonal skills.
Fluency in French and Spanish.
Strong evaluative and analytical skills.
Strong computer skills in MS Office, Windows and Macro.

Education:

University of Central Arkansas, Conway, Arkansas
Bachelors Degree in Business Administration.