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Additional Compliance Resume Samples
How to Format a Compliance Analyst Resume
Analysts’ roles and responsibilities can vary across multiple industries. If you’re interested in a compliance analyst role, you can use a functional resume to draw attention to your legal knowledge, critical thinking, attention to detail and programming language skills.
However, we advise that you exercise caution — a functional resume allows you to create custom sections related to your skills that may baffle an applicant tracking system (ATS). ATS programs scan a resume for the following information and favor hybrid or chronological formats.
- Contact information
- Professional summary or objective statement
- Work experience
- Education
- Skills
Let’s compare two candidates and how they display their skills according to the resume format they chose.
Candidate A — Combination or Chronological Resume
Analyst — Collections
- 7 years of experience
- 2 years at this job
- BS Statistics
Work History
- Craft annual action plans, corrective compliance education and training material to distribute across company staff.
- Knowledge of federal and Pacific West state legislation regarding legal compliance. Knowledge includes a legal understanding of the Civil Monetary Penalty law, the Anti-kickback Statute and The Electronic Communications Privacy Act.
- Conduct monthly audits of internal and external communications and procedures to ensure corporate compliance.
- Knowledge of JavaScript coding.
Candidate B — Functional
Analyst — eCommerce
- 4 years of experience
- 9 months at this job
- AS Statistics
Professional Skills
Compliance
- Knowledge of federal and state legislation regarding online privacy and consumer protection.
- Conduct quarterly audits on internal and external procedures to ensure online marketing and security compliance.
- Craft correction action plans with simple education and training materials to educate all employees on proper policies and procedures.
Computer Literacy
- Knowledge of HCPCS, CPT and ICD-10-CM coding.
- Familiarity with Microsoft Office products, including Excel, Word and Outlook.
Compliance Analyst Resume Samples
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0-5 years of experience
Provided managerial and financial investigative training support to over 20 employees.
- Prepared over 600 intelligence reports containing more than 1,200 alerting transactions which used by multiple State and Federal law enforcement agencies in illicit financial investigations.
- Recognized as Top Performer in account reviews by saving a bank affiliate from nationwide reputational risk
- Maintained detailed and organized records for internal and external audit exams saving 30 minutes in weekly search
- Completed outbound call and electronic communications to internal and external employees reducing risk exposure by 10% of high-risk entities.
- Worked on over 15 banking systems daily to complete investigations and internal audits.
- Participated in testing transition project while preparing to move to new alert based system.
0-5 years of experience
Inputted data from scanned documents provided by client into computer system and ran compliance review for each file.
- Forwarded file to either underwriting or quality control for further investigation upon compliance review decision.
- Assigned as processor as well as compliance analyst depending on file volume.
- Performed verifications (deposits, employment and rent/mortgage) and calculations (income) per client stipulations.
- Exceeded or met daily file quota mandated by management 90% each month.
- Awarded highest in production for three consecutive quarters and listed in top five compliance analysts two years consecutively for department at branch location.
6-10 years of experience
Managed 28 to 30 accounts (from $10 million to $10 billion) in support of Portfolio Managers.
- Reviewed daily compliance reports and weekly audits, researching non-compliance issues and forwarding findings to Portfolio Managers for resolution.
- Completed monthly, quarterly, and annual compliance checklists that track compliance with accounts’ Code of Ethics to meet client servicing requirements. Investigated and resolved questions.
- Ran Excel Workbook programs to pre-approve financial transactions for Portfolio Managers.
- Streamlined operations by running daily reports versus weekly, which improved visibility of transactions and helped ensure compliance was maintained at all times.
- Acted as liaison between clients and Rules Department. Tested changes to regulatory and client specifications, flagging any non-compliance issues and making recommendations.
- Served as point person to update high volume database, ensuring information was current for audits.
- Trained new team members and cross trained within department to share knowledge.
0-5 years of experience
Other positions held: Compliance Senior Representative, Compliance Representative
- Adept at developing and maintaining detailed procedural processes that reduce redundancy, improve accuracy and efficiency, and achieve organizational objectives
- Created a transitional departmental plan that reduced staff size by 80% and led to the creation of a partnership with an external audit vendor
- Managed and monitored external vendor relationship by conducting ad hoc audits as necessary
- Exemplified excellent time management and multi-tasking skills by consistently meeting and exceeding productivity expectations
- Researched patient complaints and used analytical skills to resolve issues and ensure customer satisfaction and confidentiality
- Demonstrated strong teamwork skills such as compromise and cooperation by training associates with specific job functions
- Completed specific job related courses to grow and develop professionally through iLearn
- Monitored government regulations and standards to ensure alignment with company policies and procedures
6-10 years of experience
Coordinated and documented improvements to Ambulance coding and billing in a successful response to a Department of Justice investigation
- Guided Department Directors in developing policies and procedures that improved utilization and reimbursement
- Conducted compliance audits on departments throughout the health system, which is comprised of hospitals, physician offices, outpatient rehabilitation clinics, ambulance services and an insurance company.
