10/2009 - 09/2019, Compliance Officier, Mutual Impact Inc. , New York
- Handled regulatory inquiries from SEC, FINRA, CFTC, CME, NFA and foreign regulators.
- Researched, interpreted, and advised the company regarding compliance with laws and regulations.
- Wrote instructions for various departments on how to interpret and implement new guidelines.
- Developed remedial action plans when needed if audit findings called for action.
09/2009 - 09/2013, Compliance Officer, Capital Lending, New York
- Provided valuable compliance advice to the business unit management regarding policies, controls, and procedures.
- Updated the business unit management when regulatory requirements or regulatory environment changes.
- Provided ongoing support to maintain and uphold the compliance program.
- Managed and coordinate the regulatory affairs of Capital Lending Asset management.
- Prepared accurate reports for filing.
- Monitored registration, licensing, and training requirements for employees.
- Reviewed marketing materials as necessary.
- Act as an effective liaison with regulatory agencies.
10/2007 - 08/2009, Executive Assistant, Capital Lending, New York
- Provided top of the line administrative and clerical support to a Senior Broker at Capital Lending.
- Learned important terminology and processes to provide the best assistance possible.
- Handled calendars, inquiries, and the recording and reporting of messages.
- Booked conference rooms for meetings and sent out meeting itineraries.
- Assisted with any company initiatives that benefited from further support.
- Worked to promote the mission and integrity of Capital Lending.
09/2006 - 05/2008, Associate of Communications, Los Angeles City College, Los Angeles
09/2002 - 05/2006, High School Diploma, Laguna Beach High School, Laguna Beach
- Critical Thinking
- Result Oriented
- Communication Skills
- Leadership
How to Write a Compliance Officer Resume
Compliance Officer’s should be adept in the culture of their industry, and must showcase that they have the necessary skills to communicate compliance-related issues to employees across all divisions of a business. The ideal candidate is diligent, level-headed, and an excellent communicator.
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A winning Compliance Officer’s resume should highlight strong ethics and a willingness to encourage and promote corporate integrity. By using one of Resume.io’s field-tested resumes, and following these helpful tips on the creation of your resume, you will be on your way to finding the job you are looking for.
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Profile Summary Example
Highlight your biggest accomplishments and attributes here. Remember to use as many powerful action verbs and job specific information as you can. Compliance Officers play a vital part in the success of an organization, so highlighting your key attributes that prove your qualifications and accomplishments here is crucial.
Experienced and driven Compliance Officer with a proven track record of helping to lead companies by ensuring they are functioning in complete compliance with all national and international rules and regulations. I possess excellent communication skills, allowing for the cultivation of positive and mutually beneficial business relationships, while keeping strong ethics at the forefront of my goals. I bring forth a superior knowledge of compliance laws and regulations, as well as standard business law.
Employment History Example
List all positions relevant to a Compliance Officer, or positions that have transferable duties and/or required skills necessary for a Compliance Officer position. Remember to use powerful action verbs and mention job specific accomplishments that prove you are an excellent candidate.
- Provided ongoing support to maintain and uphold the compliance program.
- Provided valuable compliance advice to the business unit management regarding policies, controls, and procedures.
- Managed and coordinate the regulatory affairs of Capital Lending Asset management.
- Prepared accurate reports for filing.
- Monitored registration, licensing, and training requirements for employees.
- Reviewed marketing materials as necessary.
- Act as an effective liaison with regulatory agencies.
Education Section Example
List all degrees and certifications here. Any honors or distinctions should be noted here as well. If you hold a degree higher than a Bachelor Degree, you may leave out your High School.
2004-2008 UVA, Bachelor of Communications Charlottesville, VA
Skills Section Example
An outstanding Compliance Officer resume, such as this example, will include a number of impressive skills that your employer is looking for in a candidate. A hiring manager looking for a Compliance Officer is looking for an ethical and hardworking individual, who is willing to keep up with constantly changing legislations. Be sure to include job specific skills.
- Critical Thinking Skills
- Strong Ethics
- Proactive
- Excellent Communication Skills
- Diligent
What Does a Compliance Officer Do?
Compliance Officer’s are responsible for making sure that a company is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular industry. In addition to making sure the company is meeting all compliance laws, a Compliance Officer also is responsible for educating the entire company and instituting practices that will ensure the highest possible level of compliance.
An ideal candidate has superior knowledge of the company’s goals, the greater industry, and standard business law.
