Compliance Manager Resume

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Andrew Brandon

Compliance Manager




Highly professional and industry-adaptable compliance people person with a diverse skill-set; comfortable in interacting with internal stakeholders, Group Directors and external clients both at local and international level. Key areas of specialism include thematic analysis, compliance risk assessment, KYC/KYBP due diligence and a SME in Third Party Risks. Process improvement, implementation and mitigating risks in high-risk jurisdictions. Advisory on high risk Third Parties.



  • Compliance Risk Assessment, Monitoring, Testing, Reporting
  • Thematic Analysis, False Positive Remediation
  • Third Party Risk Management, Global Training, Stakeholder Relationship Management
  • KYC/KYBP/AML/Global Sanctions Advisory, EDD
  • Effective Communication (global cultures), Emotionally Intelligent
  • Process Improvement and Implementation
  • Tableau, Power BI, Office 365, SharePoint
  • Industry-Adaptable, Versatile, B2C Sales
  • Dow Jones Risk & Compliance, Navex Risk Rate, RDC
  • ARM (Formerly Magique Galileo of Sword GRC)


Work Experience


Compliance Manager

Johnson International

Mar 2019


  • Responsible for delivering a robust Third-Party Due Diligence process; Third Party Risks SME.
  • Reviewed policies in-line with operational standards.
  • Stakeholder advice on global sanctioned high risk third parties prior to issue of contract
  • Trained key internal stakeholders including Project Managers, Directors and Group Functions on screening process of Navex Global Risk Rate Management and Ultimate Beneficial Ownership.
  • Monthly, Quarterly monitoring of the Third Party Due Diligence Process; reporting analysis
  • Compliance risk analysis and monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
  • Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates

Legal Analyst

Price Water Solutions

Mar 2018


  • Analysed legal cases for Junior Barristers and Head of Chambers regarding Aviation and Commercial disputes.
  • Researched, conducted due diligence on potential clients prior to contractual agreements within Aviation, Banking and provided detailed report analysis.

Quality Executive

Unity Solution Group

Feb 2018


  • Identified solutions for under-performing Investigators, ensured complaints handling process is complied with. First-Line Support for compliance queries
  • Reviewed, improved compliance process to minimise regulatory compliance risks
  • Authorised compensation payments including Flight Delay Claims in-line with regulatory requirements, liaised with AP Finance.
  • Managed, trained internal stakeholder Aegis Call Centre of the complaints investigation process.

Group Compliance Analyst (FTC)

Unity Solution Group

Mar 2017


  • Improved the regulatory compliance framework, drafted checklist reports.
  • Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Indentification and Assess using ARM.
  • Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML). Presented results for Board-Level audiences.
  • Conducted market surveillance, monitored KYC/KYBP checks of potential Third Party Suppliers, Clients. Reviewing, approving high-risk clients.
  • Identified AML risks such as PEPs, Risk Associates, Adverse Media, Sanctioned Countries of suppliers, suspicious activities using Dow Jones Risk and Compliance.
  • Provided support and solutions for Managing, Finance Directors, Compliance Officers on the Compliance Risk Assessment.
  • Trained Head Compliance Officers on use of the Compliance Monitoring Program (CMP).
  • Liaised with Group Audit and Group Risk to identify internal investigations status’ and effectiveness of CMP
  • Conducted Quarterly Compliance Risk Reporting; Prevent, Detect and React Process. Monitoring of regulatory breaches, investigations, employee training.





San Jose State University

Jul 2009


Subjects in Commercial, Immigration and Race Relations, Family, Criminal, Criminology and Criminal Justice and Property Law.




  • English
  • French
  • Arabic
  • German

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What Should Be Included In A Compliance Manager Resume?

When it comes to writing a resume for a Compliance Manager position, it is important to emphasize your knowledge of regulatory, industry and organizational compliance standards. You should also showcase your experience in implementing and maintaining effective compliance programs.

Your resume should include a professional summary that outlines your core competencies and qualifications. In addition to your qualifications, you should detail any relevant experience you have, such as working with regulatory bodies, creating and maintaining a compliance management system, and conducting training. Be sure to emphasize any certifications or qualifications you have that may be relevant to the role.

When it comes to the skills section of your resume, be sure to list any technical or managerial skills related to compliance. Include any certifications or qualifications that demonstrate your compliance knowledge and expertise.

Finally, when writing a resume for a Compliance Manager position, it is important to emphasize any experience you have in leading a team or in successfully managing a compliance program. Be sure to include any successes you have had in this field, such as successful implementation of new regulations or successful audits. Highlight any areas where you have shown leadership and how you have contributed to the overall success of the organization.

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

When applying for a Compliance Manager role, you should ensure that your resume emphasizes your knowledge and experience in the field. As a Compliance Manager, you will be responsible for ensuring that an organization’s operations comply with applicable laws and regulations. Therefore, it is essential that your resume reflects your ability to handle this type of responsibility.