- Act as a liaison between the clinical side and financial side of the corporation
- Completed 18 month FirstU Leadership II Management training course.
0-5 years of experience
Ensured adherence to corporate policies as well as compliance with Regulation E Consumer International Wires rule and other government sanctioned inquiries such as OFAC & 314(a).
- Assisted Private Client Groups and the Foreign Exchange Desk with processing consumer international wires for Regulation E compliance
- Responsible for logging in the Reg E consumer wires and ensuring proper backup documentation has been saved for audit purposes, as well as communicate with PCGs and FX Desk on wire issues
- Made sure documentation are in order for Regulator reviews and audit identified issues
- Performed reviews for compliance on functions related to OFAC and 314(a), and manage specialized reporting, management reporting, and SAR metric reporting
- Reviewed system generated reports of transactions and investigation of account activity for potentially suspicious activity from inception to completion.
- Monitored and identified suspicious activity on banking customers, drafted narratives of findings and suspicious activity reports (SAR)
6-10 years of experience
Researched and analyzed state laws, regulations, and insurance department guidelines, applying policy text, company practices, filings, and hypothetical / factual situations. Drafted new and revised policy text and related contract forms to comply with state laws. Prepared, submitted, and responded to any objections from insurance departments regarding product filings.
- Submitted new products for approval for multiple states, meeting project deadlines consistently.
- Cultivated effective working relationship with state and federal regulators.
- Prepared and submitted state required regulatory reports, verifying company compliant with state requirements, avoiding unnecessary fines.
- Researched and analyzed new state laws and regulations; produced summaries and / or action plans for updated regulations, ensuring new requirements applied.
- Selected as trainer for compliance analysts and troubleshooter for electronic filing system and System for Electronic Rate and Form Filings (SERFF); assisted new hires in understanding compliance policies and procedures.
0-5 years of experience
Performed testing on Collections, Default Reporting, Foreclosure, Bankruptcy, REO, Government Insuring, Loss Mitigation, and New Loan Setup to ensure compliance with GSE, investor and state guidelines.
- Performed loan level testing to ensure organizational compliance with ECOA, FDCPA, FCRA, and RESPA.
- Prepared metrics reports by collecting, analyzing, and summarizing information.
- Coordinated and facilitated meetings amongst departmental areas to communicate findings and identify measures needed for corrective action.
- Participated in meeting with regulatory agencies including OCC and CFPB to identify procedural weakness and implement corrective action as it related to consent order.
- Researched regulations by reviewing regulatory bulletins and other sources of information.
0-5 years of experience
Reviewed Firm’s advertising and sales literature pertaining to industry regulations and standards.
- Provided effective and timely reviews of advertising and sales literature to determine the appropriateness of the materials in relation to regulatory standards.
- Consulted Firm associates on areas of regulatory concern, and developed strategies and edits to improve the materials.
- Conducted oversight examinations of specific product areas within the Firm in regards to their advertising policies and procedures.
- Participated in ongoing development of the Firm’s marketing compliance procedures.
- Reconciled Advertising CRD Account.
0-5 years of experience
Drafted and revised internal policies and procedures to ensure compliance with industry standards and board requirements.
- Reviewed contracts, prospectuses and selling agreements, among other documents, to ensure consistency, and adherence to relevant rules and regulations.
- Participated in roundtable calls in which we discussed industry standards and requirements.
- Identified compliance risks and managed them by providing advice, and monitoring.
- Reviewed various industry trade association websites for information that impacted the division and apprised the necessary parties of any new requirements.
- Assisted with other Retirement Solutions Division initiatives as needed.
0-5 years of experience
Recognized and evaluated high risk accounts and activity then made recommendations regarding account retention.
- Investigated matters where potential suspicious activity occurs to determine the reasons for activity.
- Installed, configured, and upgraded database server software and database instances, and application servers.
- Implemented and maintained database security by creating and maintaining users and roles and assigning privileges.
- Reviewed all customer files to meet KYC, customer due diligence (CDD) and enhanced due diligence (EDD) requirements.
0-5 years of experience
Monitored and reviewed federal and/or state rules, regulations, and statutes while maintained logs and reported as needed.
- Performed Company licensing for Secretary of State and Department of Insurance for licensing renewals
- Maintained and monitored company compliance and business unit policies and procedures.
- Prepared required information and posted audit requirements for Client delegated oversight audits.
- Worked with Corporate Legal and Business Units/Administration on reviewing, interpreting and procuring Agreements/Contracts and maintained local records.
