Compliance Officer Resume
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Charles Bloomberg
PROFESSIONAL SUMMARY
Highly skilled Compliance Officer with over 10 years of experience ensuring corporate adherence to legal and regulatory requirements. Proficient in risk management, policy creation, and meticulous auditing across various industries.
PROFESSIONAL Experience
Senior Compliance Officer | Company A
January 2019 — Present, New York, USA
• Developed and led the implementation of a comprehensive compliance program that reduced regulatory breaches by 28% over two years using sophisticated software tools like SAS and Actimize.
• Managed a team of 15 compliance analysts, ensuring ongoing training and professional development which resulted in a 20% improvement in internal audit scores.
• Collaborated with legal and operational teams to streamline compliance processes, lowering manual review times by 15 hours per week.
• Conducted thorough risk assessments and designed targeted mitigation plans, reducing overall company risk exposure by 35%.
• Spearheaded the compliance review of over 400 high-risk transactions monthly, ensuring adherence to both internal policies and external regulatory requirements.
• Managed a team of 15 compliance analysts, ensuring ongoing training and professional development which resulted in a 20% improvement in internal audit scores.
• Collaborated with legal and operational teams to streamline compliance processes, lowering manual review times by 15 hours per week.
• Conducted thorough risk assessments and designed targeted mitigation plans, reducing overall company risk exposure by 35%.
• Spearheaded the compliance review of over 400 high-risk transactions monthly, ensuring adherence to both internal policies and external regulatory requirements.
Compliance Manager | Company B
March 2015 — December 2018, San Francisco, USA
• Oversaw compliance operations for multiple business units, achieving successful regulatory audits with zero material findings on three occasions.
• Implemented compliance monitoring solutions that increased report accuracy by 50% and reduced review times by 25%.
• Directed compliance training programs for more than 500 employees annually, enhancing overall compliance awareness and reducing breaches by 15%.
• Conducted in-depth investigations into regulatory incidents, creating detailed reports and remediation plans that increased regulatory confidence and minimized penalties.
• Implemented compliance monitoring solutions that increased report accuracy by 50% and reduced review times by 25%.
• Directed compliance training programs for more than 500 employees annually, enhancing overall compliance awareness and reducing breaches by 15%.
• Conducted in-depth investigations into regulatory incidents, creating detailed reports and remediation plans that increased regulatory confidence and minimized penalties.
Compliance Officer | Company C
June 2011 — February 2015, Chicago, USA
• Managed daily compliance activities for a mid-sized financial firm, ensuring full adherence to FINRA, SEC, and OCC regulations.
• Built and maintained a compliance database, improving data retrieval and reporting efficiency by 30%.
• Investigated and resolved over 200 compliance issues annually, implementing corrective actions and maintaining thorough documentation.
• Built and maintained a compliance database, improving data retrieval and reporting efficiency by 30%.
• Investigated and resolved over 200 compliance issues annually, implementing corrective actions and maintaining thorough documentation.
Junior Compliance Analyst | Company D
April 2008 — May 2011, Dallas, USA
• Assisted in the development and maintenance of compliance policies and procedures, contributing to an 18% reduction in regulatory discrepancies.
• Monitored daily transactions for compliance with AML and KYC regulations, reviewing approximately 50 transactions per day.
• Provided compliance reporting and data analysis, enhancing transparency and decision-making for senior management.
• Monitored daily transactions for compliance with AML and KYC regulations, reviewing approximately 50 transactions per day.
• Provided compliance reporting and data analysis, enhancing transparency and decision-making for senior management.
Education
Bachelor of Science in Finance | University of Pennsylvania
May 2008
Expert-Level Skills
Regulatory Compliance, Risk Management, Audit Management, Policy Creation, Transaction Monitoring, AML, KYC, SAS, Actimize, Data Analysis, Team Leadership, Training Programs, Strong Analytical Skills, Detail-Oriented