Chief Compliance Officer Resume Sample
Monica Waters
35044 Immanuel Unions,
San Francisco,
CA
+1 (555) 698 9429
Work Experience
Chief Compliance Officer
02/2017
-
PRESENT
San Francisco, CA
- Provide input to the Chief Compliance Officer, U.S. Wealth Management Compliance, on strategies for oversight and monitoring of regulatory compliance for various LOBs within the Bank. Recommend appropriate metrics to measure the effectiveness of the U.S. RIAs Compliance Program
- Oversee compliance monitoring activities for the U.S. RIAs. Communicate the discovery of any non-compliance to senior management in U.S. Wealth Management Compliance. Develop alternative solutions for addressing regulatory issues and recommend appropriate steps to address the same. Follow-up to verify appropriate and timely resolution of issues
- Oversee the administration of applicable registrations for LOB legal entities and employees
- BMO Financial Corp. and BMO Harris Bank Senior Management
- U.S. and Canada Compliance Management and Teams
- Corporate Audit, Legal, and Risk
- U.S. Wealth Management LOB Management
- Board of Directors for each U.S. Wealth Management RIA legal entity subsidiary
- Work jointly with peers in BMO InvestorLine and various other Executives, Compliance groups and regulatory boards
SVP, Chief Compliance Officer
09/2012
-
08/2016
Houston, TX
- Partners with Human Resources, Finance, LOBs, LCCG and other PCG functions/staff areas
- This role is responsible for bringing the management team and senior managers (from all the functional teams- product, operations & call centres, marketing, LOBs, Sales, Legal & Compliance, Finance, HR, TD) as required for strategic initiatives
- Various external associations including Investment Industry Regulatory Association of Canada (IIROC), Investment Industry Association of Canada (IIAC), CSA/OSC
- Strong technical knowledge of banking business
- Knowledge of federal statutory and regulatory framework
- Operate effectively in fast paced environment
- Well-established reputation and relationships with regulators
- Strong ability to work in a complex team environment requiring exceptional communication and organizational skills
SVP / Chief Compliance Officer
12/2009
-
05/2012
Houston, TX
- Leadership experience in enhancing/managing a compliance risk management program in a fast-growth environment
- Working knowledge of bank technology and operating systems
- Experience in large project management
- Extensive knowledge of compliance and regulatory concepts, practices and methodologies
- Extensive knowledge of risk management principles and practices
- U.S. and Canada Compliance Management and Team
- Government & Public Relations, Investigative and Security Services, Corporate Audit, Legal, Risk, HR
- Discharge the Compliance Officer accountabilities set out in the FINRA rule 3130 and in accordance with HSBC’s global procedures by pro-actively assisting management in identifying and containing compliance risk
- Direct the creation and dissemination of approved compliance policies and instructions to all applicable business units. Assist the Legal department in interpreting new and proposed regulations and determining business impact
Education
Chapman University
2005 - 2009
Bachelor's Degree in Legal
Professional Skills
- Strong analytical and critical thinking skills, sound judgment and decision-making skills
- Strong business presentation, writing and communication skills
- Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
- Strong analytical and reasoning skills and ability to exercise balanced judgment
- Excellent relationship management, influence and communication skills
- Excellent verbal and written communication skills and the ability to convey complex legal issues in simple terms
- The interpersonal skills and credibility to operate as a partner to, and key member of, the senior executive team
How to write Chief Compliance Officer Resume
Chief Compliance Officer role is responsible for interpersonal, relationship, leadership, compliance, analytical, organizational, business, training, presentation, influence.