- Facilitated the resolution of Department of Insurance Complaints
0-5 years of experience
Performed intake controls to ensure all alerts were logged and assigned in a timely manner
- Collected and documented data, including alert, investigation, or Suspicious Activity Report history; Know Your Customer information; relevant account and transaction data; plus any other required information to assist the investigation
- Reviewed and analyzed underlying data gathered to assess reasonable cause to escalate an alert to Investigations or to clear the alert
- Dispositioned and fully documented all alerts, including supporting data, analysis and rationale for disposition, within the case management system in a timely manner
- Conducted periodic internal account / customer reviews to identify potentially suspicious activity
- Participated in individual and department goal development and execute on tactical strategies for goal attainment
0-5 years of experience
- Assisted in the maintenance of the [company name]s regulatory compliance program acting as a compliance resource on [company name] projects and initiatives.
- Identified all transactions subject to Currency Transaction Reporting and identified and researched all account activity subject to Suspicious Activity Reporting (SAR).
- Ensured that CTRs and initial/follow-up SARs were completed accurately and filed timely.
- Routinely examined the entire membership population to identify any possible matches with OFAC SDN list.
- Researched and responded to regular 314(a) and 314(b) requests
- Remained abreast of all regulations that impact [company name] and provided guidance and expertise to business owners.
6-10 years of experience
Performed research of internal and external marketing materials and assigned them to compliance reviewers. Recognized by business partners for outstanding support during a deadline project, and by the policy team for updating policies within a short turnaround period.
- Reviewed and tracked up to 100 submissions per week.
- Monitored all incoming submissions for 3 teams through the use of a database queue.
- Resolved problem submissions by assigning them to internal and external reviewers.
- Compiled Registered Principal (RP) and FINRA reports to determine the status of unresolved items.
- Processed FINRA letters requesting revisions to the appropriate reviewers.
- Processed regulatory manual filings when requested.
0-5 years of experience
Reviewed and approved daily portfolio trading activity with a focus on High Yield and US Senior Loan strategies
- Frequently interacted with Portfolio Manager regarding client accounts and trade allocations
- Performed periodic reviews to certify compliance with client guidelines, internal policies and procedures and regulatory law
- Conducted reviews to ensure securities data accuracy
- Prepared and communicated client compliance reporting
- Assisted with technology enhancements in compliance systems and reports
Compliance Cover Letter Examples
Compliance Analyst Resume FAQ.
What is the role of a compliance analyst?
A compliance analyst is a role whose duties can include the following:
- Monitor a company or online business network for potential federal or local compliance violations.
- Run regular compliance training sessions to ensure proper federal and local regulation knowledge is distributed among employees.
- Develop and maintain digital standards and procedures to align with federal and local regulations and ordinances.
- Help and educate employees in the event of a potential compliance breach.
- Identify and isolate potential compliance breaches or risks.
How do you describe compliance on a resume?
You can describe your compliance experience on your resume with these resume tips:
- Refer to the general business: For legal privacy purposes, such as a strict nondisclosure agreement, you can refer to a former client by their general business or industry field rather than by name. For example, you can write that you “assisted a Texas-based health care business in identifying a major violation of Web Content Accessibility Guidelines (WCAG) compliance, identifying impacted pages, and compiling a list of potential solutions to align with both WCAG and the Americans With Disabilities ACT.”
- Use details and percentages to quantify your accomplishments: Your compliance analyst resume can be more effective and persuasive with as much detail as possible. For example, “Identified and patched a noncompliance issue” sounds less impressive than “Identified dozens of noncomplient landing pages that negatively impacted 3 million unique visitors. Pages included access to the company’s main product, limiting the number of paid subscribers the company could acquire by an estimated 12%.”
How do you list compliance skills on a resume?
There are three strategic places where you can list your compliance skills on a combination or chronological resume.
- Resume summary: This is your first formal introduction to a hiring manager. You’ll use the three- to four-sentence section to showcase one to three crucial skills through your career accomplishments. You should use this space to note how you assisted marketing and development teams to launch federally compliant landing pages to help prevent class-action lawsuits, fines or customer loss related to noncompliant pages.
- Work history: Your work experience is your compliance analyst resume’s most detailed, informative section. Each bullet describing your previous role’s responsibilities can include a skill related to your experience.
- Skills: Often the shortest and least detailed section, you can list up to 10 soft, complex and technical skills. Important general skills include commonly requested skills such as communication, observation, analytical thinking or problem-solving skills.
How do I become a good compliance analyst?
You can become a strong compliance analyst candidate through various academic or professional paths.
- Bachelor’s degree in computer science, information technology, software engineering or math.
- Boot camp in security engineering or development.
- Relevant training via previous network administration.
- Certification programs.
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
