Sample Compliance Officer Resume

Posted in Officer Resume Examples

James Milburn
1524 Sharon Lane
Warsaw, IN 46580
(111)-841-9590
[email]

Job Objective Seeking long-term Compliance Officer position in which my professional experiences and special qualifications will help encourage the growth of both my organization and myself.

Highlights of Qualifications:

  • Possess experience in compliance and regulatory affairs
  • Thorough knowledge of Financial Services rules and regulations
  • Strong knowledge of Compliance Risk Management and best practices
  • Ability to interpret written guidelines and legal documents
  • Good understanding of required elements of compliance programs
  • Ability to effectively deal with senior management
  • Excellent problem solving, analytical ability, oral and written communication skills

Professional Experience:

Compliance Officer, August 2005 – Present
BNY Mellon, Warsaw, IN

  • Satisfied a multitude of client compliance reporting requirements, including client correspondence and completion of compliance certifications.
  • Completed all appropriate filings to ensure adherence with federal and state regulatory requirements.
  • Supported the compliance group and legal department with special projects when needed.
  • Worked with appropriate client service/relationship management to get all required documents to open a new account.
  • Coordinated new business acceptance committee meetings to review and approve all new business.

Compliance Officer, May 2000 – July 2005
Boston Company Asset Management, LLC., Warsaw, IN

  • Worked with the portfolio management teams, trading and IT departments to code restrictions and guidelines in the system.
  • Collaborated with the Product Development group and the portfolio management teams on drafting new standard investment guidelines.
  • Worked on complex projects involving compliance related matters independently and with other members.
  • Responsible for certain operational risk responsibilities, such as firm-wide risk assessments and trade error resolution.

Education

Bachelor’s Degree in Business Administration, Imperial Valley College, Imperial, CA

Master’s Degree in Business Administration, Kent State University, Kent, OH

We know how to prepare a professional resume!