Compliance Manager Resume Sample

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Ichabod Crane

Compliance Manager


A well qualified banking professional with an experience for nearly 9 years. Ability to handle the responsibilities and tasks handed over to me independently without any supervision or guidance and work towards being more result – oriented rather than target – oriented.


  • Financial Management
  • Financial Legislation
  • Governance Reporting
  • Compliance Management
  • Fraud investigation

Work Experience

Assistant Manager at Compliance Department

Maybank Investment Bank Berhad

  • Managing daily review and clearance of Research publication and employee and directors’ trading applications.
  • Managing Watch List, Restricted List and Black-out List and providing Control Room advice and to the advisory and research departments
  • Formalizing  Handling of Customer Information Policy which was approved at the Board level.
  • Coming up with simplified declaration forms which incorporate the relevant compliance requirements for new recruits’ declaration on the on boarding stage.
  • Manage and review monthly Compliance reports to the relevant Board and Senior Management level committees which includes escalation of regulatory and internal breaches, AML/CFT issues and updates on regulatory inspections of the IB Group
  • Formalizing and subsequent roll out of the Regional Chinese Wall Policy, the Regional Guidelines on the Management of the Watch List, Restricted List and the Black-out List, the Regional Guidelines on Personal Investment  across  MIBs branches and the Maybank Kim Eng  entities in Singapore, Indonesia, Thailand, Vietnam, Philippines and Hong Kong.
  • Undertaken surprise review on business activities upon request of Senior Management.

Compliance Officer

Kaf Investment Bank Berhad

Oct 2017
  • Supervising compliance with all applicable laws, rules, directives, rulings and guidelines issued by  relevant authorities;
  • Supervising compliance with the Bank’s internal policies and guidelines;
  • Conduct review/testing on internal control to ensure that the regulatory requirements and internal policies and procedures are complied with.
  • Assist in the issuance of Compliance report with recommendations and findings.
  • Follow-up on non compliance issue raised by regulator with the respective department to ensure the issues are timely resolved.
  • Monitor the timeliness of the Bank’s submission of regulatory reporting to the regulator.
  • To supervise department staff on the on the implementation of AML/CFT measures into their existing framework and ensure compliance.
  • Developing, initiating, maintaining and revising policies and procedures to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the program.
  • Reviewing new guidelines, directives or any rulings from relevant authorities to ascertain the applicability and recommend appropriate use to the relevant departments;
  • Reviewing the handling of complaints and reporting the findings to the Head of Compliance;
  • Developing an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees; and
  • Analyzing alerts and investigating customers who match with the list identified with regulators.
  • Reporting unusual client activities which might relate to sanctioned individuals, money laundering or terrorist financing.
  • Such other tasks as specified by the Head of Compliance from time to time.

Assistant Manager

CITI Group

Oct 2013
  • An Anti-Money Laundering (AML)initiative which focuses on the research and analysis of Senior Public Figures (SPFs) and High-risk Customers’ accounts within Citibank across Asia Pacific and North America.
  • Analyzing alerts and investigating customers who match the Global Sanctions list during the account opening and maintenance processes.
  • Conducting searches, gathering data and recording evidence from reliable sources and enquiry with business or Compliance contacts within the organization.
  • Reporting unusual client activities which might relate to sanctioned individuals, money laundering or terrorist financing.
  • Conducting enhanced due diligence investigations in support of policies and procedures.
  • Responsible in checking analyst’s cases, compiling reports and assisting analysts in doing research.
  • Ability to understand risk weighting and scoring.
  • Responsible for determining to split a case by creating a new case based on analyst’s research.
  • Project Migration – Successfully involved in setting up a pioneer department for Cross Sector Anti Money Laundering Asia Pacific hub which was only launched in March 2011 and to work closely with the main hub in Citibank Tampa, Florida.
  • Head of Team Building – Represent Asia Pacific hub in planning, organizing and  coordinating events for the team.
  • Voice of the Employee Representative – Act as the representative for employees in Asia Pacific hub to improve communications, procedures and recommendations with the management team


Bachelor Degree in Islamic Banking & Finance

San Jose State University

Oct 2010

Diploma in Business Studies

Northeastern University

Dec 2008


  • English
  • French
  • Arabic
  • German

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What Should Be Included In A Compliance Manager Resume?

When creating a resume for a Compliance Manager position, it is important to include key information that will showcase your qualifications for the job. This includes your experience in compliance, your specific skills and qualifications, and any certifications or licenses you may hold. Additionally, it is important to highlight any special accomplishments or awards that demonstrate your qualifications.

When listing your experience, be sure to include the name of the employer you worked for and the dates of employment. Also, provide a brief overview of the job and the duties you performed. This should include the size and scope of the organization you worked for, and the projects you worked on. It may also be helpful to include any special projects or initiatives you led or worked on that demonstrate your abilities in the field.

Include any relevant qualifications and certifications, such as a CPA, CFE, CIA or other related certifications. Be sure to provide detailed information on the training and education you have received in the compliance field. Also, highlight any special qualifications you may have acquired, such as specialized training or expertise in specific laws or regulations.

Finally, be sure to include any awards or special recognitions you have earned for your work in the compliance field. This can include awards from professional organizations, or special recognition from employers, clients or customers. Showcasing your accomplishments on your resume can help demonstrate your value to potential employers.

By following these guidelines, you can create an effective resume that will help you stand out from other applicants when applying for Compliance Manager jobs.

What Skills Should I Put On My Resume For Compliance Manager?

When applying for a Compliance Manager role, it’s essential to make sure your resume accurately reflects the specific skills and knowledge required for the job. From project management to risk assessment, there’s a wide range of expertise needed to be successful in the Compliance Manager role.

