Bank Compliance Officer Resume Samples

The primary duty of a Bank Compliance Officer is to oversee and ensure that the operations of the bank adhere to legal and regulatory standards. To do this the professional monitors activities, researches and evaluates regulations, and develops and implements procedures. Other crucial duties listed on the Bank Compliance Officer Resume are – ensuring the bank’s compliance with laws, and regulations, investigating compliance issues, developing and implementing compliance policies and procedures, creating and maintaining records, reviewing internal processes, and procedures, and creating reports for management.

The Bank Compliance Officer must possess strong communication skills, organizational skills, as well as excellent analytical and problem-solving abilities. They should be able to work independently and be comfortable with making decisions quickly. The education requirements include a bachelor’s degree in finance, accounting, or business. Some employers may also require a Master’s degree and/or certifications, such as Certified Regulatory Compliance Manager – CRCM credentials. Additionally, experience in banking or a related field is often required.

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Bank Compliance Officer Resume example

Bank Compliance Officer Resume

Summary : Bank Compliance Officer position to stay up-to-date on changes in governmental and financial laws and regulations. In addition, a competent bank compliance officer must continually evaluate the banks policies and procedures to makes sure they are not in violation of state or federal laws.

Skills : Good research skills, Analytical skills.

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Description :

  1. Possessed a working knowledge of Bank Secrecy Regulations, Fair Credit Acts, and Anti-Money Laundering Laws.
  2. Made sure that the banks policies and procedures are in line with all rules and regulations associated with mortgage and consumer lending and customer deposits.
  3. Researched questions and gray areas regarding banking rules and regulations and ensures that the institution does not break any laws.
  4. Implemented and managed new rules and regulations when they are passed by state or federal governing bodies.
  5. Understood and enforced public interest and consumer protection laws.
  6. Offered advice to the Risk Management Department on compliance issues.
  7. Worked with the banks Chief Operating Officer to make sure all policies and procedures are being followed precisely and with no corners are cut.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Bachelor's In Finance


Bank Compliance Officer Resume

Summary : As an Bank Compliance Officer, ensured that everyone working in a financial institution is adhering to all state and federal laws and regulations. Identified issues, develop solutions and implement those solutions.

Skills : Good knowledge of legal requirements and procedures.

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Description :

  1. Provided regular training for newly hired employees and other banking staff, particularly when any state or federal laws change.
  2. Initiated investigations when possible non-compliance takes place within the institution.
  3. Provided support and assistance to outside auditors when necessary.
  4. Monitored bank transactions for signs of money laundering, fraud, or other illegal activities.
  5. Reviewed financial statements to ensure that all accounting entries are accurate and reconciling bank accounts to ensure that all transactions have been properly recorded.
  6. Reviewed loan applications to determine if the applicant is eligible for the requested loan amount based on criteria such as income and debt levels.
  7. Prepared reports summarizing banking activity for federal regulators as required by law.
          Years of Experience
          Experience
          7-10 Years
          Experience Level
          Level
          Management
          Education
          Education
          Bachelor's In Finance


          Associate Bank Compliance Officer Resume

          Summary : As an Associate Bank Compliance Officer, responsible for ensuring that a banks processes are in compliance with regulations. Identified areas where the bank is not in compliance and develop solutions to bring them into compliance.

          Skills : Excellent verbal communication skills, Strong writing skills.

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          Description :

          1. Reviewed reports from bank employees regarding customer account status and activity to identify potential fraud.
          2. Reviewed loan applications to ensure that they meet the banks standards for loan types and interest rates.
          3. Worked with the banks board of directors or other governing body to develop policies related to compliance with federal regulations.
          4. Explained the requirements of federal regulations to bank employees, including managers and tellers, so that they can comply with laws and regulations.
          5. Reviewed data stored on computer databases to identify possible fraudulent activity.
          6. Resolved employee concerns about legal compliance.
          7. Provided support to sanctions regulatory requirements impacting the business.
              Years of Experience
              Experience
              7-10 Years
              Experience Level
              Level
              Management
              Education
              Education
              Bachelor's In Finance

              Assistant Bank Compliance Officer Resume

              Summary : As an Assistant Bank Compliance Officer, submitted reports or provide information to regulators within a certain time frame. Able to work under pressure can help you complete tasks on time and ensure you meet all regulatory requirements.

