Resume

Compliance Specialist Resume Example & Writing Guide

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

Compliance specialists are tasked with ensuring that their organizations are following the rules and regulations that govern their industries. They’re also responsible for identifying and managing potential risks that could lead to legal trouble down the road.

Compliance specialists need to be detail oriented, organized, and able to work independently—and they need to be able to think on their feet. They need to be able to research complex regulations and interpret them in a way that makes sense for their organizations. And they need to be able to communicate effectively with coworkers across departments to get things done.

Here are some resume tips to follow plus an example resume to look at when writing your own compliance specialist resume.

David Moore
Phoenix, AZ | (123) 456-7891 | [email protected]
Summary

Seasoned compliance specialist with a record of safeguarding the interests of clients and organizations through risk management and regulatory compliance. Proven ability to develop and implement compliance programs that protect the brand, mitigate risk, and ensure regulatory compliance.

Education
Arizona State University Jun '10
B.S. in Business Administration
Experience
Company A, Compliance Specialist Jan '17 – Current
  • Created and maintained a database of all current vendor information, including contact details, contract expiration dates, etc.
  • Reviewed purchase orders for compliance with company policies and procedures to ensure proper pricing, terms, conditions, etc.
  • Analyzed invoices for accuracy and completeness to ensure that the correct items were purchased at the correct price from the appropriate vendor(s).
  • Assisted in preparation of reports regarding purchasing activity within the department as well as across multiple departments/business units.
  • Provided support to other team members on issues related to purchases or payments made by vendors or employees which may require further investigation due to possible non-compliance with company policy or procedure.
Company B, Compliance Specialist Jan '12 – Dec '16
  • Conducted regular audits of all company policies and procedures to ensure that they were up-to-date with the latest regulations
  • Worked closely with management team to develop a comprehensive training program for employees on compliance issues
  • Regularly updated regulatory knowledge by attending seminars, conferences and webinars related to regulation updates
  • Collaborated with other departments (e.g., sales, marketing, operations) to identify potential risks before they became problems
  • Developed an in-house system for tracking regulatory changes and communicating them throughout the organization
Company C, Compliance Intern Jan '09 – Dec '11
  • Conducted research on compliance-related topics and prepared summaries of findings for the compliance team.
  • Assisted with the development and implementation of compliance-related policies and procedures.
  • Monitored compliance with applicable laws, regulations, and company policies.
Certifications
  • Certified Compliance & Ethics Professional
  • Certified Regulatory Affairs Professional
  • Certified Quality Auditor
Skills

Industry Knowledge: HIPAA, FERPA, HIOA, GDPR, GLBA, SOX, SEC, FINRA
Technical Skills: Microsoft Office Suite, Google Apps, Office 365, Salesforce, Veeva, Intacct
Soft Skills: Attention to Detail, Critical Thinking, Problem Solving, Teamwork, Communication, Leadership, Time management, Organization

How to Write a Compliance Specialist Resume

Here’s how to write a compliance specialist 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 “provided customer service,” you could say that you “provided customer service for 20+ customers daily, resolving issues in less than 10 minutes for 90% of customers.”

The second bullet point is much stronger because it provides specific details about what you did and the results of your work. It also includes a quantifiable metric—90% of customers were satisfied in less than 10 minutes—which makes it easy for a recruiter or hiring manager to understand your level of experience.

Related: What Is a Compliance Specialist? How to Become One

Identify and Include Relevant Keywords

When you submit your resume online, it’s likely that it will be scanned by an applicant tracking system (ATS) for certain keywords. These programs look for certain terms related to the job opening in order to determine whether or not you have the skills and experience required for the role. If your resume doesn’t include enough of the right keywords, the ATS might filter out your application.

One way to make sure your resume makes it past the ATS is to include relevant compliance keywords throughout all sections of your resume. Here are some of the most common compliance keywords:

  • Regulatory Compliance
  • Compliance Management
  • Risk Management
  • Banking
  • Financial Services
  • Auditing
  • Financial Analysis
  • Legal Compliance
  • Financial Risk
  • Anti Money Laundering
  • U.S. SEC Regulation
  • Financial Analysis Tools
  • Banking & Financial Services
  • Internal Audit
  • Data Analysis
  • Risk Assessment
  • Sarbanes-Oxley Act
  • FINRA
  • Compliance Monitoring
  • Financial Reporting
  • Legal Research
  • Microsoft Access
  • Financial Audits
  • Accounting
  • Public Speaking
  • Negotiation
  • Business Strategy
  • Business Planning
  • Team Leadership
  • Business Development

Showcase Your Technical Skills

As a compliance specialist, you are responsible for ensuring that your organization is in compliance with government regulations. In order to do this, you need to be proficient in a variety of software programs and systems. Some of the most commonly used programs are Microsoft Office Suite, Sage 50, and Oracle. Additionally, compliance specialists need to be familiar with government regulations related to their industry, as they will often be responsible for ensuring that the organization is in compliance with these regulations.

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