CV / English / Compliance Officer

Contact Information

• Address: 124 Harmon Drive, Springfield, IL 62704
• Phone: (555) 321-9876
• Email: [email protected]

Professional Summary

Dedicated and knowledgeable Compliance Officer with over 8 years of experience in the finance sector, specializing in regulatory compliance, risk management, and policy development. Proven track record of successfully implementing compliance programs, conducting detailed risk assessments, and ensuring organizational adherence to changing legal and regulatory requirements. Strong analytical skills combined with a keen attention to detail and the ability to communicate complex compliance issues effectively.

Core Competencies

• Regulatory Compliance
• Risk Assessment & Management
• Policy & Procedure Development
• Anti-Money Laundering (AML)
• Know Your Customer (KYC)
• Internal Audits & Reporting
• Training & Development
• Strong Analytical Skills
• Effective Communication

Technologies and Certifications

• Proficient in Compliance Software (Actimize, LexisNexis)
• Microsoft Office Suite
• Certified Compliance & Ethics Professional (CCEP)
• Certified Anti-Money Laundering Specialist (CAMS)

Professional Experience

Senior Compliance Officer

Metro Financial Services, Chicago, IL June 2017 - Present - Developed and implemented comprehensive compliance policies and procedures, resulting in a 40% reduction in compliance violations over two years. - Conducted regular internal audits and risk assessments to ensure adherence to legal and regulatory standards. - Played a key role in training and developing junior compliance officers, enhancing the team's overall effectiveness.

Compliance Analyst

Greenbank Corporation, Springfield, IL March 2015 - June 2017 - Assisted in the management of compliance programs, including AML, KYC, and fraud prevention initiatives. - Supported the compliance team in preparing for and responding to regulatory examinations and audits. - Utilized compliance software to monitor transactions for suspicious activity, contributing to the identification and prevention of potential compliance issues.

Education and Training

• Master of Laws (LL.M.) in Financial Regulation, University of Chicago Law School, Chicago, IL, 2014
• Bachelor of Arts in Law, University of Illinois at Urbana-Champaign, Champaign, IL, 2012

Certifications: - Certified Compliance & Ethics Professional (CCEP), 2016 - Certified Anti-Money Laundering Specialist (CAMS), 2015

Referees

• Martin Grey Director of Compliance, Metro Financial Services Phone: (555) 654-3210 Email: [email protected]

• Samantha Wells Chief Risk Officer, Greenbank Corporation Phone: (555) 478-1234 Email: [email protected]