compliance officer resume example

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Compliance Officer Resume Sample

Jessica Stewart
COMPLIANCE OFFICER

jessica.stewart@hotmail.com
1-202-555-0114
San Diego, California
linkedin.com/in/jessica

SUMMARY

Performance-driven professional with 7 years of experience in corporate compliance programs.
Implementing the strategy and innovative compliance initiatives to streamline the processes of the
organization. A creative thinker, problem-solver, and a quick decision-maker with an effective balance
between management and employees. Strong communication, interpersonal relations, mentoring, and
organizational skills.

SKILLS

  1. Interpersonal Skills
  2. Teamwork
  3. Leadership
  4. Initiative
  5. Reasoning skills
  6. Organizational Skills
  7. Decision Making
  8. MS Office

EXPERIENCE

Compliance Officer
ABC Bank – New York, US Feb 2018 – Present

  • Analyze compliance risk and preparing the documents.
  • Reviewed and approved bank control processes and policies.
  • Monitor customers’ accounts in order to investigate tax evasion/avoidance
  • Monitor customers’ accounts to ensure consistency with their KYC
  • Develop and enhance compliance programs
  • Develop and review policies to ensure compliance with AML laws and regulations
  • Audit the procedures, practices and documents to identify possible weaknesses
  • Report accounts to competent authorities for FATCA and CRS reporting
  • Educate and train employees on current and new regulations, practices and requirements

Compliance Officer
Max Finance Limited – Dayton, Ohio Nov 2013 – Sep 2017

  • Creating and updating compliance forms and policy documents.
  • Reviewed and authorized all types of proxies issued by individuals and entities
  • Generated daily screening reports on existing and new customers
  • Arranging meetings to discuss and update compliance issues.
  • Audited FATCA documents and KYC forms
  • Monitored customers’ accounts’ activities to ensure consistency with their KYCs
  • Followed-up with branches on updating customers’ KYCs based on the risk-based approach
  • Trained employees on current and new regulations, practices and requirements

Assistant Marketing Manager
Broad Way – San Diego, California Jul 2009 – Aug 2010

  • Monitored institution compliance
  • Provided Bank Insurance products
  • Got involved in client relationships
  • Prepared brochures of the products
  • Prepared marketing plans
  • Focused on alternate distribution channels

EDUCATION

Masters of Business Administration (Finance)
MNT Business School – New York, US Oct 2019 – Present

Bachelor’s Degree in Business Studies
Michigan State University – East Lansing, US Sep 2005 – Jul 2008

CERTIFICATION

Relationship Selling Strategies For Retail Banking (Workshop)
Starmanship & Associates 2013-02-11

Two days workshop (Feb 10 & 11, 2013)
Customer Due Diligence (e-Learning)
Standard Chartered 2018-11-08

Trade-Based Money Laundering (e-Learning)
Standard Chartered 2018-11-08

LANGUAGES

  • English
  • French
  • German
  • Italian