5 Amazing compliance officer Resume Examples (Updated 2023) + Skills & Job Descriptions

In your role as a compliance officer, you help companies and organizations stay on the right side of the law and properly manage risks. You have learned a lot in your career, including how to create a compliance resource library, manage policies, conduct compliance audits, and ensure all marketing and advertising collateral remains compliant. Even with your scope of knowledge, you must pair that with a strong resume to impress hiring managers. You may not realize it, but employers spend only seconds looking over candidate resumes before deciding to move on to the next submission or schedule an interview. You must use that small window of opportunity to show you have the metrics, keyword knowledge, and proper compliance officer resume formatting. Compliance officers at various stages of their careers may fumble when assembling a powerful resume, so do not fall prey to discouragement. Make good use of our resume sample and template to understand exactly what deserves a spot on your submission. Our resume writers also share writing tips to help you show why recruiters should interview you.

Build your resume in 15 minutes

Give yourself the best chance of standing out from the competition!

Create an awesome resume that meets the expectations of potential employers with our selection of professional, field-tested resume templates.

START YOUR RESUME NOW

compliance officer: Resume Samples & Writing Guide

Professional Summary

Highly experienced Compliance Officer with a proven track record of success in business management. Adept at developing and implementing effective compliance strategies to ensure the highest standards of regulatory compliance.

Employment history

Lead Compliance Officer, PwC New York City, New York

November 2015 – Present

Establish and maintain effective relationships with regulatory agencies
Respond to inquiries from regulatory agencies and other external stakeholders
Monitor compliance with applicable laws and regulations

Compliance Officer, McKinsey & Company New York City, New York

June 2014 – October 2015

Monitor compliance with applicable laws and regulations
Identify potential areas of compliance vulnerability and risk
Establish and maintain effective relationships with regulatory agencies

Jr. Compliance Officer, Accenture Chicago, Illinois

December 2012 – May 2014

Respond to inquiries from regulatory agencies and other external stakeholders
Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Monitor and audit internal processes, practices, and documents to ensure compliance with applicable laws and regulations

Education

University of Michigan Ross School of Business, Ann Arbor, Michigan

Business Analytics Certificate, October, 2012

Skills

Written Communication

Attention to Detail

Visualization

Critical Thinking

Supervisory

Visualization

Relationship Management

Data Analysis

Do you already have a resume? Use our PDF converter and edit your resume.

Build My Resume

Employment history

Senior Compliance Officer, PwC New York City, New York

March 2018 – Present

Develop and implement corrective action plans for compliance violations
Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Monitor compliance with applicable laws and regulations

Compliance Officer, McKinsey & Company New York City, New York

March 2017 – February 2018

Respond to inquiries from regulatory agencies and other external stakeholders
Monitor compliance with applicable laws and regulations
Prepare and submit reports to regulatory agencies as required

Entry Level Compliance Officer, Microsoft Redmond, Washington

March 2016 – February 2017

Develop and provide compliance training and education programs
Establish and maintain effective relationships with regulatory agencies
Prepare and submit reports to regulatory agencies as required

Education

University of Pennsylvania, Philadelphia, Pennsylvania

Doctor of Arts in Business Economics, January, 2016

University of Pennsylvania, Philadelphia, Pennsylvania

Bachelor of Science in Accounting, January, 2012

Skills

Reliability

Documentation

Relationship Management.

Self-Motivation

Accounting

Strategic Thinking

Visualization

Relationship Management

Build My Resume

Employment history

Lead Compliance Officer, Deloitte New York City, New York

July 2018 – Present

Develop and provide compliance training and education programs
Develop and implement corrective action plans for compliance violations
Monitor changes in applicable laws and regulations and assess the potential impact on the organization

Associate Compliance Officer, PwC New York City, New York

July 2017 – June 2018

Respond to inquiries from regulatory agencies and other external stakeholders
Review contracts and other legal documents to ensure compliance with applicable laws and regulations
Maintain records of compliance activities, such as complaints and investigations

Jr. Compliance Officer, McKinsey & Company New York City, New York

January 2016 – June 2017

Develop and provide compliance training and education programs
Monitor compliance with applicable laws and regulations
Maintain records of compliance activities, such as complaints and investigations

Education

Yale School of Management, New Haven, Connecticut

Bachelor of Science in Accounting, November, 2015

Skills

Innovation

Negotiation

Customer Service

Time Management

Visualization

Relationship Management

Reporting

Database Management

Build My Resume

Employment history

Chief Compliance Officer, PwC New York City, New York

April 2020 – Present

Establish and maintain effective relationships with regulatory agencies
Investigate potential violations of applicable laws and regulations
Identify potential areas of compliance vulnerability and risk