To write great resume for chief compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Chief Compliance Officer Resume
The section contact information is important in your chief compliance officer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Chief Compliance Officer Resume
The section work experience is an essential part of your chief compliance officer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous chief compliance officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular chief compliance officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Chief Compliance Officer resume experience can include:
- Strong analytical skills to use data/metrics for risk monitoring
- Excellent verbal and written communication skills and executive presence
- Strong project management skills, work ethic with great attention to detail
- Specialized experience in public company requirements, financial audit experience and accounting for government contractors is required
- Builds strong, effective and diverse teams
- Providing effective leadership and guidance to the Board of Directors, the CEO and the Senior Leadership team on compliant and ethical business practices
Education on a Chief Compliance Officer Resume
Make sure to make education a priority on your chief compliance officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your chief compliance officer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Chief Compliance Officer Resume
When listing skills on your chief compliance officer resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical chief compliance officer skills:
- Excellent interpersonal skills and strong written and verbal business communication skills
- Demonstrate good listening and strong influencing skills
- Excellent organizational skills and well developed project management skills
- Communicate effectively verbally and in writing and to speak effectively to groups
- Effective analytical and conflict management skills. Proven ability to enact change
- Demonstrated leadership ability and ability to communicate effectively orally and in writing
List of Typical Experience For a Chief Compliance Officer Resume
1
Experience For SVP, Chief Compliance Officer Resume
- Outstanding organizational skills, including prioritizing and follow-up
- Strong business acumen. Exceptional problem solving, decision making and analytical skills
- Strong negotiation, influencing, and relationship management skills
- Demonstrated effectiveness presenting to Executive Management, Board of Directors and Regulators
- Effectively managing capital and human resources for all activities of the Compliance and Ethics Department
- Demonstrated effectiveness in the creation, implementation, testing and oversight of a global compliance program
- Understanding of the compliance and regulatory landscape, including knowledge of and experience with SEC and other applicable regulations
2
Experience For VP & Chief Compliance Officer Resume
- Demonstrate proficiency in using Microsoft Office software, including Internet Explorer, Word, Power Point, Excel and Visio
- Experience leading teams to establish direction, motivate colleagues and employees, encourage diverse views, and encourage improvement and development
- Lead in the design, supervision and provision of an effective training and awareness programme for Financial Crime, Integrity and Business Ethics
- Act as a primary interface with regulators on Compliance matters (primary - OCC, FRB, CFPB). Establish and maintain strong working relationship
- Deep grasp of the compliance and regulatory landscape, including knowledge of and experience with SEC and other applicable regulations
- Experience managing relationships with regulators
- Strong working knowledge of Investment Advisers Act
- Experience in managing successfully a large and globally dispersed team
3
Experience For SVP / Chief Compliance Officer Resume
- Experience managing a Compliance Program for a health insurance or healthcare company
- Experience conducting complex compliance investigations
- Experience of working with key regulators and industry associations
- Experience leading a compliance team
- Maintain systems, processes and standards to evaluate the effectiveness of the Ascension Compliance Program
- Developing and providing compliance training on a wide variety of compliance and integrity topics, including “train-the-trainers.”
4
Experience For Chief Compliance Officer GGO Menat Resume
- Reviewing conflicts of interest disclosures and taking appropriate follow up action, including adopting appropriate management plans
- Drafting, updating and implementing UH policies relating to compliance and ethics, protection of Patient Health Information, and patient rights
- Designing policies, procedures and training, and drafting compliance-related communications
- Finding the right balance of managing robust systems and controls, with enabling business goals
- Planning, implementing and managing all compliance and ethics activities throughout UH
5
Experience For Chief Compliance Officer, Himco Resume
- Auditing, Monitoring and Screening
- Ongoing employee training and new hire compliance training
- Overseeing and monitoring the compliance program
- Understanding of new and existing compliance issues and related policies and procedures
- Ensuring that Customer Due Diligence is conducted according to industry best practice
- Understanding of coding and reimbursement systems, risk management and performance improvement helpful
- Developing team members’ professional capabilities
6
Experience For Chief Compliance Officer, Life Investors Resume
- Working knowledge of FAR and CAS is desired
- Reporting to the Audit & Compliance Committee of the UH Board of Directors
- Managing a large organization
- Responding to Detected Offenses with Corrective Action Plans
- Understanding of healthcare trends, provision of care and the business of an integrated health care delivery system
- Marketing review and approval
- Drafting content and periodic releases on compliance issues of interest to advisors
- Established decision-making capability under stressful situations while dealing with intricate issues involving competing interests
