Chief Compliance Officer Resume Samples

The Chief Compliance Officer is responsible for overseeing compliance within the organization and ensuring compliance with laws, and regulatory policies, procedures, and requirements. The job position is accountable for undertaking varied job duties, some of which are mentioned on the Chief Compliance Officer Resume as follows – developing annual compliance work plan, periodically revising the compliance plans, guiding the management and the compliance team in a productive way, overseeing and monitoring compliance program implementations; providing strategic direction to the team, and monitoring external review process.

As the CCO is one of the important members of the management team, the following skills are expected – knowledge of risk management and assessment; familiarity with regulatory compliance, filings and audits; thorough knowledge of industry regulations, and excellent organizational skills. While a bachelor’s degree in compulsory, Employers prefer an advanced qualification and work experience.

Chief Compliance Officer Resume example

Chief Compliance Officer Resume

Objective : Office Management professional with operations and compliance experience in the financial industry. Accomplished individual highly skilled in implementing processes that reduce error.

Skills : Health License, Management.

Description :

    1. Reviewed and approved transactions/trades coming through the B/D for suitability prior to them being released for execution.
    2. Directly supervised all facets of the compliance department, including advertising, surveillance, branch office examination.
    3. Assisted FIN/OP in gathering and interpreting documents required to file FINRA Focus Reports.
    4. Developed and drafted procedures for the AML programs. Additionally drafted policies for B/D self Audits.
    5. Review and approve Account Information Forms, new direct business applications, and trading activity blotters.
    6. Review and approval of advertising and marketing material in order to comply with FINRA regulations.
    7. Provide information on health programs and CRIHB leadership regarding the impact of the laws and regulations.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
BBA


Chief Compliance Officer I Resume

Objective : Dynamic examiner able to coordinate and direct all phases of project-based solutions while managing and motivating project teams to achieve optimal results.

Skills : Compliance Management, Audit, Operational Risk.

Description :

    1. Responsible for due diligence process and transition to Quest compliance program.
    2. Manage the compliance audit team, reporting outcomes to Executive Management as well as the Audit Committee of the Board of Directors.
    3. Develop, maintain and support the implementation of updates to the Compliance Program and Plan.
    4. Routine interaction with the Audit Committee of the Board of Directors through quarterly presentations as well as ad hoc discussions.
    5. Investigate reports of alleged non-compliance.
    6. Perform compliance education for corporate and operational employees.
    7. Communicate and work with company general counsel as well as outside counsel regarding compliance issues.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Public Policy


Chief Compliance Officer/Representative Resume

Summary : Experience in the financial services industry and currently holds series licenses. Knowledge spans from Chief Compliance Officer to owning and operating a full service.

Skills : Management, Health Information Management.

Description :

    1. Promoted from Regional Director of Student Services and Compliance Provide leadership in student services planning and student operational support systems.
    2. Manage student services policies and procedures. Built and maintained the firm's Rule 206(4)-7 COE.
    3. Coordinate and supervise student retention and placement.
    4. Develop, implement, and monitor institutional effectiveness outcomes assessment program.
    5. Ensure compliance with DOE, BON, CIE, and ABHES requirements.
    6. Supervise campus Student Service Coordinators. Oversaw all aspects of the company's compliance and supervisory functions.
    7. Obligations in addition to directing and enhancing the firm's training program.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Management

Chief Compliance Officer/Co-ordinator Resume

Summary : Dynamic examiner able to coordinate and direct all phases of project-based solutions while managing and motivating project teams to achieve optimal results.

Skills : Audit, Operational Risk, Project Management.

Description :

    1. Act as a liaison between business units and compliance attorneys. Reporting events that pose a threat to the Company.
    2. Communicate regulatory changes to operations staff and senior management.
    3. Test and monitor due to diligence systems to ensure accuracy in determining findings.
    4. Protect assets from unauthorized access, disclosure, modification, destruction, and interference.
    5. Prepare and execute training for all applicable laws and regulations.
    6. Provide timely response to compliance issues for files undergoing due diligence review.
    7. Manage Compliance Process System Development and Quality Control Departmental Compliance Support.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Summer Program

Chief Compliance Officer/Analyst Resume

Summary : To be considered for the Staff Development position. Acquired through working three years with the Office of Inspector General, as the Director of Nursing for four and a half years in a long term care facility.

Skills : Microsoft Office, Excel.

Description :

    1. Responsible for the implementation of the Bank Secrecy Act and Anti-Money Laundering Compliance Program.
    2. Ensure application of Know Your Customer (KYC) procedures for new customers.
    3. Monitor and investigate customer transaction activity for the required internal and external reporting.
    4. Work with Compliance Committee to arrange required BSA/AML training for staff.
    5. Work with outside consultants on risk assessing the company's products and services.
    6. Arranging and conducting the required BSA/AML training for staff.
    7. Monitoring and coordinating compliance activities of others to remain abreast of the status of all compliance activities and to identify trends.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Business Administration

Chief Compliance Officer III Resume

Summary : Highly qualified Chief Compliance Officer with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and would excel in the collaborative environment.

