Sample Compliance Executive Resume

Posted in Executive Resume Examples

Robert Zepeda
3955 Better Street
Fort Worth, KS76102

Job Objective Experienced Compliance Executive seeking employment with reputable organization where my skills and training can be a positive contribution to company.

Highlights of Qualifications:

  • Exceptional experience in a Compliance role within the financial services and funds industry
  • Good expertise in the interpretation of legislation and regulation relating to financial services
  • Huge knowledge in implementing assurance and compliance frameworks, processes, tools and technology in a complex environment
  • Outstanding knowledge of AML, Data Protection and Consumer Protection related regulation
  • Solid written and verbal communication skills and positive interpersonal skills

Professional Experience:

Compliance Executive
Bank Of America,Fort Worth, KS
August 2007 – Present

  • Ensured reliability of all material controls for internal and external purposes.
  • Managed and implemented annual risk-based business assurance and compliance monitoring program.
  • Prepared Terms of Reference and testing plans for assigned reviews.
  • Tested relevant controls and processes.
  • Prepared reports and action plans related discrepancies.

Compliance Executive
Citigroup, Fort Worth, KS
May 2004- July 2007

  • Advised to operational and support departments including Transfer Agency and Fund Accounting.
  • Assisted in the provision of support to Compliance and Business Projects.
  • Assisted in and supported Compliance Strategy & Program.
  • Managed Compliance Department’s Compliance Monitoring Program.


Bachelor’s Degree in Business
Naropa University, Boulder, CO

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