Compliance Examiner Resume

When writing a Compliance Examiner Resume remember to include your relevant work history and skills according to the job you are applying for. Whether you're seeking an entry-level position or have been in your career for a few years, exposing your relevant achievements in your resume can allow you to stand out and get that job interview.

This resume example is a great representation of what a hiring manager is looking for in a Compliance Examiner Resume. Feel free to use this example for reference as you create your own resume or use this easy resume builder that will guide you through every step of your building your resume in just a few minutes.

Here is the Compliance Examiner Resume example:

Mark Johnson

92 Berry Street

Colorado Springs, CO 80915



Job Objective Accomplished Compliance Examiner seeking full-time work with growing firm in which to use my skills and experience to aid in the growth of company.

Highlights of Qualifications:

  • Vast experience in a regulatory, compliance Possess experience in the securities industry
  • Profound knowledge of Equities Securities products, trading rules, regulations and Equities Settlement
  • Extensive knowledge of FINRA and SEC rules
  • In-depth knowledge of net capital, reserve formula calculation and review and margin requirements
  • Proficient with PC, Word, Excel and Access
  • Excellent organization and follow-up skills
  • Excellent verbal and written communication skills

Professional Experience:

Compliance Examiner, August 2005 – Present

Finra, Colorado Springs, CO

  • Performed evaluation of compliance programs and business structure.
  • Reviewed sales and marketing practices.
  • Analyzed financial and operational conditions.
  • Developed reports based on examination findings.
  • Interacted with investors while investigating complaints.
  • Communicated with all levels of member firm employees.

Compliance Examiner, May 2000 – July 2005

Waddell & Reed, Colorado Springs, CO

  • Scheduled, planned and did pre-audit preparation for branch office audits.
  • Interviewed financial advisors, managers and administrative assistants regarding office procedures and advisor activities.
  • Developed report findings of office visits and took follow-up action as necessary.
  • Responded to routine inquiries from RVPs and managers concerning adherence issues.
  • Completed expense reports and other paperwork in a timely, accurate way as requested.


Bachelor’s Degree in Business Administration, Missouri Valley College, Marshall, MO

  • 1.0.0Version
  • 392Download
  • 1File Count
  • March 1, 2021Create Date
  • March 1, 2021Last Updated