7
Experience For Chief Compliance Officer, Capital Markets Resume
- Responsibility for Money Laundering policies and procedures, ensuring adherence to applicable laws and acting as MLRO for regulated products and services
- Laws and regulations governing the finance and operations functions of self-clearing broker-dealers, including SEC Rule 17a-5, and FINRA Rules 3120 and 3130
- In-depth knowledge of compliance regulations and regulatory processes, including reimbursement, billing, coding & privacy
- Capable of developing and executing medium/long term plans/strategies while dealing with issues of an immediate nature
- Coordinates internal compliance review and monitoring activities, including periodic reviews of departments
- Provide reports to senior management and the board of directors on compliance issues, including tracking any instances of non-compliance
8
Experience For Chief Compliance Officer, Carest Resume
- Responsible for the company’s Compliance Program planning and development functions, ensuring
- Promote the briefing and/or training of policy changes
- Provide reporting and advice to Risk Committees, Executives and Senior Managers regarding compliance matters
- Thorough knowledge of broker dealer regulatory environment, including FINRA, SEC, NYS Banking regulations and applicable regulatory guidelines
- Robust understanding of compliance processes and activities common to a and bank holding company
- Complaint monitoring & reporting as needed
- Provide guidance to Operational groups related to client fee billing process and processing of investment advisory agreements
- Clearly and succinctly communicate the essentials concerning complex issues, while being decisive and results oriented yet collegial
9
Experience For Executive Assistant for Chief Compliance Officer Resume
- Establish and implement HSBC global standards and strategic policies which ensure AMCA’s exposure to current risks and emerging arising risk is managed
- Develop and lead internal compliance reporting and escalation
- Work closely with trading and technology teams to ensure that regulatory functional requirements are understood and delivered
- Ensures that the organization (at all levels) is maintaining knowledge of applicable laws and regulations
- Management of exams and licensing for the company, branches, and Mortgage Loan Originators
10
Experience For Director Chief Compliance Officer Scotia Securities Inc Resume
- Develops, organizes and delivers consistent compliance related training, and reinforces all compliance related communications
- Responsible for the planning, development, and oversight
- Assess and lead Compliance training program in cooperation with HR, other NBCUniversal functions and our parent company
- Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution
- Flexibility and adaptability to changing business and personal needs
- Acquire knowledge of compliance trends by attending educational meetings on compliance and report back learned information to team
- Manages Compliance with the Community Reinvestment Act to ensure “Satisfactory” or better CRA rating
List of Typical Skills For a Chief Compliance Officer Resume
1
Skills For SVP, Chief Compliance Officer Resume
- Good analytical, research, organizational and project management skills. Strong individual contributor with the ability to work effectively as a team
- Excellent inter-personal relationship skills and be able to work effectively across a large, multi-dimensional organization
- Exceptional written/verbal communication skills and interpersonal skills
- Effective written and oral communication skills; professional maturity and confidence in expressing point of view with senior management and peers
- Demonstrated ability to work effectively and congenially with employees at diverse levels
- Strong influence skills working both internally and externally at executive levels
2
Skills For VP & Chief Compliance Officer Resume
- Operate effectively (incl. influence and when needed diplomatically but firmly challenge) stakeholders at all levels
- Demonstrates ability to communicate effectively with broad spectrum of business segment personnel and senior leadership
- Excellent relationship-building skills to implement necessary processes and controls
- Communicate effectively with board members and senior management, providing required “effective challenge” where necessary
- Excellent written and verbal communication skills, including executive reports and presentations
- Skills and experience sufficient to identify potential issues within a variety of company department and business units
3
Skills For SVP / Chief Compliance Officer Resume
- Outstanding communication skills, both oral and written, and the aptitude to communicate plainly with constituents at all levels of the bank
- Prior experience designing and building a similar functional capability either as the lead or key participant
- 14+years of proven experience in leading and managing trade compliance programs in the Aerospace industry
- Highly developed written and oral communication, influencing, interpersonal, and relationship management skills
- Broad Wealth Management business and compliance experience, including significant retail broker dealer experience
- Strong work ethic with flexibility to adapt to shifting priorities
- The ability to deliver on specific performance goals and effectively manage a team to achieve objectives through a constructive management style
- Exceptional communication (both oral and written), leadership and interpersonal skills
4
Skills For Chief Compliance Officer GGO Menat Resume
- Experience in a Compliance Officer role, with greater importance placed on experience as a Chief Compliance Officer and/or Vice President of Compliance
- An excellent communication skill with the ability to translate compliance, legislative and regulatory changes into the lines of business is also required
- Works effectively with internal and external clients and promotes the reputation and integrity of the Legal & Compliance Organization and TES
- Flexibility, adaptability to changing business and personal needs. Leadership skills, ability to coach and mentor
