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compliance auditor: Resume Samples & Writing Guide

Roy Thompson

193 Birch St., East Petersburg, PA 17520
[email protected]
819-151-5068

Employment history

Chief Compliance Auditor, BDO USA Chicago, Illinois
December 2015 – Present
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
  • Stay current on industry trends and best practices
  • Participate in special projects and initiatives as needed
Compliance Auditor, PwC New York, New York
July 2014 – December 2015
  • Develop and implement policies and procedures related to compliance
  • Investigate and report on potential violations of laws and regulations
  • Assist with the development of compliance strategies and plans
Jr. Compliance Auditor, McGladrey Minneapolis, Minnesota
July 2013 – June 2014
  • Develop and implement internal control systems to ensure compliance with applicable laws and regulations
  • Review contracts and other legal documents for compliance
  • Stay current on industry trends and best practices

Education

New York University, New York, New York
Bachelor of Science in Finance (Accounting), May, 2013

Skills

Reporting
Flexibility
Communication
Collaboration
Process Improvement
Project Management
Data Analysis
Compliance Monitoring

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Jack Roberts

714 Hickory Hill Road, Strong, PA 17851
[email protected]
962-047-2605

Employment history

Lead Compliance Auditor, BDO USA Chicago, Illinois
December 2015 – Present
  • Review contracts and other legal documents for compliance
  • Participate in special projects and initiatives as needed
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
Compliance Auditor, PwC New York, New York
June 2015 – December 2015
  • Identify and assess compliance risks and design audit programs to address those risks
  • Stay current on industry trends and best practices
  • Investigate and report on potential violations of laws and regulations
Entry Level Compliance Auditor, BDO USA Chicago, Illinois
January 2014 – May 2015
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
  • Review contracts and other legal documents for compliance
  • Prepare detailed audit reports and recommendations

Education

University of Michigan, Ann Arbor, Michigan
Doctor of Philosophy in Finance (Accounting), November, 2013
University of Michigan, Ann Arbor, Michigan
Bachelor of Science in Finance (Accounting), November, 2009

Skills

Attention to Detail
Technical
Emotional Intelligence
Decision Making
Auditing
Fraud Detection
Process Improvement
Quality Assurance
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Max Foster

729 Willow Park, Wurtland, KY 41144
[email protected]
612-384-8193

Professional Summary

 Highly experienced Compliance Auditor with a deep understanding of accounting and auditing principles. Proven track record of developing and implementing effective compliance strategies to ensure accurate financial reporting and regulatory compliance. 

Employment history

Lead Compliance Auditor, Ernst & Young New York, New York
January 2014 – Present
  • Participate in special projects and initiatives as needed
  • Investigate and report on potential violations of laws and regulations
  • Provide training and guidance to staff on compliance issues
Associate Compliance Auditor, Plante Moran Southfield, Michigan
July 2013 – December 2013
  • Develop and maintain effective relationships with internal and external stakeholders
  • Develop and implement policies and procedures related to compliance
  • Perform audit tests to evaluate the adequacy of internal controls and compliance with laws and regulations
Junior Compliance Auditor, McGladrey Minneapolis, Minnesota
December 2012 – June 2013
  • Respond to inquiries from regulatory agencies
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
  • Prepare detailed audit reports and recommendations

Education

University of Illinois at Urbana, Champaign, Illinois
Bachelor of Arts in Business Economics (Accounting), October, 2012

Skills

Problem Solving
Emotional Intelligence
Decision Making
Attention to Detail
Data Analysis
Regulatory Compliance
Financial Management
Sarbanes-Oxley
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Yolanda Wilson

534 Laurel St., Williston, OH 43468
[email protected]
640-576-5544

Professional Summary

 Highly organized and detail-oriented Compliance Auditor with extensive experience in the accounting and auditing field. Adept at identifying areas of risk, developing and implementing effective compliance strategies, and ensuring compliance with applicable laws and regulations. 