Associate Compliance Officer, McKinsey & Company New York City, New York

April 2019 – March 2020

Identify potential areas of compliance vulnerability and risk
Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Respond to inquiries from regulatory agencies and other external stakeholders

Jr. Compliance Officer, Ernst & Young New York City, New York

October 2018 – March 2019

Prepare and submit reports to regulatory agencies as required
Review contracts and other legal documents to ensure compliance with applicable laws and regulations
Monitor and audit internal processes, practices, and documents to ensure compliance with applicable laws and regulations

Education

Stanford Graduate School of Business, Stanford, California

Master of Science in Accounting, August, 2018

Stanford Graduate School of Business, Stanford, California

Bachelor of Arts in Business Management, August, 2014

Skills

Technical

Collaboration

Computer Literacy

Quality Assurance

Compliance.

Supervisory

Visualization

Business Acumen

Build My Resume

Professional Summary

A detail-oriented and experienced Compliance Officer with a strong background in business management. Skilled in developing and implementing effective compliance policies and procedures to ensure organizational success.

Employment history

Chief Compliance Officer, Bain & Company Boston, Massachusetts

December 2011 – Present

Develop and implement compliance policies and procedures
Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Develop and provide compliance training and education programs

Compliance Officer, PwC New York City, New York

June 2010 – November 2011

Identify potential areas of compliance vulnerability and risk
Review contracts and other legal documents to ensure compliance with applicable laws and regulations
Develop and implement corrective action plans for compliance violations

Entry Level Compliance Officer, IBM San Francisco, California

June 2009 – May 2010

Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Develop and implement corrective action plans for compliance violations
Respond to inquiries from regulatory agencies and other external stakeholders

Education

University of California, Los Angeles Anderson School of Management, California

Bachelor of Arts in Business Management, April, 2009

Skills

Customer Service

Mentoring

Research

Time Management

Compliance.

Computer Literacy

Financial Management

Accounting

Use This compliance officer Resume Template

Not in love with this template? Browse our full library of resume templates

compliance officer Job Descriptions; Explained

If you're applying for an compliance officer 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.

compliance officer

Support the company’s global compliance function to ensure AML Compliance risks are adequately identify, assessed, monitored, controlled and reported to relevant authorities (Australia, APAC, UK)
Assist compliance manager in the development of compliance processes and procedures
Perform customer due diligence checks on prospect clients (across multiple jurisdictions/entity types) to ensure adherence to AML/CTF program
Conduct customer risk assessment and enhanced due diligence
Investigate transaction monitoring and screening alerts for potential money laundering and sanction risks
Assist compliance manager in developing investigative strategies and liaising with development team to ensure product is up-to-date to capture all compliance required information
Assist with developing compliance training pack and act as the conduit to liaise with stakeholders and overseas compliance team

compliance officer

Reviewed employer records to confirm that accidents, traffic violations, and medical information were recorded according to federal and state regulations.
Completed detailed inspection of vehicle systems such as lights, brakes, tires, directional signals, exhaust systems, and warning devices to detect excessive wear or malfunction.
Reviewed vehicle log to verify driver has not exceeded allowable driving hours required permits and licenses are displayed.
Accompanied providers to observe conduct and observance with safety precautions.

compliance officer

Ensure that the bank is not fined at anyone time by the regulator and other supervising institutions by ensuring that all requests and reports are submitted on time.
Keep track of all important dates for the bank. these include submitting of quarterly reports, hanging of mid year financials, Bank audits, renewal of licenses among others.
Conduct audit follow ups and closure of raised issues in the shortest time possible.
Monitor systems transactions ensuring that there is no fraud being done by the bank staff as well as out side of the back.
Follow up and ensuring that all statutory and regulatory reports like liquidity reports, forex, credit concentration and large exposures are done and submitted on time.
Review of account opening processes comparing the data captured in the system matches the one listed on the hard copies. ensure that companies searches and due diligence are carried out. ensure that the kyc captured and listed are as per the regulator guidelines.
Review of Bank policies suggesting changes where necessary as per the current and prevailing changes in the state laws.

compliance officer

Investigated individual and corporate accounts that were flagged on the internal system due to suspicious activityLiaised with various back office teams to obtain relevant evidence to support the flagged accounts
Creating/Closing cases
Reviewed company forms, marketing materials and communication procedures for compliance with applicable laws and guidelines
Gathered, organized and evaluated data to make accurate assessments of current operations

senior compliance officer

Review Enhanced due diligence (EDD) performed by team for High Risk Business, High Risk Countries, OFAC sanctions, PEP, UBO and Controlling Person.
Enhanced regulatory, strategic and operational performance to keep in alignment with deadlines
Prepared training programs to improve compliance at all levels
Oversaw proper maintenance and dissemination of filing documentation as well as records and reports for review by various departments

1 2 3 4 5 … 9

compliance officer Job Skills

For an compliance officer 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
Risk Management
Database Management
Quality Assurance
Troubleshooting
Technical
Computer Literacy
Accounting
Financial Management
Process Improvement
Visualization
Reporting
Business Acumen
Strategic Thinking
Innovation
Documentation
Relationship Management
Supervisory
Compliance.

