Resume

Compliance Manager Resume Example & Writing Guide

Use this Compliance Manager resume example and guide to improve your career and write a powerful resume that will separate you from the competition.

As a compliance manager, you’re tasked with ensuring that companies and organizations are following the rules. You oversee an organization’s compliance efforts, monitoring everything from environmental regulations to labor laws to tax requirements. Compliance managers also work to identify areas of potential risk in order to prevent future violations.

If you enjoy solving complex problems and have a passion for helping organizations run more smoothly, then a compliance manager position could be the ideal place for you to use your skills. Follow these tips and resume example to write a compelling compliance manager resume that hiring managers will love.

Michael Garcia
Chicago, IL | (123) 456-7891 | [email protected]
Summary

Seasoned compliance manager with over 10 years of experience in the financial services industry. Proven ability to develop, implement, and enforce compliance policies and procedures that protect the organization while ensuring regulatory compliance. Experienced in leading cross-functional teams and working with senior management to drive strategic initiatives.

Education
Keller Graduate School of Management Jun '10
M.S. in Business Administration
University of Illinois at Urbana-Champaign Jun '06
B.S. in Business Administration
Experience
Company A, Compliance Manager Jan '17 – Current
  • Led the development of a comprehensive training program for all employees on compliance with applicable laws and regulations, including anti-money laundering (AML) and counter-terrorism financing (CFT).
  • Developed an annual risk assessment process to identify risks related to AML/CFT obligations and implemented controls to mitigate identified risks.
  • Oversaw implementation of new processes designed to enhance monitoring capabilities in order to detect suspicious activity early and improve transaction monitoring capabilities by leveraging data from multiple sources.
  • Managed the day-to-day operations of the Compliance Department, including hiring, firing, performance management, etc., as well as oversight of regulatory reporting requirements such as Suspicious Activity Reports (SARs), Currency Transaction Reports (CTRs), Report of International Transportation of Currency or Monetary Instruments (CMIR), etc.
  • Provided support for ongoing investigations into potential violations of law or regulation by company personnel or third parties doing business with the company through provision of information requested during an investigation and coordination with external counsel regarding legal strategy where appropriate.
Company B, Compliance Manager Jan '12 – Dec '16
  • Developed and implemented a training program for all employees to ensure they were in compliance with company policies
  • Conducted regular audits of the business operations, including customer service practices, sales techniques and product quality
  • Managed an annual budget of $1M that included travel expenses, office supplies and equipment upgrades
  • Collaborated with upper management on strategic planning initiatives to improve overall performance and increase profitability
  • Oversaw day-to-day operations of the department, which included five full-time staff members
Company C, Compliance Officer Jan '09 – Dec '11
  • Monitored and enforced compliance with internal policies and procedures as well as external regulations.
  • Conducted audits to ensure compliance with regulations and identified areas of improvement.
  • Trained employees on compliance related topics and provided updates on changes in regulations.
Certifications
  • Certified Compliance & Ethics Professional
  • Certified Information Privacy Professional
  • Certified Fraud Examiner
Skills

Industry Knowledge: Risk Management, SEC, SOX, Dodd-Frank, Basel, FATCA, GAAP, SEC Filings
Technical Skills: Microsoft Office Suite, Data Analysis, Microsoft Excel, Microsoft Word, Microsoft PowerPoint

How to Write a Compliance Manager Resume

Here’s how to write a compliance manager resume of your own.

Write Compelling Bullet Points

The best way to make your resume stand out is to use specific examples and numbers. So rather than saying you “managed compliance for large organization,” you could say that you “managed compliance for large organization, resulting in 100% compliance with all state and federal regulations.”

The second bullet point is much stronger because it provides specific details about what you did and the results of your work. And it also includes a quantifiable result (100% compliance).

Identify and Include Relevant Keywords

When you submit your resume for a compliance manager role, it’s likely that it will be scanned by an applicant tracking system (ATS) for certain keywords. ATS programs look for keywords related to the job opening in order to determine whether your skills and experience are a match. If you don’t have the right keywords on your resume, the ATS might discard your application before a human ever sees it.

To increase your chances of getting an interview, use this list of compliance manager keywords as a starting point to help you identify the most relevant skills and experience:

  • Regulatory Compliance
  • Compliance Management
  • Risk Management
  • Banking
  • Auditing
  • Anti Money Laundering
  • Internal Audit
  • Financial Services
  • Financial Risk
  • Legal Compliance
  • Compliance Regulations
  • KYC
  • Fraud Investigations
  • Data Analysis
  • Strategy
  • Business Process Improvement
  • Internal Controls
  • Finance
  • Enterprise Risk Management
  • Continuous Improvement
  • Microsoft Access
  • Change Management
  • Business Analysis
  • Team Leadership
  • Negotiation
  • Risk Assessment
  • Business Strategy
  • Project Management
  • Supervisory Skills
  • Operations Management

Showcase Your Technical Skills

Compliance managers need to be proficient in a variety of technology systems and procedures in order to do their jobs. They are responsible for ensuring that the organization is in compliance with government regulations, so they need to be familiar with the relevant regulations and how to implement them. Additionally, compliance managers need to be comfortable with using technology to track and report on data.

Some of the programs and systems that compliance managers are typically expected to be proficient in include: Microsoft Office Suite, ERP systems, manufacturing software, and data analysis software.

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