Compliance Manager Resume Sample

Updated on: March 23, 2022

A compliance manager is a dynamic, highly motivated leader who is willing to take on a challenging role as an international trailblazer.

This person is highly responsible for managing American regulatory agencies and ensuring that certification requirements are fulfilled at the earliest possible time and that companies operate in compliance with laws.

The Compliance Manager Resume is a marketing tool, and for you to write a successful one, you should offer your relevant skills, expertise, experience, and achievements in bullet points.

You also require demonstrating fit in a nice-looking and clear format.

Follow the layout below while writing your resume for this position.

Compliance Manager Resume Example

9878 Harley Boulevard
Albuquerque, NM 23670
(000) 052-9567


Action-oriented compliance manager with over 4 years experience in professionally supporting company’s compliance efforts with federal and state disclosure reporting requirements & obligations. Thorough understanding of documentation implementation systems assuring comprehensiveness, maximizing efficiency, and ensuring ethical and legal business conduct.

• Highly capable of evaluating, investigating, and resolving compliance issues and concerns.
• Hands-on experience in responding and tracking all calls from the MHP Compliance Hotlines.
• Can proactively work with other MHP teams/partners to address compliance issues during the initial stages of program developments.
• Able to efficiently collaborate with other functional areas modifying processes to address identified risks.
• Well acquainted with conducting compliance investigations with corporate counsels.

• Attained appreciation award for Leading & managing a team responsible for conducting periodic. internal compliance reviews determining compliance with regulations related to the Bank Secrecy Act, Office of Foreign Assets Control, USA Patriots Act, KYC, etc.
• Made independent decisions discussing complex regulatory issues including the LOB impact with management.
• Coordinated and participated in on-site investment manager and service providers assessing the adequacy and effectiveness of their compliance programs.
• Supported the preparation of quarterly and annual compliance reports to the Board of Trustees.
• Stayed abreast of evolving investment advisory regulations and on that basis got a promotion.


Reliance Inventers, Inc. – Juneau, AK             
Regulatory Compliance Manager
• Review all system-related information security plans throughout the organization’s network
• Initiate, facilitate and promote activities to foster information privacy awareness within the organization and related entities
• Participate in the development, implementation, and ongoing compliance monitoring of all trading partners
• Perform initial and periodic information privacy risk assessments
• Ensure the delivery of initial privacy training and orientation to all employees, volunteers, and third parties

Nexus Solutions – Phoenix, AZ                           
Compliance Solutions Manager
• Worked collaboratively within the compliance team for making & updating existing compliance solutions
• Generated a business case and architectural design for each selected compliance solution
• Developed cases and collected requirements for selected compliance solutions
• Orchestrated the solution development process by leveraging and influencing internal product groups
• Created and delivered marketing content

National Board of Accountancy – Denver, CO – 2008
Department of Financial & Professional Regulation
• Certified Public Accounting license

Grand Well University – Wilmington, DE – 2007
Master of Science in Business Ethics & Compliance
• CGPA 2.79

Boston Law School – Boston, MA – 2005
BS in Business Law
• CGPA 3.08