When crafting your resume, it’s important to include your experience and knowledge in the areas of regulatory compliance, risk mitigation, and governance. Demonstrating a clear understanding of the procedures and processes involved in managing compliance programs can be a great way to stand out from other applicants. Additionally, make sure to showcase any special skills you have in areas such as data analysis, project management, and customer service.

The ability to communicate effectively with different stakeholders is also a key skill for Compliance Managers. Demonstrating your ability to work with customers and other departments to ensure compliance requirements are met is an important skill to list on your resume. Additionally, be sure to list any training or certifications you may have related to compliance or project management.

Finally, the ability to prioritize tasks, manage multiple projects simultaneously, and effectively use data to make decisions can be attractive skills to include on your resume. Showing off your attention to detail and ability to work with both internal and external stakeholders makes you a more attractive candidate for a Compliance Manager position.

What Is The Job Description Of The Compliance Manager?

The job of a Compliance Manager is to ensure that an organization adheres to federal and state laws, regulations, and guidelines in the course of its operations. They are responsible for monitoring, analyzing, and enforcing any existing or new laws that are pertinent to the organization. They often collaborate with other departments such as Human Resources and Legal to ensure that the organization is in compliance.

A Compliance Manager must possess strong knowledge of the industry and any relevant laws and regulations that apply. They must be highly organized and detail-oriented, as they will be required to thoroughly monitor the company’s activities and ensure that they are up-to-date on any new regulations. They must have excellent communication skills in order to effectively report issues and collaborate with other departments.

The Compliance Manager must have the ability to identify potential risks and issues and take action to resolve them. They may need to conduct audits of the organization’s activities and develop strategies to ensure compliance with all laws, regulations, and guidelines. Additionally, they must be able to provide training to staff on any relevant regulations and ensure that all staff are aware of the organization’s compliance requirements.

Ultimately, the Compliance Manager’s primary responsibility is to ensure that the organization is in full compliance with all applicable laws and regulations that are in effect. They must be highly organized and detail-oriented, possess strong knowledge of the industry, and be able to communicate effectively with other departments.

What Is A Good Objective For A Compliance Manager Resume?

When looking for a job as a Compliance Manager, a strong resume objective is essential to make sure your resume stands out. An effective resume should highlight your leadership and organizational skills, as well as your ability to work effectively with a team. It should also demonstrate your knowledge of industry regulations and standards, as well as your ability to ensure compliance with these standards.

Your objective should create an impact on the hiring manager, who will be quickly assessing your skills and qualifications. It should emphasize the value you can bring to the organization by emphasizing the benefits of your experience and qualifications. It should also clearly state the specific job you are applying for and your desire to use your skills in a role that will benefit the company.

Lastly, your objective should demonstrate your commitment to upholding compliance standards in a highly-regulated environment. It should also clearly state your ability to anticipate and eliminate potential compliance issues, as well as your desire to ensure the organization remains compliant with all applicable laws and regulations.

Overall, an effective Compliance Manager resume objective should demonstrate your knowledge in a succinct and impactful way. It should clearly state the position you are applying for, as well as your skills and qualifications that make you a suitable candidate. It should also emphasize your commitment to upholding industry regulations and standards, and your goal to ensure the organization remains compliant.

What Are 5 Responsibilities Of A Compliance Manager?

A Compliance Manager is responsible for ensuring that a company meets the regulations and laws that apply to its operations. This position is critical as it helps to prevent significant financial and legal risks to the business. In addition, compliance managers help improve the operational efficiency of their organization. Here are five core responsibilities of a Compliance Manager:

  1. Reviewing and Creating Policies: A Compliance Manager is tasked with creating and reviewing company policies related to legal and regulatory standards. This includes policies related to data protection, health and safety, employee conduct and more. The manager must ensure that company policies are up to date and meet the relevant standards.
  2. Monitoring Compliance: Compliance Managers are responsible for monitoring and assessing the company’s compliance with legal and regulatory standards. This includes conducting audits and reviews to identify areas of non-compliance and making recommendations for changes.
  3. Training Employees: Compliance Managers need to train employees on the company’s policies and procedures. This helps to ensure that employees understand their responsibilities and that they are properly following the rules.
  4. Responding to Investigations: Compliance Managers must be prepared to respond to investigations conducted by regulatory bodies. This involves gathering evidence and providing testimony to support the company’s compliance with laws and regulations.
  5. Reporting to Senior Management: Compliance Managers are responsible for reporting to senior management on the status of legal and regulatory compliance. This includes providing updates about any changes that need to be made and highlighting any potential risks to the organization.

What Are The Career Prospects In The Compliance Manager?

A Compliance Manager is a highly sought-after position in the corporate world. As a Compliance Manager, you are responsible for ensuring that all business operations are conducted according to laws and regulations that govern the industry. You must ensure that your employer complies with all applicable standards of professional conduct and corporate responsibility.

The career prospects in the Compliance Manager role are promising. Because of the importance of this role, employers are continually looking for qualified individuals to fill this position. Those interested in this role must possess strong knowledge of laws and regulations, as well as excellent problem-solving and communication skills.

The Compliance Manager must also have the ability to manage a wide range of tasks, such as ensuring the accuracy of financial records, developing and enforcing policies and procedures, and conducting audits. In addition, they must be able to handle multiple projects and deadlines simultaneously.

The demand for Compliance Managers is expected to continue to rise in the coming years as companies become increasingly aware of the importance of regulatory compliance. To be successful in this role, individuals must possess strong leadership and organizational skills, as well as an in-depth knowledge of the applicable laws and regulations.

In addition to offering an attractive salary, Compliance Managers also tend to receive a number of other benefits, such as health insurance, 401K plans, and flexible working arrangements. This is an excellent career choice for those who are interested in making a positive impact in the workplace and helping to ensure that their employers remain in compliance with all applicable regulations.