Employment history

Senior Compliance Auditor, McGladrey Minneapolis, Minnesota
October 2013 – Present
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
  • Develop and implement internal control systems to ensure compliance with applicable laws and regulations
  • Investigate and report on potential violations of laws and regulations
Associate Compliance Auditor, BDO USA Chicago, Illinois
April 2013 – September 2013
  • Assist with the development of compliance strategies and plans
  • Develop and implement policies and procedures related to compliance
  • Develop and maintain effective relationships with internal and external stakeholders
Entry Level Compliance Auditor, PwC New York, New York
October 2011 – March 2013
  • Stay current on industry trends and best practices
  • Review contracts and other legal documents for compliance
  • Investigate and report on potential violations of laws and regulations

Education

New York University, New York, New York
Doctor of Philosophy in International Business (Accounting), August, 2011
New York University, New York, New York
Bachelor of Science in Accounting, August, 2007

Skills

Database Management
Listening
Presentation
Teamwork
Risk Management
Quality Assurance
Auditing Standards.
Regulatory Compliance
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Vic Ellis

609 Pine St., Pittsburg, IL 62959
[email protected]
621-659-3086

Employment history

Lead Compliance Auditor, Grant Thornton Chicago, Illinois
August 2020 – Present
  • Participate in special projects and initiatives as needed
  • Respond to inquiries from regulatory agencies
  • Perform audit tests to evaluate the adequacy of internal controls and compliance with laws and regulations
Compliance Auditor, BDO USA Chicago, Illinois
August 2019 – July 2020
  • Prepare detailed audit reports and recommendations
  • Prepare and review financial statements in accordance with generally accepted accounting principles (GAAP)
  • Develop and implement policies and procedures related to compliance
Entry Level Compliance Auditor, Plante Moran Southfield, Michigan
August 2018 – July 2019
  • Monitor changes in laws and regulations to ensure compliance
  • Assist with the development of compliance strategies and plans
  • Review contracts and other legal documents for compliance

Education

University of Illinois at Urbana, Champaign, Illinois
Doctor of Management (Accounting), June, 2018
University of Illinois at Urbana, Champaign, Illinois
Bachelor of Arts in Business Economics (Accounting), June, 2014

Skills

Innovation
Financial Management
Reliability
Quality Assurance
Quality Assurance
Auditing Standards.
Database Management
Tax Preparation
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compliance auditor Job Descriptions; Explained

If you're applying for an compliance auditor position, it's important to tailor your resume to the specific job requirements in order to differentiate yourself from other candidates. Including accurate and relevant information that directly aligns with the job description can greatly increase your chances of securing an interview with potential employers.

When crafting your resume, be sure to use action verbs and a clear, concise format to highlight your relevant skills and experience. Remember, the job description is your first opportunity to make an impression on recruiters, so pay close attention to the details and make sure you're presenting yourself in the best possible light.

1

sr. compliance auditor

  •  Assisted manager and above in developing client’s internal audit scope and testing plans.
  • Created operational, financial and compliance audit programs and reviewed and approved corresponding work papers completed by audit staff ensuring timely turnover to client and external auditors.
  • Developed and implemented internal controls, risk control matrices and narrative documentation for leading Retail and Consumer initiating an IPO. 
  • Demonstrated autonomous decision making and critical thinking skills in performing analytical procedures, ensuring the effectiveness of the scope of the audit; increasing or decreasing testing to commensurate with control risk and audit findings. 
  • Interfaced with clients in all phases of the audit procedures including planning, fieldwork, and reporting. 
  • Responsibilities included client interviews, procurement of client documentation, and working closely with management to deliver a quality audit.
  • Coached and managed newly hired associates on audit methodology, client business processes and internal audit structure.
2

compliance auditor

  • Composed and drafted outgoing correspondence and reports for managers 
  • Completed over 20 compliance audits per month 
  • Displayed meticulous attention to detail when gathering and analyzing data 

sr. compliance auditor Job Skills

For an sr. compliance auditor position, your job skills are a key factor in demonstrating your value to the company and showing recruiters that you're the ight fit for the role. It's important to be specific when highlighting your skills and ensure that they are directly aligned with the job requirements, as this can greatly improve your chances of being hired. By showcasing your relevant skills and experience, you can make a compelling case for why you're the best candidate for the job.

