Compliance Officer Resume

[First Name] [Last Name]

Contact Address: [street]

[Country] [City] [State/Province] [Zip Code]

Contact Number: (012)-345-6789

Email Address: [[email protected]]

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Career Objective:


To work as a Compliance Officer with “ABC Group,” and handle compliance management program by coordinating with higher authorities.

Summary of Skills:

  • Experience in banking advisor compliance functioning

  • Excellent working knowledge of banking services industry

  • Thorough knowledge of Banking Advisers Act

  • Excellent business acumen and communication skills

  • Ability to provide independent advice and resolve compliance issues

  • Result-oriented, highly organized, and professionalism

Work Experience:


Compliance Officer

United Bank, Seattle, WA

October 2015 – Present

  • Staying abreast with changes in banking compliance laws and regulations

  • Analyzing, identifying, and resolving banking compliance issues

  • Monitoring operational, administrative, and lending compliance

  • Serving as a technical advisor to the committee and the Chief Compliance Officer

  • Reviewing and modifying marketing and promotional materials as per regulatory requirements

  • Developing, implementing, and monitoring risk-based compliance management programs

Compliance Officer

First Bank, Seattle, WA

February 2012 – September 2015

  • Reviewed and ensured compliance with insurance, securities, and lending operations

  • Assisted in annual audit of banking operations as well as of vendors

  • Collected and analyzed data for audit outcome

  • Researched, analyzed, and developed new methods and procedures for the Bank

  • Managed regulatory examination and prepared reports

  • Represented the Compliance Department for special projects as required

Education:


  • Bachelor’s Degree in Business

    ABC University, Seattle, WA

    2011

Reference:


On request.