When creating your resume for a Compliance Manager position, it is important to emphasize your experience in a variety of areas. For example, you should make sure to include skills such as risk management, compliance management, and regulatory reporting. Additionally, your resume should also highlight your experience in developing and implementing compliance plans and assessing business operations to identify areas of risk.

Good communication skills are also essential to a Compliance Manager role, so you should be sure to emphasize your ability to explain complex compliance concepts to colleagues and staff. You should also demonstrate your ability to provide timely and accurate compliance advice to other departments. Lastly, you should also include any certifications or degrees relevant to the position, such as a degree in finance or accounting.

Overall, your resume should focus on your experience and qualifications related to compliance management. Demonstrating your knowledge of current regulations and laws, as well as your ability to ensure compliance with them, will be essential to getting the job. In addition, highlighting your relevant certifications and degrees will give you an edge in the hiring process.

What Is The Job Description Of The Compliance Manager?

A Compliance Manager is responsible for ensuring compliance with laws, regulations, and policies within their organization. They are typically tasked with reviewing and analyzing legal documents, evaluating internal processes and procedures, and monitoring legal compliance. They also provide guidance on legal issues and policies to executives, managers, and employees.

The main job duties of a Compliance Manager include developing, implementing, and monitoring compliance procedures; researching and interpreting laws, rules, and regulations; and advising on compliance and risk issues. They must also remain up to date on changes to laws, regulations and policies that could affect the organization. In addition, they are typically responsible for developing training programs on legal and compliance topics, preparing reports, and promoting a culture of compliance and ethics throughout the organization.

To be successful in this role, a Compliance Manager must possess strong organizational and communication skills and analytical abilities. They must keep up to date on changes in laws, regulations, and policies, and be able to effectively communicate the changes to employees and executives. They must also be able to effectively manage and prioritize tasks and remain organized. In addition, they must have a strong understanding of the organization’s goals and objectives and be able to align them with compliance initiatives.

What Is A Good Objective For A Compliance Manager Resume?

When writing a compliance manager resume, you need to make sure you have a strong objective statement that will capture the attention of the hiring manager. A good objective statement should focus on your skills, capabilities, and experience that are relevant to the job and company you are applying to. This statement should be brief and precise, yet powerful enough to make the employer want to learn more about you.

When crafting your objective statement, think about the qualities employers are looking for in a compliance manager. For example, having knowledge and experience in risk management, regulatory compliance, and corporate governance are essential for this role. Additionally, you should highlight your ability to stay up-to-date on the latest industry regulations, develop and implement effective policies, and create comprehensive compliance programs.

When writing your objective statement, make sure that you include key words from the job description. This will show potential employers that you understand the role and have the necessary skills to be successful. Also, be sure to use action verbs that demonstrate your past successes and emphasize the value you can bring to the job. With a strong objective statement, you can give the hiring manager a clear understanding of why you are the best fit for the role.

What Are The Career Prospects In The Compliance Manager?

The role of a Compliance Manager is a vital one. Not only do they need to be highly organized and have a good understanding of regulations and procedures, but they also have to have the ability to effectively communicate with senior management, stakeholders, and employees to ensure compliance. As such, the career prospects in the Compliance Manager field are highly sought-after.

Compliance Managers are required to interpret and analyze legal, regulatory, and organizational requirements to ensure that their organization is abiding by the laws and regulations of their industry. They must be knowledgeable in various compliance topics, including ethics, privacy, security, and anti-corruption. Additionally, Compliance Managers often work with senior management to develop and implement policies and procedures to ensure compliance.

Moreover, Compliance Managers must be comfortable working with a variety of stakeholders and have excellent interpersonal skills. They must be able to effectively communicate policies and regulations to employees, customers, and vendors. Additionally, they must be able to identify potential compliance risks and develop strategies to reduce these risks.

Overall, the career prospects for Compliance Managers are excellent. As organizations become increasingly regulated and require more compliance, the need for skilled Compliance Managers has grown exponentially. Furthermore, Compliance Managers have the opportunity to build relationships with senior management and stakeholders and often times have the opportunity to move up the ranks within an organization.

Key Takeaways for an Compliance Manager resume

Writing a compelling Compliance Manager resume is a key step in securing a new job. The right resume should demonstrate an individual’s experience and expertise in the field, as well as their commitment to the industry. Here are some key takeaways to ensure that your Compliance Manager resume is up to the task.

First and foremost, it is important to make sure that your Compliance Manager resume is up-to-date. Include any recent certifications or education, such as any continuing education courses you have taken. This shows that you are committed to staying current in the field and have kept up with the latest trends and developments.

It is also important to highlight your experience in the field. This includes any positions you have held, as well as any work you have done in the industry. Include any contracts or projects you have worked on, as well as any accomplishments you have achieved in the field.

Don’t forget to include any relevant skills you have acquired. This could include anything from software and coding knowledge to communication and interpersonal skills. These skills can demonstrate your ability to succeed in the Compliance Manager role.

Finally, make sure that your Compliance Manager resume is formatted properly. Use a professional font, such as Calibri or Arial, and make sure that your resume is easy to read. Presentation is key in making sure that your resume stands out from the rest.