Compliance Officer Resume Template
A finished one-page compliance officer resume with the duties, tools and credentials employers look for. Download it as Word or PDF, print it, or change every line in the builder.
Abigail Price
Compliance Officer, CRCM · Community Banking
Washington, DC · (202) 555-4446
abigail.price@email.com · linkedin.com/in/abigailprice
Profile
CRCM-certified compliance officer with 10 years in bank regulatory compliance, overseeing BSA/AML and consumer compliance for a $2.8B community bank. Closed 3 OCC exams with no MRAs and cut SAR backlog from 90 cases to 0.
Compliance Experience
2020 – Present
Compliance Officer
Capital Commerce Bank, Washington, DC
- Run the compliance program for a $2.8B bank with 22 branches, reporting quarterly to the board audit committee.
- Oversee BSA/AML monitoring in Verafin; cleared a 90-case alert backlog and filed 140 SARs on time last year.
- Led 3 OCC exams with no MRAs, and kept the fair lending and CRA ratings at Satisfactory.
- Test HMDA, TILA-RESPA and Reg E compliance each quarter and track findings to closure in SharePoint.
- Train 400 employees a year on BSA, UDAAP, fair lending and privacy through online and branch sessions.
2017 – 2020
Senior Compliance Analyst
Capital Commerce Bank, Washington, DC
- Built a risk-based compliance monitoring plan covering 18 consumer regulations and 6 product lines.
- Reviewed 300 marketing pieces and disclosures a year for Reg Z, Reg DD and UDAAP issues.
- Investigated 45 customer complaints tied to overdraft fees and recommended refunds of $260K.
- Updated the CIP and CDD procedures for the FinCEN beneficial ownership rule ahead of the deadline.
2015 – 2017
Compliance Analyst
Potomac Federal Credit Union, Washington, DC
- Screened new members against OFAC lists and filed 1,200 CTRs a year for a $900M credit union.
- Pulled HMDA loan samples and fixed data errors before annual LAR submission.
Certifications
Certified Regulatory Compliance Manager (CRCM)
American Bankers Association (ABA)
Certified Anti-Money Laundering Specialist (CAMS)
ACAMS
Regulatory Expertise
BSA/AML & OFACReg Z, E & DD complianceFair lending & HMDARegulatory exam managementCompliance risk assessmentUDAAP & complaint reviewPolicy & procedure writing
Systems
Verafin
Abrigo BAM+
Fiserv DNA
Microsoft SharePoint
Excel
Education
B.B.A. in Finance
2015
George Washington University
Names, employers and dates on the sample are invented. Duties and software come from O*NET 31.0; credentials were checked against the sources listed below.
Licenses and certifications
- Certified Regulatory Compliance Manager (CRCM) American Bankers Association (ABA) Optional, valued by employers
- Certified Compliance and Ethics Professional (CCEP) Compliance Certification Board (CCB) Optional, valued by employers
Sources: www.aba.com, www.corporatecompliance.org
Licensing rules differ by state; check with your state board before you apply.
Skills to list
- Regulatory Research
- Risk Assessment
- Policy Development
- Audit Coordination
- AML/KYC Compliance
- Compliance Training Delivery
- Reporting to Regulators
- Investigations
Software and tools
- Microsoft PowerPoint
- Microsoft Access
- Microsoft Outlook
- Microsoft Office software
- Microsoft Word
- Microsoft Excel
- Microsoft SharePoint
- Web browser software
- Microsoft Project
- SAP software
Duties to describe on a compliance officer resume
- Warned violators of infractions or penalties.
- Evaluated applications, records, or documents to gather information about eligibility or liability issues.
- Advised licensees or other individuals or groups concerning licensing, permit, or passport regulations.
- Prepared reports of activities, evaluations, recommendations, or decisions.
- Reported law or regulation violations to appropriate boards or agencies.
- Conferred with or interviewed officials, technical or professional specialists, or applicants to obtain information or to clarify facts relevant to licensing decisions.
Titles along the way
- Compliance Analyst
- Compliance Officer
- Chief Compliance Officer
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