Chief Compliance Officer Resume Samples

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Chief Compliance Officers make sure that the company they work for and its employees comply with industry regulations and internal policies. These professionals are responsbile for designing compliance plans, updating their knowledge on recent regulation changes, guiding management and staff on compliance matters, and responding in case of government investigations. Based on the strongest resume samples, candidates for this job should demonstrate thorough knowledge of industry regulations, excellent organizational skills, leadership, communication abilities, and computer competencies. A Bachelor's Degree in a relevant field is required for the job, and employers may prefer resumes displaying a Master's Degree.

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1

Assistant Vice President & Chief Compliance Officer; Chief Privacy and Risk Officer

Supervised direct reports in managing the corporate compliance program, including oversight of foreign subsidiaries and independent producers, for this $4 billion life and annuity insurance company. Monitored legislative and regulatory compliance developments, and testified before regulatory and legislative bodies.

  • Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
  • While serving as Chief Compliance Officer, also served as the company's Chief Privacy and Risk Officer for one year. Led the development and implementation of group enterprise risk initiatives.
  • Recipient of the "People's Choice Award for Professionalism" for the highest ethical performance.
Candidate Info
10
years in
workforce
6
years
at this job
BA
Journalism
JD
Juris Doctor
2

Chief Compliance Officer

Developed and implemented firm's policies and procedures manual for Registered Investment Advisor with $100 million of assets under management.

  • Monitored and verified firm's compliance with SEC regulations.
  • Developed and implemented internal control tests to verify employee compliance with firm's policies and procedures.
  • Performed quarterly variance analysis to test the firm's productivity and trends.
  • Managed approximately 90 client investment portfolios for individual and company retirement plans.
  • Prepared personal financial plans.
  • Assisted with implementation of paperless office.
Candidate Info
23
years in
workforce
12
years
at this job
BBA
Accountancy
3

Chief Operating Officer & Chief Compliance Officer

Company co-founder and head of operations and compliance departments for a Registered Investment Advisory firm managing over $300 million in client assets.

  • Directed company strategy and operations as part of the Executive Committee.
  • Oversaw two mergers & acquisitions, one involving private equity and one by a large public financial company.
  • Regular interaction with C-level executives throughout the merger & acquisition process.
  • Negotiated and drafted contracts with business partners, clients, and vendors.
  • Served as the company's spokesperson with local and national media.
Candidate Info
17
years in
workforce
8
years
at this job
BA
History
JD
Juris Doctor
4

Chief Compliance Officer

Developed, implemented, and maintained a compliance program for variable annuities and variable life Insurance products pursuant to SEC Rule 38a-1 and state insurance regulations involving a risk assessment, annual review process, and an Anti-Money Laundering (AML) Program.

  • Designated Chief Anti-Money Laundering Officer and developed and maintained an AML program covering proprietary registered insurance products.
  • Coordinated SEC and State Insurance examinations.
  • Monitored for SEC and State Insurance Department regulatory changes and implemented policies and procedures designed to address new regulations.
  • Monitored for market timing and late trading and coordinated the SEC Rule 22c-2 program.
Candidate Info
31
years in
workforce
6
years
at this job
BS
Designations And Registrations
5

Member, Chief Compliance Officer

Active in the development of new assets for the firm. Also assisted in development of marketing materials and campaigns.

  • Maintained and strengthened relationships with existing clients.
  • Played instrumental part of firm's assets doubling in two years
  • Developed, implemented and monitored company's compliance program.
  • Completed all of the initial state and federal government filings for creation of a new business entity, as well as required annual filings.
  • Completed all initial paperwork required by the Securities and Exchange Commission for the development for a Registered Investment Advisory firm.
  • Developed, implemented and oversaw company's policies and procedures.
  • Orchestrated all client operational activities, including gifts, transfers and other client request.
Candidate Info
20
years in
workforce
2
years
at this job
BS
Economics
MBA
Master of Business Administration
6

Chief Compliance Officer

Developed policies, procedures and practices to ensure compliance with all laws and regulations.

  • Established a Company Compliance Management System based on the
  • Analyzed compliance risk and created strategies to provide risk mitigation
  • Corporate point of contact for all attorney relations, and all regulatory
  • Collaborated with management team to ensure support of compliance
  • Created and maintained corporate complaint logs to analyze trends - YTD
  • Support QA department in the development and deployment of compliance training program
  • Directly responsible for investigating and responding all regulatory
  • Formal Bi-Monthly Executive Review presentations
Candidate Info
24
years in
workforce
3
years
at this job
7

Chief Operating Officer & Chief Compliance Officer

National Broker-Dealer specializing in foreign stock traded directly on foreign exchanges
Managed major aspects of firm, including trading, IT, branch network, and compliance. Oversaw growth of firm from $3.9 Million to $25.5 Million in annual revenue.

  • Controlled organization and administrative management of firms sales force during explosive sales growth including creating and maintaining systems for lead distribution, dispute resolution, manager training, opening of new branch offices, and implementing firm-wide commission grid revisions
  • Primary contact for all clearing firm and major vendor relationships
  • Responsible for review and submission of firms foreign trading activities, primary contact for after-hours trading partner interaction
  • Continual review and upgrade of systems to support annual revenue growth of over 50% per year
Candidate Info
27
years in
workforce
4
years
at this job
BA
Economics
MBA
Finance
8

Executive Vice President, General Counsel and Chief Compliance Officer

Responsible for worldwide legal affairs for a $6.9 billion public retail and b2b distribution company. Responsibilities included litigation management, contract drafting and review, master form database, securities law and compliance, acquisitions and other corporate
transactions, governmental and political affairs, corporate compliance, and legal support for employment and labor, environmental, finance, and real estate. Additional related responsibilities include Board of
Directors administration, corporate records, and development of corporate policies. Also, oversaw the management and operation of corporate aircraft.

  • During 2013 was a primary architect of merger with Office Depot.
  • Established new legal department following the spin-off of the company's forest products assets.
  • Established the corporate compliance function in 2005; in 2012 and 2013 the company was named to list of "world's most ethical companies".
  • Member of executive committee involved in development and implementation of company strategy and high level decision making.
Candidate Info
29
years in
workforce
9
years
at this job
BA
Business Economics
JD
Juris Doctor
9

Chief Compliance Officer

[company name] provides debit and credit card transaction processing for community financial institutions along with fraud detection and rewards programs.

  • Facilitated formation and organization documentation
  • Drafted Master Services Agreement for products and services
  • Negotiated contracts such as software development agreements, marketing agreements,
Candidate Info
16
years in
workforce
1
year
at this job
JD
Law
10

Chief Compliance Officer

Overall responsibility for the company's Ethics and Compliance program. Architect for the evolution of the program to industry leading standards in the heavily regulated business of construction.

  • Redesigned the overall Compliance and Ethics program, including:
  • Implementation of state-of-the-art hotline reporting and investigation program
  • Rewrite of Code of Ethics and Business Conduct
  • Design and delivery of company-wide compliance and ethics training program
  • Development of compliance function to enhance constituent awareness
  • Directed company-wide fraud risk assessment and delivered results and recommendations to Executive Management team.
  • Developed and published a four-part Compliance Manual for all projects with federal funding.
  • Created a culture of compliance through relentless marketing of the return on investment of an effective compliance program.
Candidate Info
19
years in
workforce
4
years
at this job
BS
Business Administration

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