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Compliance Officer Resume Example & Writing Guide

A great compliance officer resume will show that you have the right skills and qualifications to land the job. This guide with adaptable examples will show you how to write a great compliance officer application.
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Compliance Officer Resume Example & Writing Guide
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As a compliance officer, you’re responsible for making sure a company meets its legal obligations and operates at a high standard. That means there’s a lot of pressure to make sure your resume is error-free and convincing. If you’re ready to make the next move in your career, we’re here to help.

With 350+ occupation specific resume examples and guides, Resume.io is an expert resource for professionals in all industries. This resume guide, along with the corresponding compliance officer resume example will cover the following topics:

  • What does a compliance officer do?
  • How to write a compliance officer resume (tips and tricks)
  • The best format for a compliance officer resume
  • Advice on each section of your resume (summary, work history, education, skills)
  • Professional resume layout and design hints.
Statistical insight

Statistical Insight: Compliance officers are currently in high demand, according to the Wall Street Journal. Candidates with previous experience in the banking and financial sector – especially those with knowledge of cryptocurrency – will have the best job prospects, but even junior applicants can find entry points into the industry.

What does a compliance officer do?

Compliance officers are responsible for making sure that a company is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular industry. In addition to making sure the company is meeting all compliance laws, Compliance officers are also responsible for educating the entire company and instituting practices that will ensure the highest possible level of compliance.

An ideal candidate has superior knowledge of the company’s goals, the greater industry, and standard business law.

How to write a compliance officer resume

The very first step in writing your compliance officer resume is understanding what sections to include. Your CV should contain the following elements:

  • The resume header
  • The resume summary (aka profile or personal statement)
  • The employment history section
  • The resume skills section
  • The education section

Compliance officer should be adept in the culture of their industry, and must showcase that they have the necessary skills to communicate compliance-related issues to employees across all divisions of a business. The ideal candidate is diligent, level-headed, and an excellent communicator.

A winning compliance officer resume should highlight strong ethics and a willingness to encourage and promote corporate integrity.

Choosing the best resume format for compliance officers

Compliance officers will need to show that they have previous experience in their field in order to be trusted when it comes to overseeing a company’s legal obligations. Therefore, the reverse chronological resume format is the best choice for compliance officers.

This format gets its name from the fact that previous positions are listed starting with the most recent (or current) role and working backwards up until 10 years. This format is both expected by hiring managers and most likely to pass the automated resume scanners built into the online application portals of most medium and large companies. If you’d like to learn more about alternative options, check out our guide to resume formats .

Expert tip

Resume summary example

The summary offers 3-5 sentences where you’ll be able to highlight your biggest accomplishments and attributes. This summary allows you to call attention to your most relevant experiences and qualifications. Remember to use as many powerful action verbs and job specific information as you can. This is also a great place to add specific keywords from the job description to increase your chances of passing the ATS . See our adaptable summary from our resume sample below.

Adaptable resume summary example

Experienced and 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, as well as standard business law.

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Employment history sample

The employment history section is likely the area of your resume that will draw the hiring manager’s attention first. List all positions relevant to a compliance officer, or positions that have transferable duties and/or required skills necessary for a compliance officer position. Remember to use powerful action verbs and mention job specific accomplishments that prove you are an excellent candidate. Numbers and concrete details help show your impact and value to a potential employer. See our adaptable resume sample below.

Adaptable employment history resume example

Compliance Officier at Mutual Impact Inc., New York 
October 2009 - September 2019 

  • 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.  

 

Compliance Officer at Capital Lending, New York 
September 2009 - September 2013 

  • 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.  

 

Executive Assistant at Capital Lending, New York 
October 2007 - August 2009 

  • 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. 
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CV skills example

While skills can be found throughout your CV, this section is the place to make sure a hiring manager doesn’t miss your key qualities. Make sure to include a mix of soft skills (personality traits) and hard skills (technical ones). Again, it is important to consider the requirements of the employer before creating this section as resume scanners often pay particular attention to it when evaluating a candidate’s qualifications. A hiring manager looking for a compliance officer is looking for an ethical and hardworking individual, who is willing to keep up with constantly changing legislation. Be sure to include job specific skills as seen in our resume sample below.

Adaptable resume skills example
  • Critical Thinking 
  • Result Oriented 
  • Communication Skills 
  • Leadership
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Compliance officer resume education example

Compliance officers are generally required to hold at least a bachelor’s degree so the education section will be a vital part of your resume. List all degrees and certifications here. Any honors or distinctions should be noted here as well. If you hold a master’s degree or higher, you may leave off your high school. See our adaptable resume example below.

Adaptable resume education example

Associate of Communications, Los Angeles City College, Los Angeles 
September 2006 - May 2008 

 

High School Diploma, Laguna Beach High School, Laguna Beach 
September 2002 - May 2006

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Resume layout and design

The layout and design of your resume quickly indicate your professionalism and seriousness about the position. Compliance officers are required to be diligent and highly organized so a clean, well-structured resume is the right choice to make a good first impression. Here are some other layout tips:

Do
  • Stick with the same 1-2 font styles throughout your resume
  • Keep a balance of white space to text to avoid visual fatigue for the reader
  • Choose a professionally-designed resume template to save time
Don't
  • Use unusual section headings which may confuse the ATS
  • Go overboard with color or creative design elements
  • Forget to proofread for spelling and grammar mistakes

Key takeaways for a compliance officer resume

  1. Compliance officers are in high demand so now is the time to create an organized and professional resume.
  2. Don’t overlook the summary – this is a key place to call the hiring manager’s attention to your experience and skills.
  3. Work history should be listed in reverse chronological order as this is the format expected by hiring managers.
  4. Check out our adaptable resume samples for more ideas on creating a great layout and design.
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