Compliance Officer is an essential position to ensure that individuals, organizations, and companies comply with government laws, regulations, and contractual obligations. The duty of this position can differ based on the industry. If you aim to be a Compliance Officer, you need to perform responsibilities. These include conducting investigations, maintenance of regulatory knowledge, reviewing practices, determining possible risks, preparation and filing of required documents, updating and reviewing internal policies as well as educating staff. This position is responsible for checking if they work in a specific organization or company adheres to ethical quality and legal standards. 
The needed skills to be a good Compliance Officer include strong attention to detail, analytical skills, and knowledge about legal procedures and requirements. It is also important to have excellent oral and written communication skills. You must have at least 3-5 years of experience in the job position. Additionally, you must have a Bachelor’s degree in finance, law, business management, and other related fields. Create your Compliance Officer Resume by clicking on ''Use this Resume'' button.

How to write a professional Compliance Officer resume?

Writing a professional Compliance Officer is the number one step in reaching your dream position. You can consider our following tips to create a powerful Compliance Officer resume: 
Create an interesting summary for Compliance Officer resume
Creating a convincing summary in your Compliance Officer can make a big difference for your job application. Use the right and respectful words to include in your professional summary when you write a resume. It is important to make sure that the recruiter will continue to read the content of your resume. It can offer you a high chance of being invited for an interview. 
Feature your related skills as Compliance Officer in your resume
The next step is to showcase your related skills as Compliance Officer in your resume. It can create a good impression to the recruiter about your competency and credibility for the job position. Be true to yourself by including only the skills where you excel. You can feature about 6 key skills, so you can prove that you’re highly qualified as a Compliance Officer in their organization. 
Show your achievements rather than the roles and responsibilities that suit the Compliance Officer job position 
Another important consideration in writing a Compliance Officer resume is to showcase your achievements and work experience relevant to the job position. It will provide the assurance that you’re competent enough to do the job well. Moreover, writing your achievements can influence the hiring department to give you a chance for an interview. Never boast about your achievements because most recruiters also look for the good character of an applicant.      


Driven Compliance Officer with a proven track record of helping to lead companies by ensuring they are functioning in complete compliance with all national and international rules and regulations. I possess excellent communication skills, allowing for the cultivation of positive and mutually beneficial business relationships, while keeping strong ethics at the forefront of my goals. I bring forth a superior knowledge of compliance laws and regulations.

Professional Experience

Mutual Impact Inc.
Sep, 2009 Sep, 2019
Compliance Officer
  • Handled regulatory inquiries from SEC, FINRA, CFTC, CME, NFA and foreign regulators. 
  • Researched, interpreted, and advised the company regarding compliance with laws and regulations. 
  • Wrote instructions for various departments on how to interpret and implement new guidelines. 
  • Developed remedial action plans when needed if audit findings called for action. 
Capital Lending
Aug, 2009 Sep, 2013
Compliance Officer
  • Provided valuable compliance advice to the business unit management regarding policies, controls, and procedures. 
  • Updated the business unit management when regulatory requirements or regulatory environment changes. 
  • Provided ongoing support to maintain and uphold the compliance program. 
  • Managed and coordinate the regulatory affairs of Capital Lending Asset management. 
  • Prepared accurate reports for filing. 
  • Monitored registration, licensing, and training requirements for employees. 
  • Reviewed marketing materials as necessary. 
  • Act as an effective liaison with regulatory agencies. 
Capital Lending
Sep, 2007 Aug, 2009
Executive Assistant
  •  Provided top of the line administrative and clerical support to a Senior Broker at Capital Lending. 
  • Learned important terminology and processes to provide the best assistance possible. 
  • Handled calendars, inquiries, and the recording and reporting of messages. 
  • Booked conference rooms for meetings and sent out meeting itineraries. 
  • Assisted with any company initiatives that benefited from further support. 
  • Worked to promote the mission and integrity of Capital Lending. 


favourite quote

“A friend is someone who gives you total freedom to be yourself.”

~Jim Morrison


Monitored CSA contract and its amendments
 Managed and monitored compliance with CSA Contract Deliverables. Developed annual contract compliance summary report, and drafted annual proposed contract deliverables document. 
Effectively conducted AML /KYC formality reports
Completed Currency Transaction Reports (CTR) on high volume currency transactions on customers associated with the bank and its departments.

Key Skills

Critical Thinking
Communication skills
Risk Assessments


Gan Chinese


Associate of Communications
Los Angeles City College
Aug 2006 - May 2008
High School Diploma
Laguna Beach High School
Aug 2002 - May 2006


VF Corporation
Certified Compliance Officer (CCO)
Aug 2013
Society of Corporate Compliance and Ethics.
(Certified Compliance and Ethics Professional)
Aug 2016


  • Badminton
  • Cross Fit
  • Reading
  • Bodybuilding
  • Table Tennis
  • Rugby

Social Media

In 3 years

Over the next three years, I want to apply strong industry knowledge, management experience and analytical skills, along with development and implementation abilities, in a regulatory compliance specialist position with ABC Company.

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