How to include technical skills in your resume:

Technical skills are a set of specialized abilities and knowledge required to perform a particular job effectively. Some examples of technical skills are data analysis, project management, software proficiency, and programming languages, to name a few.

Add the technical skills that will get hired in your career field with our simple-to-use resume builder. Select your desired resume template, once you reach the skills section of the builder, manually write in the skill or simply click on "Add more skills". This will automatically generate the best skills for your career field, choose your skill level, and hit "Save & Next."

  • Data Analysis
  • Project Management
  • Quality Assurance
  • Database Management
  • Financial Management
  • Business Acumen
  • Risk Management
  • Process Improvement
  • Regulatory Compliance
  • Auditing
  • Compliance Monitoring
  • Internal Controls
  • SOX Compliance
  • Sarbanes-Oxley
  • Financial Reporting
  • GAAP
  • Risk Assessment
  • Tax Preparation
  • Fraud Detection
  • Accounting Standards
  • Auditing Standards.

How to include soft skills in your resume:

Soft skills are non-technical skills that relate to how you work and that can be used in any job. Including soft skills such as time management, creative thinking, teamwork, and conflict resolution demonstrate your problem-solving abilities and show that you navigate challenges and changes in the workplace efficiently.

Add competitive soft skills to make your resume stand-out to recruiters! Simply select your preferred resume template in the skills section, enter the skills manually or use the "Add more skills" option. Our resume builder will generate the most relevant soft skills for your career path. Choose your proficiency level for each skill, and then click "Save & Next" to proceed to the next section.

  • Communication
  • Interpersonal
  • Leadership
  • Time Management
  • Problem Solving
  • Decision Making
  • Critical Thinking
  • Creativity
  • Adaptability
  • Teamwork
  • Organization
  • Planning
  • Public Speaking
  • Negotiation
  • Conflict Resolution
  • Research
  • Analytical
  • Attention to Detail
  • Self-Motivation
  • Stress Management
  • Collaboration
  • Coaching
  • Mentoring
  • Listening
  • Networking
  • Strategic Thinking
  • Negotiation
  • Emotional Intelligence
  • Adaptability
  • Flexibility
  • Reliability
  • Professionalism
  • Computer Literacy
  • Technical
  • Data Analysis
  • Project Management
  • Customer Service
  • Presentation
  • Written Communication
  • Social Media
  • Troubleshooting
  • Quality Assurance
  • Collaboration
  • Supervisory
  • Risk Management
  • Database Management
  • Training
  • Innovation
  • Documentation
  • Accounting
  • Financial Management
  • Visualization
  • Reporting
  • Business Acumen
  • Process Improvement
  • Documentation
  • Relationship Management.

How to Improve Your sr. compliance auditor Resume

Navigating resume pitfalls can mean the difference between landing an interview or not. Missing job descriptions or unexplained work history gaps can cause recruiters to hesitate. Let's not even talk about the impact of bad grammar, and forgetting your contact info could leave your potential employer hanging. Aim to be comprehensive, concise, and accurate.

Ben Foster

579 Hilltop Drive, Westby, WI 54667

Employment history

Chief Compliance Auditor, KPMG New York, New York
January 2021 – Present
  • Review contracts and other legal documents for compliance
  • Participate in special projects and initiatives as needed
  • Provide training and guidance to staff on compliance issues
Compliance Auditor, BDO USA Chicago, Illinois
July 2019 – December 2020
  • Monitor changes in laws and regulations to ensure compliance
  • Develop and implement internal control systems to ensure compliance with applicable laws and regulations
  • Review contracts and other legal documents for compliance
Entry Level Compliance Auditor, Ernst & Young New York, New York
January 2019 – June 2019

Education

Indiana University, Bloomington, Indiana
Bachelor of Arts in Business Administration (Accounting), November, 2018

Skills

Decision Making
Attention to Detail
Professionalism
Written Communication
Data Analysis
Sarbanes-Oxley
Financial Management
Internal Controls

Include your Contact Information and Job Descriptions

Missing job descriptions lessens your chances of getting hired.

