Compliance Manager Resume
Create Free Resume
Your resume is only 30 seconds away from being done.
Charles Bloomberg
PROFESSIONAL SUMMARY
Experienced Compliance Manager with a proven track record of implementing regulatory frameworks, enhancing compliance programs, and mitigating corporate risk. Adept at conducting in-depth audits and driving compliance initiatives to align with business goals.
PROFESSIONAL Experience
Compliance Manager | Company A
March 2019 — Present, New York, USA
• Led the development and implementation of a comprehensive compliance program, reducing regulatory violations by 35% over three years.
• Conducted quarterly risk assessments and audits across 12 departments, identifying compliance gaps and recommending actionable improvements.
• Managed the training of over 1,000 employees on new compliance policies and procedures, utilizing advanced learning management systems.
• Implemented a state-of-the-art compliance software that tracked and reported compliance metrics, resulting in a 40% increase in reporting accuracy.
• Collaborated with legal and regulatory authorities to ensure all company practices adhered to the latest standards, significantly minimizing legal risks.
• Conducted quarterly risk assessments and audits across 12 departments, identifying compliance gaps and recommending actionable improvements.
• Managed the training of over 1,000 employees on new compliance policies and procedures, utilizing advanced learning management systems.
• Implemented a state-of-the-art compliance software that tracked and reported compliance metrics, resulting in a 40% increase in reporting accuracy.
• Collaborated with legal and regulatory authorities to ensure all company practices adhered to the latest standards, significantly minimizing legal risks.
Senior Compliance Analyst | Company B
January 2015 — February 2019, Chicago, USA
• Developed and monitored compliance policies for multiple business units, achieving a 25% reduction in policy breaches.
• Conducted over 50 internal audits annually, identifying non-compliant activities and ensuring corrective actions were taken promptly.
• Assisted in regulatory submissions and maintained up-to-date documentation, ensuring compliance with SEC and FINRA requirements.
• Led a project to overhaul the corporate compliance training program, increasing employee participation by 60% and knowledge retention by 45%.
• Conducted over 50 internal audits annually, identifying non-compliant activities and ensuring corrective actions were taken promptly.
• Assisted in regulatory submissions and maintained up-to-date documentation, ensuring compliance with SEC and FINRA requirements.
• Led a project to overhaul the corporate compliance training program, increasing employee participation by 60% and knowledge retention by 45%.
Compliance Officer | Company C
August 2012 — December 2014, Dallas, USA
• Created and maintained compliance manuals and standard operating procedures, reducing compliance violations by 20%.
• Conducted regular compliance training sessions for 300+ staff members, enhancing overall compliance awareness throughout the organization.
• Reviewed and updated compliance policies to reflect changes in state and federal regulations, ensuring continuous adherence to laws.
• Conducted regular compliance training sessions for 300+ staff members, enhancing overall compliance awareness throughout the organization.
• Reviewed and updated compliance policies to reflect changes in state and federal regulations, ensuring continuous adherence to laws.
Junior Compliance Associate | Company D
June 2010 — July 2012, Austin, USA
• Assisted in performing compliance audits for a diverse portfolio of clients, identifying potential risks and recommending solutions.
• Maintained and organized regulatory compliance documents, ensuring timely submissions and reducing penalties.
• Collaborated with senior compliance officers to develop and refine compliance strategies, contributing to a 15% improvement in compliance efficiency.
• Maintained and organized regulatory compliance documents, ensuring timely submissions and reducing penalties.
• Collaborated with senior compliance officers to develop and refine compliance strategies, contributing to a 15% improvement in compliance efficiency.
Education
Bachelor of Science in Business Administration | University of Pennsylvania
May 2010
Expert-Level Skills
Compliance Management, Regulatory Audits, Risk Assessment, Policy Development, SEC and FINRA Compliance, Training and Development, Project Management, Compliance Software, Communication, Analytical Thinking