- Proven experience interacting with bank regulators
5
Skills For Chief Compliance Officer, Himco Resume
- Program management skills. The ability to organize, execute and deliver
- Prior management experience required, preferably in financial industry
- Advanced skills in Word, Outlook and Excel
- Experience developing and implementing comprehensive compliance training programs within a multi-branch firm
- Experience in attracting and retaining high caliber talent, developing a world class team
6
Skills For Chief Compliance Officer, Life Investors Resume
- Experience interacting with regulators and supervising regulatory exams
- Experience in trading, investment banking, sales practices and infrastructure requirements
- Experience in presenting and/or reporting to the Audit Committee of the Board of Directors and/or the Board of Directors
- The need to be goal-oriented and have good business judgment is also crucial to have in making decisions and delivering results
- Strong track record of building strategic partnerships and relationships
- Has a proven track record of architecting processes and systems
- Experience in working in or with high risk jurisdictions
- Experience in operating in an international and decentralized environment
- Experience facilitating examinations conducted by regulatory agencies
7
Skills For Chief Compliance Officer, Capital Markets Resume
- Experience of communicating directly with European and other regulators
- Effective written and oral communications; professional maturity and confidence in expressing point of view with senior management and other peers
- Numerous demands for resources that need to be prioritized within tight deadlines
- Hedge fund or asset management experience
- Related compliance experience
- Compliance, legal, or regulatory risk management experience in the financial services industry
- Related broker dealer experience
- Experience in compliance or compliance related role
- Experience as an Attorney
8
Skills For Chief Compliance Officer, Carest Resume
- Investment advisory compliance experience required
- In-depth experience and ability to manage the annual Form ADV process
- Relevant experience in senior legal and/or compliance roles required
- Operate standard office equipment and use required software applications, including database applications and regulatory agency systems
- Experience in financial services, auditing, or compliance
- Strong command of English language. Other languages are beneficial
- Strong orientation to deadline and detail
9
Skills For Executive Assistant for Chief Compliance Officer Resume
- Decisive and exercises good judgement under pressure
- Relevant work experience in a compliance / regulatory role with 5+ years at a Registered Investment Advisor
- Experience in healthcare legal/regulatory compliance, required
- Compliance experience with a carrier intending to offer or offering ACA exchange/insurance market place health plans
- Experience in regulatory compliance management is an asset though not essential
10
Skills For Director Chief Compliance Officer Scotia Securities Inc Resume
- Experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations
- Knowledge and experience of fund products; and
- Knowledge and experience of SEC regulations
- Experience with, and knowledge of, FCPA
- Demonstrates ability to manage multiple complex initiatives in a self-directed manner
List of Typical Responsibilities For a Chief Compliance Officer Resume
1
Responsibilities For SVP, Chief Compliance Officer Resume
- Demonstrates extensive US-based consumer banking and local regulatory compliance knowledge to be able to effectively support and drive JPMorgan Chase’s Global Compliance Program
- Work closely with the GSC lines of business to develop and implement compliance plans and frameworks in line with the Global Compliance Program’s Core Practices framework
- Liaising with the US and regional lines of business Compliance teams to ensure consistent and best practice compliance procedures and controls are adhered to and implemented
- Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firms’ activities to remain in compliance with all aspects of industry standards
- Excellent leadership ability, team building skills, relationship building and relationship management skills
- Outstanding written and verbal communication skills with demonstrated ability to think analytically and strategically to solve problems and implement solutions
- Collegial and collaborative approach working effectively with others to build strong professional relationships
- Excellent interpersonal skills and ability to impact and influence
- Responsible for maintaining an ongoing regulatory training program assuring regulatory awareness and operational effectiveness
2
Responsibilities For VP & Chief Compliance Officer Resume
- Experience in the derivatives industry (including commodities, financial and credit) transaction reporting or trading is desirable
- Experience in identifying, developing and retaining top talent for the company
- Maintain a strong working knowledge of all relevant regulations, including insurance, broker, health care reform regulations
- Oversees a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
- Experience of working within a highly regulated environment is desirable
3
Responsibilities For SVP / Chief Compliance Officer Resume
- Acts as a knowledgeable business partner providing competent and effective legal expertise to internal stakeholders
- Handle competing demands and priorities
- Experience in continually expanding responsibilities and leadership roles within compliance
- Experience leading a compliance function in a regulated payments entity in the EU
- Protect the Company’s interest in critical matters such as government investigations and high-priority legal investigations
- Understanding of banking operations; broad knowledge and understanding of banking units; understanding the risk appetite of the organization
- Developing and maintaining policies and procedures supporting a culture of integrity, compliance and excellence
- Developing and Implementing compliance audit testing
