Compliance Officer Resume
One of the most sought after new employees is the Compliance Officer.
The Chief Compliance Officer oversees Corporate Compliance Program, functioning as an independent and objective body that review and evaluate 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. In short, he or she oversees the the entire aspects of compliance management program.
Since compliance is on the key business factor, the jobholder has to coordinate with the Chief Operation Officer and participate in audits, committees, and evaluation of the company's work-structure. Jobs for this position are available in almost every sector, be it service or manufacturing.
Sample Compliance Officer Resume
Francisco A. Pinzon
12 Fort Street
Seattle, WA 98101
Phone: 253-256-3808
Email: fapinzon@freemail.com
Career Objective:
To work as a Compliance Officer with “ABC Group,” and handle compliance management program by coordinating with higher authorities.
Summary of Skills:
- Experience in banking advisor compliance functioning
- Excellent working knowledge of banking services industry
- Thorough knowledge of Banking Advisers Act
- Excellent business acumen and communication skills
- Ability to provide independent advice and resolve compliance issues
- Result-oriented, highly organized, and professionalism
Work Experience:
Compliance Officer
United Bank, Seattle, WA
October 2015 - Present
- Staying abreast with changes in banking compliance laws and regulations
- Analyzing, identifying, and resolving banking compliance issues
- Monitoring operational, administrative, and lending compliance
- Serving as a technical advisor to the committee and the Chief Compliance Officer
- Reviewing and modifying marketing and promotional materials as per regulatory requirements
- Developing, implementing, and monitoring risk-based compliance management programs
Compliance Officer
First Bank, Seattle, WA
February 2012 - September 2015
- Reviewed and ensured compliance with insurance, securities, and lending operations
- Assisted in annual audit of banking operations as well as of vendors
- Collected and analyzed data for audit outcome
- Researched, analyzed, and developed new methods and procedures for the Bank
- Managed regulatory examination and prepared reports
- Represented the Compliance Department for special projects as required
Education:
-
Bachelor's Degree in Business
ABC University, Seattle, WA
2011
Reference:
On request.