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 compliance officer 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.

Employment history

Chief Compliance Officer, Bain & Company Boston, Massachusetts

August 2009 – May 2022

Collaborate with internal and external stakeholders to ensure compliance with applicable laws and regulations
Monitor changes in applicable laws and regulations and assess the potential impact on the organization
Review contracts and other legal documents to ensure compliance with applicable laws and regulations

Associate Compliance Officer, Oracle Redwood Shores, California

January 2009 – July 2009

Develop and implement corrective action plans for compliance violations
Monitor compliance with applicable laws and regulations
Monitor changes in applicable laws and regulations and assess the potential impact on the organization

Jr. Compliance Officer, McKinsey & Company New York City, New York

January 2008 – December 2008

Provide guidance and advice to management and other stakeholders on compliance-related matters
Identify potential areas of compliance vulnerability and risk
Establish and maintain effective relationships with regulatory agencies

Education

University of Texas at Austin McCombs School of Business, Austin, Texas

Bachelor of Science in Accounting, December, 2007

Skills

Research

Presentation

Time Management

Negotiation

Project Management

Computer Literacy

Compliance.

Troubleshooting

Provide your Contact Information and Address Year Gaps

Always explain any gaps in your work history to your advantage.

Key Insights

Employers want to know what you've accomplished, so make sure to explain any gaps using a professional summary.
Adding extra details and context to explain why you have a gap in your work history shows employers you are a good fit for the position.

How to Optimize Your compliance officer 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.

Employment history

Senior Compliance Officer, Microsoft Redmond, Washington

July 2018 – Present

Proovide guidiance and advvice to managment and other stakeholder on compliance-related matters
Investigate potential violatoins of aplicable laws and regulatoins
Review contrcts and other legal documetns to ensue complience with aplicable laws and regulatoins.

Associate Compliance Officer, KPMG New York City, New York

December 2017 – June 2018

Develp and implement corective action plans for compliance violationes
Monitor changes in appliable laws and regulaitons and asses the potential impcat on the organizaiton
Collabrate with interal and externl stakehloders to ensure complience with appliable laws and regulaitons

Jr. Compliance Officer, Microsoft Redmond, Washington

July 2016 – November 2017

"I went to the store to buy some bread
I went too the store too buy some bread.

Education

University of Pennsylvania, Philadelphia, Pennsylvania

Master of Science in Business Management, May, 2016

University of Pennsylvania, Philadelphia, Pennsylvania

Bachelor of Science in Human Resources Management, May, 2012

Skills

Interpersonal

Attention to Detail

Leadership

Collaboration

Strategic Thinking

Compliance.

Reporting

Financial Management

Include Job Descriptions and Avoid Bad Grammar

Avoid sending a wrong first impression by proofreading your resume.

Key Insights

Spelling and typos are the most common mistakes recruiters see in resumes and by simply avoiding them you can move ahead on the hiring process.
Before submitting your resume, double check to avoid typos.

compliance officer Cover Letter Example

A cover letter can be a valuable addition to your job application when applying for an compliance officer 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.

Lead Compliance Officer
Microsoft
Redmond, Washington

Esteemed Microsoft Hiring Team

I am writing to express my interest in the Lead Compliance Officer role at Microsoft. As a Compliance Officer with 11 years of experience in Business Management, I am confident that I have the necessary skills and expertise to succeed in this position.

Throughout my life, I have been passionate about Marketing and have pursued opportunities to make a difference in this field. My experience in various areas, not just in Business Management, has given me the opportunity to develop my skills in Written Communication and Attention to Detail, which I am excited to apply to the role at Microsoft. I am eager to work with a team that shares my values and to help your organization achieve its well determined goals.

Thank you for considering my application for the Lead Compliance Officer 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,
Roger Jackson
910-913-3404
[email protected]

Roger Jackson

CUSTOMIZE THIS COVER LETTER

Showcase your most significant accomplishments and qualifications with this cover letter.
Personalize this cover letter in just few minutes with our user-friendly tool!

Related Resumes & Cover Letters