Senior Compliance Officer Resume Example & Writing Guide

Use this Senior 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’ll help organizations follow the regulations that govern their industry. You might help enforce things like environmental regulations or food safety standards. Or you might help companies comply with government regulations like tax laws or employment laws.

As an aspiring compliance officer, it’s important to have an understanding of the regulations that govern your industry. And because compliance officers work closely with legal teams, you should also have strong writing skills and be comfortable with legal terminology.

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 compliance officer with over 10 years of experience in the financial services industry. Proven ability to develop and implement Compliance programs that meet regulatory requirements and protect the interests of the company. Strong technical skills and a data-driven approach.

University of California, Hastings College of the Law Jun '10
University of California, Berkeley Jun '06
B.A. in Political Science
Company A, Senior Compliance Officer Jan '17 – Current
  • Led the development of a comprehensive training program for all compliance officers and managers to ensure that employees are trained on applicable laws, regulations, and policies related to their job functions.
  • Oversaw the implementation of new procedures designed to enhance compliance with federal law by improving internal controls over financial reporting processes.
  • Assisted in developing an annual budget for the department based upon projected revenue and expenditures as well as analyzing monthly reports from each branch regarding collections, delinquencies, etc., identifying trends or issues requiring corrective action.
  • Coordinated with outside counsel on legal matters pertaining to consumer lending practices including but not limited to litigation defense, regulatory investigations, enforcement actions, licensing applications/renewals, corporate formation/mergers & acquisitions (M&A), etc.
  • Provided support for day-to-day operations within Compliance Department such as document review requests from various departments within company; provided guidance and direction when needed; assisted other team members with projects as needed; prepared presentations for senior management meetings; conducted research into complex topics relating to our business model and industry best practices; drafted correspondence such as letters responding to inquiries from regulators or consumers; reviewed documents prior to execution by appropriate personnel; organized files according to retention schedule and maintained records retention system database ensuring proper documentation is retained per record retention schedules set forth by state law and regulation(s).
Company B, Senior Compliance Officer Jan '12 – Dec '16
  • Developed and implemented a compliance program that included policies, procedures, controls and training to ensure regulatory requirements were met
  • Conducted risk assessments on all company operations to identify potential areas of non-compliance with regulations
  • Implemented an employee education program designed to increase awareness of the importance of compliance with regulations
  • Collaborated with management in developing strategies for achieving goals while complying with regulations
  • Provided guidance and advice to management regarding legal issues related to compliance matters
Company C, Compliance Officer Jan '09 – Dec '11
  • Monitored and evaluated compliance with internal policies and procedures as well as external regulations.
  • Conducted audits of compliance records and reported findings to the compliance committee.
  • Provided training to employees on compliance-related topics such as anti-corruption, anti-money laundering, etc.
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crime Specialist (CFCS)
  • Certified Fraud Examiner (CFE)

Industry Knowledge: Compliance, AML, KYC, OFAC, HIPAA, FFIEC, CFPB, FDCPA
Technical Skills: Microsoft Office Suite, Bloomberg, LexisNexis, SunTrust, Wells Fargo, Capital One
Soft Skills: Communication, Leadership, Problem Solving, Teamwork, Attention to Detail, Critical Thinking

How to Write a Senior Compliance Officer Resume

Here’s how to write a 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 always the most effective way to showcase your skills and experience.

Instead, you can use your bullet points to tell a story about your work. For example, rather than saying you “conducted audits,” you could say you “conducted audits of top-tier financial services firm, resulting in $1 million+ in cost savings over six-month period.”

The second bullet point paints a much clearer picture of what you did and the results of your work. And it also provides a specific number to demonstrate the scale of the project.

Identify and Include Relevant Keywords

When you apply for a senior compliance officer role, your resume is likely to go through an applicant tracking system (ATS). This system will scan your resume for specific keywords related to the job opening. If your resume doesn’t include enough of the right terms, the ATS might discard your application.

The best way to make sure your resume makes it past the ATS is to include keywords that are commonly found in senior compliance officer job postings. Here are a few examples:

  • Compliance Management
  • Anti Money Laundering
  • Regulatory Compliance
  • Risk Management
  • Financial Services
  • Compliance Regulations
  • Banking
  • Due Diligence
  • Credit
  • Financial Risk
  • Finance
  • Compliance Monitoring
  • Risk Assessment
  • Legal Compliance
  • Commercial Banking
  • Capital Markets
  • Credit Risk
  • Capital Markets Compliance
  • Operational Risk
  • Internal Audit
  • Financial Analysis
  • U.S. Foreign Corrupt Practices Act
  • Sarbanes-Oxley Act
  • Securities
  • Corporate Governance
  • Risk Assessment
  • Banking Regulations
  • Internal Audit
  • Business Strategy
  • Business Control

Showcase Your Technical Skills

As a senior compliance officer, you will need to be proficient in a variety of software programs and systems in order to effectively do your job. This might include compliance-related software programs, like EthicsPoint and Compliance360, as well as general office productivity software, like Microsoft Office Suite. You should also be familiar with compliance-related databases, like the Federal Register and the Code of Federal Regulations.

Additionally, senior compliance officers need to be able to effectively use technology to communicate with other members of the compliance team, as well as with other departments within the company. Therefore, it is essential that you have strong written and verbal communication skills.


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