Financial Compliance Officer Resume Example & Writing Guide

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

As a compliance officer, you’re tasked with ensuring that your company is following the rules. You review regulations, monitor trends in your industry, and train your team on compliance best practices.

Companies need compliance officers to help them navigate the complex web of laws and regulations that govern their industry and the products they make or services they provide. Compliance officers also help companies avoid legal trouble and protect their reputation by ensuring that all business activities are conducted in accordance with local, state, and federal laws.

Here are some tips and an example to help you write a compelling compliance officer resume that hiring managers will love.

Jennifer Thomas
Los Angeles, CA | (123) 456-7891 | [email protected]

Seasoned financial compliance officer with over 10 years of experience in the securities industry. Proven ability to develop and implement risk management programs, assess financial risk, and ensure regulatory compliance. Driven to protect investors and promote ethical business practices.

San Francisco State University Jun '10
B.S. in Business Administration
Company A, Financial Compliance Officer Jan '17 – Current
  • Led the development of a new financial compliance program for an $8B global company, including developing and implementing policies and procedures to ensure regulatory compliance in multiple jurisdictions.
  • Developed training materials for finance staff on all aspects of the new program, resulting in 100% adoption within 6 months.
  • Oversaw implementation of a new accounting system across 5 countries with over 200 users, ensuring that all processes were compliant with IFRS standards as well as local regulations.
  • Managed the preparation of quarterly reports for senior management, providing accurate information regarding business performance against budget and targets.
  • Created a centralized document repository for finance teams globally to share documents such as contracts, agreements, etc., reducing email traffic by 80%.
Company B, Financial Compliance Officer Jan '12 – Dec '16
  • Developed and implemented a comprehensive training program for all employees on the company’s financial compliance policies, procedures and regulations
  • Conducted periodic reviews of existing contracts to ensure that they were in compliance with federal laws and regulations
  • Assisted senior management in developing an annual budget based on projected sales goals and anticipated expenditures
  • Prepared monthly reports detailing any non-compliance issues or violations of policy, procedure or regulation
  • Collaborated with auditors from the Office of Inspector General (OIG) to identify potential areas of non-compliance
Company C, Compliance Specialist Jan '09 – Dec '11
  • Conducted audits of company processes and procedures to ensure compliance with internal policies and external regulations.
  • Prepared reports on audit findings and recommendations for management.
  • Assisted with the development and implementation of compliance-related policies and procedures.
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crimes Investigator (CFCI)
  • Certified Fraud Examiner (CFE)

Industry Knowledge: SEC, FINRA, AML, KYC, Bank Secrecy Act, Dodd-Frank, NASDAQ, NYSE, NYSE MKT, OCC, MSRB, CFTC, DCO, OTC
Technical Skills: Bloomberg, Thomson Reuters, FactSet, Capital IQ, MS Excel, MS Word, MS PowerPoint
Soft Skills: Communication, Decision-Making, Problem Solving, Negotiation, Teamwork, Leadership, Organization, Attention to Detail

How to Write a Financial Compliance Officer Resume

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

Write Compelling Bullet Points

When you’re writing bullet points, it can be tempting to focus on the responsibilities of your job. But that’s not enough to make a hiring manager take notice. Instead, you should focus on the results of your work.

For example, rather than saying you “managed accounts payable,” you could say that you “reduced accounts payable backlog by 50% in six months, resulting in a 10% increase in cash flow.”

The second bullet point paints a clear picture of what you did and the results of your work. And it also provides a quantifiable result (10% increase in cash flow).

Identify and Include Relevant Keywords

When you submit your resume for a financial compliance officer role, it’s likely that it will go through an applicant tracking system (ATS). This system will scan your resume for certain keywords related to the job, like “audit” or “compliance.” If your resume doesn’t include enough of the right terms, the ATS might disqualify you from the pool of candidates.

To increase your chances of getting an interview, use this list of commonly used financial compliance officer keywords as a guide:

  • Financial Reporting
  • Finance
  • Financial Analysis
  • Financial Accounting
  • Accounting
  • Financial Risk
  • Banking
  • Financial Services
  • Corporate Finance
  • Risk Management
  • Auditing
  • Investment Banking
  • Internal Controls
  • Financial Audits
  • Regulatory Compliance
  • Financial Modeling
  • Generally Accepted Accounting Principles (GAAP)
  • Sarbanes-Oxley Act
  • Enterprise Resource Planning (ERP)
  • Internal Audit
  • Financial Planning
  • Assurance
  • Assurance Services
  • Finance Management
  • Internal Audit Assistance
  • Risk Assessment
  • Internal Controls Evaluation
  • Banker
  • Banking Operations
  • Credit

Showcase Your Technical Skills

As a financial compliance officer, you will need to be proficient in a variety of software programs and systems in order to do your job effectively. This might include familiarity with financial accounting software, auditing software, and regulatory compliance software. Additionally, you will need to be able to use technology to communicate with other members of the financial team, including accountants and auditors.

Some of the programs and systems that financial compliance officers are typically expected to be proficient in include: QuickBooks, Sage 50, Microsoft Excel, and ACL.


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