              Skills : Project Management, Risk Management.

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              Description :

              1. Implemented and managed an effective legal compliance program.
              2. Developed and reviewed company policies.
              3. Advised management on the companys compliance with laws and regulations through detailed reports.
              4. Created and managed effective action plans in response to audit discoveries and compliance violations.
              5. Regularly audited company procedures, practices, and documents to identify possible weaknesses or risks.
              6. Assessed company operations to determine compliance risk.
              7. Ensured all employees are educated on the latest regulations and processes.
              Years of Experience
              Experience
              7-10 Years
              Experience Level
              Level
              Management
              Education
              Education
              Bachelor's In Finance

              Entry Level Bank Compliance Officer Resume

              Objective : As an Entry Level Bank Compliance Officer, demonstrated ability to work efficiently and independently, prioritize workflow, meet demanding deadlines, conduct/manage internal investigations and manage multi-faceted projects in a fast-moving environment.

              Skills : Analytical Skills, Communication, Attention To Detail.

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              Description :

              1. Evaluated financial documents for accuracy and compliance with federal regulations.
              2. Identified the financial risk of the organization and offer recommendations to reduce risk.
              3. Identified accounting and financial record-keeping processes that can be improved.
              4. Determined ways to cut costs and improve profitability.
              5. Assessed the efficiency and productivity of internal staff and make recommendations for improvement.
              6. Presented findings to upper management in the form of reports and presentations.
              7. Focused on specific areas of the bank as a subject matter expert, including but not limited to Lending, Regulatory Compliance or IT.
              Years of Experience
              Experience
              0-2 Years
              Experience Level
              Level
              Entry Level
              Education
              Education
              Bachelor's In Finance

              Bank Compliance Officer Resume

              Objective : As a Bank compliance officer, researched, implemented, and managed the areas of banking regulations and laws, banking policies and procedures, consumer protection, and public interest laws. Worked closely with the Chief Operating Officer (COO) in overseeing compliance procedures and might also advise on risk management.

              Skills : Knowledge Of Banking Laws And Regulations.

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              Description :

              1. Assisted with examination of SarbanesOxley compliance by performing tests of controls (design and effectiveness) within key business processes.
              2. Ensured SOX testing and evidence is sufficient to attain and support conclusions.
              3. Performed Operational Audits.
              4. Reviewed Staff Auditor work.
              5. COSO component documentation and testing.
              6. Assisted with compiling audit documentation for the Audit Committee and Bank regulators.
              7. Contributed to the continuous improvement of the Internal Audit Department.
              Years of Experience
              Experience
              2-5 Years
              Experience Level
              Level
              Junior
              Education
              Education
              Bachelor's In Finance

              Bank Compliance Officer Resume

              Objective : As a Bank Compliance Officer, provided the highest quality service and execution of operational responsibilities and ensure that all governance and control requirements are achieved to the highest standards. Ensured best practice policies, processes, and sound procedures are employed as part of an integrated compliance program.

              Skills : Brilliant oral and written communication skills.