Key Insights
  • Employers want to know what you've accomplished, so make sure to include descriptions for all of your previous jobs.
  • Keep job descriptions short but don't just list your jobs.
  • Never copy-paste a job description to post on your resume. Get inspired and use tools to help you write customized descriptions.

How to Optimize Your sr. compliance auditor Resume

Keep an eye out for these resume traps. Neglecting to detail your job roles or explain gaps in your career can lead to unnecessary doubts. Grammar blunders can reflect negatively on you, and without contact information, how can employers reach you? Be meticulous and complete.

Leonard King

488 Maplewood Drive, Haleiwa, HI 96791
[email protected]
658-692-6599

Employment history

Chief Compliance Auditor, PwC New York, New York
October 2016 – May 2022
  • Respond to inquirys from regulatory agencys
  • Assist with the developement of complience strategies and plans
  • Monitor changes in law's and regulatiosn to ensure complience
Associate Compliance Auditor, Grant Thornton Chicago, Illinois
October 2015 – September 2016
  • Prepare detaild audit reports and recommendation
  • Review contracts and other legal document's for compliance
  • Develop and implement policies and proceduers related too compliance
Junior Compliance Auditor, Plante Moran Southfield, Michigan
May 2014 – September 2015
  • Identify and asses compliance risks and design audit programms to address thoes risks
  • Prepare and review financail statements in accordance with generally accepted accounting princibles (GAAP)
  • Prepare detaild audit reports and recomendations.

Education

University of Illinois at Urbana, Champaign, Illinois
Doctor of Philosophy in Finance (Accounting), March, 2014
University of Illinois at Urbana, Champaign, Illinois
Bachelor of Arts in Finance (Accounting), March, 2010

Skills

Decision Making
Database Management
Public Speaking
Innovation
GAAP
Sarbanes-Oxley
SOX Compliance
Tax Preparation

Correct Grammar and Address Gap Years in Your Resume

Don't leave unexplained gaps in your work history.

Key Insights
  • When explaining gaps in your employment section, start by being honest.
  • Elaborate on the gap and show that you never stopped learning.
  • Explain and elaborate any gap in your work history by highlighting new skills.

sr. compliance auditor Cover Letter Example

A cover letter can be a valuable addition to your job application when applying for an sr. compliance auditor position. Cover letters provide a concise summary of your qualifications, skills, and experience, also it also gives you an opportunity to explain why you're the best fit for the job. Crafting a cover letter that showcases your relevant experience and enthusiasm for the Accounts Payable role can significantly improve your chances of securing an interview.



Roy
Thompson

[email protected]
819-151-5068
193 Birch St., East Petersburg, PA
17520

Chief Compliance Auditor
Grant Thornton
Chicago, Illinois

Greetings Grant Thornton Hiring Team


I am writing to express my interest in the Chief Compliance Auditor position at Grant Thornton. As a Compliance Auditor with 10 years of experience in Accounting & Auditing myself, I believe I have the necessary skills and expertise to excel in this role.


Throughout my life, I have pursued my passion for Cost Accounting and sought out opportunities to learn and grow. My experience in Accounting & Auditing has given me valuable skills such as Reporting and Flexibility that have allowed me to improve professionally and personally. I am excited to bring these skills and my passion as a Compliance Auditor to the position and work with a team of like-minded individuals to achieve our common goals.


Thank you for considering my application for the Chief Compliance Auditor role. I am looking forward to a future where we work together to drive this organization's success.


Thank you for your time and consideration,
Roy Thompson
819-151-5068
[email protected]

Roy Thompson






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