Compliance Officer Resume with Less or No Experience

Updated on: August 19, 2018

Compliance officers work in a number of settings and different capacities. Their primary role is to ensure smooth and safe working conditions within the environment that they are working for.

Here is a sample resume for this position if you are looking for your first job in this capacity.


Related: Compliance Officer Cover Letter



Compliance Officer Resume with Less or No Experience


Sarah Newton
389 Brookside Street ● Piscataway, NJ 63511 ● (999) 999-9009

Looking for a Compliance Officer position at Fortress utilizing active communication abilities and sound decision-making skills in order to orchestrate smooth and safe work procedures.

• 4+ years’ functional experience in performing compliance duties
• Highly skilled in recognizing key risks and controls
• Effectively develops review programs and tests strategies governing asset and corporate compliance regulations
• In-depth knowledge of managing compliance test program steps

• Introduced a review schedule that works together with other procedures to control risk and monitoring services
• Wrote a paper on Risk Management in Business Practices published in the Wall Street Paper in the June 2012 edition


Jan 2015 – Present
Nestle Foods, Piscataway, NJ
Compliance Officer
• Develop compliance aides and implement compliance strategies
• Plan and execute compliance monitoring reviews and set up management reporting
• Research, examine and track developments in state and federal regulations
• Carry out the corrective actions as required
• Develop policies and procedures for risk management
• Manage assessment and measurement of over-all risks
• Design and construct tests to monitor compliance
• Educate staff on compliance issues and procedures
• Review marketing and advertising materials

Mar 2014– Jan 2015
Capital Group Companies – Los Angeles, CA
Compliance Associate
• Prepared routine authoritarian filings and licensing
• Researched requirements online to ensure all essential documents and procedures are abided by
• Interacted with business groups to get the required information

Concord University, Los Angeles, CA – 2013
Bachelor of Science in Finance

• Independent thinking skills
• Strong analytic and organizational skills
• Solid quantitative skills
• Excellent team playing abilities
• Good communication skills