Skills : Leadership Derivatives, Options Training and Development.

Description :

    1. Implemented the firm's policies and procedures for both the RIA and the affiliated broker-dealer.
    2. Ensure compliance with such via testing and internal audits.
    3. Develop the curriculum for the firm's continuing education program.
    4. Prepare and submit all regulatory filings and respond to all regulatory inquiries.
    5. Supervise compliance staff and all branch offices of the firm.
    6. Register all new employees and new branch offices with FINRA via the Web CRD and IARD system and amend U4's as necessary.
    7. Review as approving principle all advertising, sales literature and sales correspondence.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Political Science

Chief Compliance Officer III Resume

Summary : To secure a position in the organization that offers challenge and opportunity for career development. At the same time serves the organization to the best of capabilities.

Skills : Registered Para planner, Research, Compliance reviews.

Description :

    1. Supervise all staff and ensure they are in compliance with the NC Approving Agency, NC Barber & Cosmetic Arts Board, NACCAS Accreditation.
    2. Create a database system for safe record-keeping and database entry.
    3. Develop new partnerships & educational platforms for the institute.
    4. Ensuring website development & site optimization is effective.
    5. Responsible for budget planning, yearly objective identification.
    6. Oversee Accounts Payable, Accounts Receivable, Payroll allocations, Corporate Billing/Allocation, and General Accounting.
    7. Extensive knowledge of broker dealer and investment adviser compliance and regulations.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Business Administration

Asst. Chief Compliance Officer Resume

Objective : Office Management professional with operations and compliance experience in the financial industry. Accomplished individual highly skilled in implementing processes that reduce error.

Skills : Technical Skills, Management.

Description :

    1. Provided leadership to identify, evaluate, mitigate and report on all firm compliance based on SEC regulatory requirements.
    2. Cultivated an environment of continual improvement and performance.
    3. Created and updated compliance policies and procedures for operation and financial standards for direct SEC compliance.
    4. Worked with outside accounting firm supporting GIPS compliance.
    5. Supplied records, documented information and performance history.
    6. The supported verification process for accurate marketing.
    7. Identified and resolved cases with discrepancies and compliance issues.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Associate In Arts

Associate Chief Compliance Officer Resume

Objective : Organization is imperative when executing work in a timely and efficient manner. Organizational skills include but are not limited to staying on task with a project, keeping a written record of all procedures.

Skills : Technical Skills, Good Work Efficiency.

Description :

    1. Handled and processed confidential client information. Directly supported the CEO in managing an operation workflow.
    2. Developed more efficient filing systems and customer database protocols.
    3. Increased meeting efficiency by developing meeting agendas.
    4. Improved communication efficiency as primary liaison between departments, clients and vendors.
    5. Standardized department filing system to increase efficiency.
    6. Provided support for the CEO and sales team in managing operation workflow.
    7. Scheduled and confirmed appointments for the entire management team.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Psychology

Lead Chief Compliance Officer Resume

Headline : Experience with investment firms offering private and public investment products. Extensive experience with the Investment Advisers with respect to SEC, state, CFTC and NFA requirements.

Skills : Problem Solving Skills, MS-Excel.

Description :

    1. Ensure acquiescence with compliance standards and regulatory requirements.
    2. Identify compliance risks from Prop Trading and manage them by providing training, advice, testing, and monitoring.
    3. Carry out compliance planning for proprietary trading.
    4. Presented the firm in communication and interaction with regulatory bodies.
    5. Supervised all operations for firms relating to WSP's.
    6. Make sure that systems and Anti Money Laundering (AML) processes meet the requirements of regulatory.
    7. Carry out as hoc projects and prepared period reports to management.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Finance

Chief Compliance Officer Resume

Headline : Accomplished compliance, finance and audit professional with extensive experience developing and implementing compliance and internal audit programs for academic medical centers.

Skills : Technical Skills, MS-Office.

Description :

    1. Monitored principal trading account activity in the U.S.
    2. Treasury securities, collateralized mortgage obligations, and corporate debt instruments.
    3. Reviewed client account activity to ensure adherence to federal laws and self-regulatory organization rules.
    4. Worked with Trading Desk in determining internal mark-up policy.
    5. Oversaw state registration requirements for the firm's licensed individuals.
    6. Conducted registered representative compliance meetings.
    7. Prepared Form BD amendments and reviewed advertising/sales literature.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Consultant
Education
Education
J.D.