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              Description :

              1. Provided independent and objective evaluation of risk management, control and governance processes to protect and enhance shareholder value.
              2. Conducted audits in a professional manner and recommend valuable solutions to observations identified.
              3. Documented processes and test controls in accordance with Sarbanes-Oxley (SOX) financial reporting processes, business operations and other areas requiring audit assistance.
              4. Designed and developed controls/processes which mitigate and/or remediate gaps identified.
              5. Partnered with management to develop formal written reports to communicate corrective action plans in response to all Internal Audit observations and subsequent follow-ups to ensure closure.
              6. Educated and advised management and process owners on accounting and internal control requirements.
              7. Participated in various ad-hoc projects for Internal Audit leadership and/or regional management.
              Years of Experience
              Experience
              2-5 Years
              Experience Level
              Level
              Executive
              Education
              Education
              Bachelor's In Finance

              Bank Compliance Officer Resume

              Objective : As a Bank Compliance Officer, developed compliance policies and procedures; tracked legal and regulatory changes and trends; and oversaw regulatory examinations and assessments. Reported directly to the General Counsel, Head of Legal and Compliance.

              Skills : Excellent verbal communication skills, Strong writing skills.

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              Description :

              1. Planed, executed and documented audit reports, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure while ensuring audits are completed timely and within budget.
              2. Worked closely with global audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders.
              3. Recognized the confidential nature of Internal Audit communications and access to information; disciplined in protecting the confidentiality and security of information in accordance with firm policy.
              4. Partnered with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.
              5. Finalized audit findings and use judgment to provide an overall opinion on the control environment through developing recommendations to strengthen internal controls.
              6. Taken ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth and takes initiative to seek out opportunity for continued learning.
              7. Championed a culture of innovation.
              Years of Experience
              Experience
              2-5 Years
              Experience Level
              Level
              Executive
              Education
              Education
              Bachelor's In Finance

              Bank Compliance Officer Resume

              Objective : As a Bank Compliance Officer, worked in the capacity of a financial examiner to ensure that the bank adheres to all governmental regulations and laws. Worked with upper management and frontline staff to ensure that the policies and procedures are upheld.

              Skills : Self-motivated with strong leadership abilities.

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              Description :

              1. Reviewed and assessed the Bank's operational efficiency of retail bank branches, loan centers and administrative departments through periodic audits of each.
              2. Conducted independent regulatory compliance audits to determine the banks compliance through periodic reviews of each regulation.
              3. Prepared work paper documentation to support audit work with evidence of deficiencies in controls, fraud, or lack of compliance with laws, government regulations, and management's policies or procedures. Work paper documentation must comply with industry standards.
              4. Reviewed records of branches/departments subject to audit for purposes of recognizing inefficiencies and making recommendations for improvements.
              5. Coordinated and analyzes the preparation of periodic reports on specific bank activities as scheduled by the Audit Manager and/or Audit Director.
              6. Conducted focused investigative audit work under the close direction of the Audit Manager and/or Audit Director to identify irregularities and to develop controls for fraud prevention.
              7. Provided management with recommendations for revisions to policy and/or procedures when appropriate.
              Years of Experience
              Experience
              2-5 Years
              Experience Level
              Level
              Executive
              Education
              Education
              Bachelor's In Finance

              Bank Compliance Officer Resume

              Headline : As a Bank Compliance Officer, implemented procedures to ensure that the compliance programs throughout the assigned business units within the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.

              Skills : Strong critical thinking and problem-solving skills.

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              Description :

              1. Assisted in the development of audit and analytical programs as directed.
              2. Worked in conjunction with Compliance personnel to ensure the Bank's compliance with financial institution laws and regulations.
              3. Supported Audit Manager and/or Audit Director in audit administrative related duties as requested to do so.
              4. Maintained good working relationship with all Mechanics Bank personnel to foster an open dialogue between audit and other bank personnel.
              5. Performed all other job duties as assigned by manager.
              6. Conducted high-quality audits of all sizes and complexity within established timelines and budgeted hours. The Auditor Senior is capable of conducting most operational audits within the audit plan of Mechanics Bank. Recommends scopes of audit for specific functions within assigned audit responsibility.
              7. Supported Audit Manager and/or Audit Director in annual risk assessments and audit scheduling as requested to do so. Maintains standard audit programs of branches and departments established for this type of audit.
              Years of Experience
              Experience
              5-7 Years
              Experience Level
              Level
              Executive
              Education
              Education
              Bachelor's In Finance