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Include These Compliance Officer Skills
- Providing ongoing regulatory and compliance support to the broker dealer
- Developing and enforcing the company’s policies and procedures for its anti-money laundering and financial crimes programs
- Digitizing manual processes in approved systems to meet FINRA supervision requirements
A sample cover letter for a Compliance Officer that articulates the skills and experience necessary to the position is shown below.
Dear Mr. Dallas Bush:
I am an accomplished, results-oriented professional with extensive experience in creating and managing corporate-wide compliance and risk management programs as well as having implemented these initiatives across global organizations. My background includes a proven track record of consistently establishing cost-saving initiatives and offers a firm grasp of all aspects of asset management and protection, including physical security, audit and compliance, and operational risk management for large organizations. Adept at utilizing broad based skills to enable easy collaboration among varying facets, I have created more operationally efficient, secure, and synergistic organizations.
I posses an extensive background and expertise in Risk Management for federal groups such as FEMA, Department of Homeland Security, and Department of the Environment. I have served as an adjunct instructor and trainer specializing in OSHA training. I have also led several construction/infrastructure projects for the public sector.
My leadership style focuses on engaging team members to communicate, dynamically solve problems and deliver the highest quality solutions. I am currently seeking to provide your organization with the above skills as Compliance Officer.
A sample of key contributions includes:
Established a program management plan and roadmap for mid-Atlantic region catastrophic event planning program involving 2 FEMA regions and 8 states.
Maximized risk assessment planning and gap analysis for incident response and first-responder occupational safety planning, procedures, and training for local governments.
Achieved US Secret Service Commendation for participation in EOC planning for the 2010 International Nuclear Summit as Lead Emergency Liaison Officer in Washington, DC.
Provided oversight and direction as Chief Advisor and Program Manager for the implementation of the District of Columbia Emergency Response Plan (DERP). Led teams in risk control and emergency program management including occupational safety, risk assessment, and hazards analysis for a large city department.
As a detail oriented individual with a passion for excellence, I am adept at listening to clients’ needs, then analyzing and implementing the best designed solution. I am effective and comfortable communicating with all levels of stakeholders. My unique background makes me a strong leader for major change projects. I have devoted my career to developing proven Operational Risk Management strategies in order to meet or exceed client expectations.
Please accept this letter and enclosed resume as an introduction to my skills and background. For a more detailed presentation of my offerings, feel free to contact me at your earliest convenience to schedule a conference. Thank you in advance for your consideration and I look forward to our conversation.
Katherine Aguilar, MBA, PMP