Compliance Officer Resume Sample

Updated August 19, 2018

It is a widely known fact that resumes are considered the be-all and end-all of job applications. Every resume is different – if it isn’t, the individuality of the candidate is at stake. So every resume has to be different.

There are some things that you cannot do when writing a resume for a compliance officer position, including additional headers such as interests and hobbies. While these were considered important a decade ago, employers of today really do not wish to know what you do in your spare time!

You can build your resume based on the sample provided below:

 

Compliance Officer Resume Sample

 

Frank Allen

7 Clearfield Lane ● Dublin, OH 82202 ● (000) 541-1241 ● frank.allen @ email . com


COMPLIANCE OFFICER

PERFORMANCE SUMMARY
Driven and aggressive Compliance Officer oversee corporate compliance programs and function as a neutral body to review and evaluate compliance issues. Competent in implementing compliance programs and ensuring adherence to them through the delivery of well-placed directives. Ability to develop, initiate, maintain and revise policies and procedures for the operational success of compliance programs. Recognized for reviewing standards of conduct to ensure continued relevance in providing guidance to employees.

CORE COMPETENCIES

• Improper Conduct Prevention • Corporate Guidance
• Monitoring and Coordination • Vulnerability Identification
• Introductory Trainings • Progress Tracking
• Risk Awareness • Best Practices Integration
• Independent Reviews • Violation Detection and Reporting
• Internal Systems Compliance • Risk Mitigation

PROFESSIONAL EXPERIENCE

Compliance Officer | Sep 2012 – Present
Willis Group, Dublin, OH
• Implement revised compliance controls which resulted in the increased consistency of work processes
• Identify key areas prone to vulnerability and addressed correlating issues, resulting in the smoothness of project progress
• Determine loopholes in compliance programs and create and implement corporate compliance modules
• Oversee and monitor the implementation of compliance programs across all platforms
• Develop, initiate and devise policies and protocols for operation of compliance programs to prevent illegal and unethical conduct
• Respond effectively to alleged incidents of non-compliance and violations and implement a system for the uniform of handling of violators
• Monitor and coordinate compliance activities of all departments and stay abreast of the statuses of associated activities

Compliance Officer | Jul 2008 – Sep 2012
AA Company, Dublin, OH
• Successfully created and implemented the corporate compliance program from scratch, within the stipulated time of 29 days
• Conducted 15 workshops on corporate risk awareness, occasioning steadiness in project startup activities
• Identified potential areas of compliance risk and vulnerability and devised solutions to cover them
• Developed and coordinated educational programs to focus on the elements of compliance programs
• Designed, developed and implemented programs and policies that encouraged personnel to report suspected fraud and improprieties without fearing retaliation
• Collaborated with departments such as risk management and internal audit to direct compliance issues to appropriate channels.
• Responded to violations of rules, regulations, policies, and procedures by recommending initiation of investigative procedures

Compliance Assistant | May 2005 – Jul 2008
Goldman Sachs, Dublin, OH
• Deciphered areas of risk and vulnerabilities and ascertained that they were communicated to compliance officers
• Reviewed and analyzed vendor transactions flagged by automated systems
• Audited departmental documentation in alignment with the company’s compliance procedures
• Assisted in monitoring the implementation of compliance programs and coordinated internal compliance reviews and monitoring activities
• Ascertained that the compliance program is communicated clearly and understood by all targeted employees and departments

EDUCATION
Ohio State University, Dublin, OH – 2003
Bachelor’s Degree in Business Administration

About the Author

Sam Mogul, MBA (ITM & HR), is a passionate career expert with 15 years of experience in writing and reviewing resumes, cover letters, and career-related content. He founded CoverLettersAndResume in 2011 intending to help job seekers in their job search journey. If you have any questions or concerns, please feel free to Contact Us. Or visit our About Us page.





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