Compliance Officer Resume

Posted in Officer Resume Examples

James Milburn

1524 Sharon Lane

Warsaw, IN 46580

(555)-555-5555

[email]

Job Objective Seeking long-term Compliance Officer position in which my professional experiences and special qualifications will help encourage the growth of both my organization and myself.

Highlights of Qualifications:

  • Possess experience in compliance and regulatory affairs
  • Thorough knowledge of Financial Services rules and regulations
  • Strong knowledge of Compliance Risk Management and best practices
  • Ability to interpret written guidelines and legal documents
  • Good understanding of required elements of compliance programs
  • Ability to effectively deal with senior management
  • Excellent problem solving, analytical ability, oral and written communication skills

Professional Experience:

Compliance Officer, August 2005 – Present

BNY Mellon, Warsaw, IN

  • Satisfied a multitude of client compliance reporting requirements, including client correspondence and completion of compliance certifications.
  • Completed all appropriate filings to ensure adherence with federal and state regulatory requirements.
  • Supported the compliance group and legal department with special projects when needed.
  • Worked with appropriate client service/relationship management to get all required documents to open a new account.
  • Coordinated new business acceptance committee meetings to review and approve all new business.

Compliance Officer, May 2000 – July 2005

Boston Company Asset Management, LLC., Warsaw, IN

  • Worked with the portfolio management teams, trading and IT departments to code restrictions and guidelines in the system.
  • Collaborated with the Product Development group and the portfolio management teams on drafting new standard investment guidelines.
  • Worked on complex projects involving compliance related matters independently and with other members.
  • Responsible for certain operational risk responsibilities, such as firm-wide risk assessments and trade error resolution.

Education

Bachelor’s Degree in Business Administration, Imperial Valley College, Imperial, CA

Master’s Degree in Business Administration, Kent State University, Kent, OH

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  • March 1, 2020Create Date
  • March 1, 2020Last Updated

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