- Maintaining a professional and well-governed environment and achieving compliance with Americas regulations by
4
Responsibilities For Chief Compliance Officer GGO Menat Resume
- Maintaining the primary records relating to the regulated activities of Mercer in the Americas
- Assisting the relevant business lines in the identification of requirements relating to Mercer’s regulated activities
- Promoting awareness and a culture of responsibility through training and regular communication
- Authorizing and licensing of Mercer legal entities and employees
- Building a close working relationship with the Chief Legal Officer and legal team and collaboration between legal counsel and compliance advice
- Advising to Board and other MT’s functions as for non compliance risks
- Assisting with the identification of potential risks and financial services compliance issues associated with new products, services and jurisdictions
- Implementing new regulatory requirements
- Reviewing transactions and physician arrangements per UH policies
5
Responsibilities For Chief Compliance Officer, Himco Resume
- Accounting concepts practices and procedures
- Create and maintain a compliance training program, including training necessary for the Trust Company’s board of directors to fulfill its oversight role
- Responsible for interpreting legal research and assisting in implementing compliant policies and procedures
- A knowledge of operating a complex business across multiple jurisdictions, demonstrating a track record of keeping up with regulatory developments
- Ensure Energy Connections open reporting program maintains high standard of excellence in culture of open reporting and responsiveness to employee concerns
- Alert leadership to emerging regulatory developments and potential impact through regular reporting to senior management, with risk-based focus
- A passion for developing innovative compliance solutions and being a pragmatic partner to internal stakeholders across the organization
- Responsible for managing the relationship with the Scotiabank Registrations Department
6
Responsibilities For Chief Compliance Officer, Life Investors Resume
- Responsible for providing general direction and overall management of the Scotia Securities Compliance Department as required
- Financial Planning designation/accreditation (preferable)
- Oversees administration of Trust Company’s Fiduciary Compliance Program, including the Policies and Procedures Manual, and updates as necessary
- Lead Energy Connections Compliance program, including all aspects of prevention, detection, and response
- Oversee the development and implementation of Compliance training and communications agenda
- Manage the firm’s registrations with applicable regulators, including the SEC
- Conducts periodic benchmarking to ensure the company’s ethics and compliance program meets/exceeds applicable industry standards
7
Responsibilities For Chief Compliance Officer, Capital Markets Resume
- Recruits, develops, and mentors other compliance professionals for continued development and including Safety compliance
- Reconcile conflicting needs and obtain consensus from multiple views
- Very well-versed in using computers and different technologies
- Coach and mentor subordinates, identifies training needs and recommends appropriate development programs
- General knowledge and understanding of applicable compliance management standards and applicable laws and regulations
- Encourages balanced risk taking to advance innovation
- Serve as the primary internal resource for all issues relating to regulatory compliance requirements
- Communicate openly and honestly and connect with others to build trusting relationships
8
Responsibilities For Chief Compliance Officer, Carest Resume
- Electronic correspondence monitoring and review
- Oversight of annual compliance testing
- Conduct continuing education for sales and product
- Knowledge and capability with Microsoft Office, including Excel
- Regulatory: FCA, PRA, AML and other related areas of regulation, including EU Directives
- Diverse, dynamic, and challenging work environment
- Well-balanced lifestyle, that includes personal and family time in addition to professional and networking opportunities
- To oversee the Compliance and Anti-Money Laundering functions adherence to the regulators’ (the FCA, CBI and JFSC) rules
9
Responsibilities For Executive Assistant for Chief Compliance Officer Resume
- Knowledge/understanding of applicable regulatory and compliance
- Thorough knowledge of legislation and regulations in respect of securities, in particular, mutual fund manufacturing and distribution and MFDA regulations
- Commitment to acting with integrity, with high personal work standards
- Past work in the Fintech or startup ecosystem building scaled compliance infrastructure
- Work in a high stress environment, fast-paced and changing environment
- Participate in and contribute to the decision making process on selected commercial projects as
- Commercial and business approach to analyzing law and regulatory matters
- Employee activity monitoring
- Responsible for the direction and management of Senior Manager, Team Leader and staff
10
Responsibilities For Director Chief Compliance Officer Scotia Securities Inc Resume
- Provide strong leadership and guidance to subordinates with regard to policy and operational issues, while providing them with the opportunity to perform their responsibilities on a day-to-day basis without specific oversight
- Provide counsel, contribute to and participate as a member of the senior management team with regard to the operations and activities of business units
- Exercise any specific statutory responsibilities as Chief Compliance Officer
- Accountable for trade surveillance ensuring RMFI’s adherence to regulatory requirements, and that regulatory and business risks related to this function are effectively managed. This includes
- Canadian Securities Course and Partners, Directors and Officers Qualifying Exam
- Provide leadership and oversight for ensuring the requirements of Compliance policies and programs are maintained at a level commensurate with regulatory expectations
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