Compliance Officer Resume Example

A compliance officer resume must prove regulatory fluency and measurable risk reduction so ATS filters surface it for banking, healthcare, or corporate compliance searches.

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Compliance Officer Resume Sample

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Compliance Officer resume example rendered in the Professional template — Built with the Professional template

VIKTOR NOVAK

Senior Compliance Officer

New York, NY · v.novak@email.com · (555) 274-6650

Summary

Compliance officer with 10 years in financial services AML and regulatory compliance. Oversees monitoring for $2.4B in daily transaction volume and led a 55% reduction in AML alert backlog across 3 business units.

Experience

Compliance Officer · JPMorgan Chase

2019 - Present

Oversee AML and KYC compliance monitoring for $2.4B in daily transaction volume across retail and commercial banking
Led cross-functional response to an OCC regulatory examination, closing all 6 findings within the required remediation window
Reduced AML alert investigation backlog by 55% by redesigning the escalation workflow and retraining 40 analysts
Maintain 14 firmwide compliance policies aligned to Dodd-Frank and OCC Heightened Standards

Compliance Associate · Goldman Sachs

2015 - 2019

Conducted risk assessments for 3 new product lines, ensuring SEC and FINRA compliance prior to launch
Delivered quarterly compliance training to 500+ employees, reducing policy-violation incidents by 30%
Tested SOX key controls across 22 processes, documenting remediation plans for 9 deficiencies

Compliance Analyst · BNY Mellon

2013 - 2015

Reviewed 120+ KYC files monthly for enhanced due diligence, clearing a 900-case backlog
Screened wire activity against OFAC lists in Actimize, escalating 45 true-match alerts
Drafted suspicious activity report narratives for review, supporting 60 SAR filings with FinCEN

Education

J.D. — Fordham University School of Law · 2015

Skills

AML/KYC, SEC Regulations, FINRA, Dodd-Frank, SOX, Risk Assessment, Regulatory Examinations, Policy Development, Compliance Training, Internal Audit, Anti-Bribery

Certifications

CAMS, Certified Anti-Money Laundering Specialist – ACAMS

CRCM, Certified Regulatory Compliance Manager – ABA

Certified Compliance and Ethics Professional (CCEP), Compliance Certification Board

Key Achievements

Led validation of 9 AML detection scenarios, retiring 3 models with no supervisory objection

Cut AML alert false-positive rate by 38 percent through revised detection thresholds

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Must-Have Keywords for Compliance Officer Resumes

These are the keywords ATS systems and recruiters search for. Include them naturally in your Skills, Summary, and Experience sections.

Regulatory ComplianceAMLKYCSEC RegulationsRisk AssessmentInternal AuditPolicy DevelopmentSOXFINRAAnti-BriberyCompliance TrainingWhistleblower InvestigationsDodd-Frank

The Right Resume Structure for Compliance Officer Roles

ATS systems parse your resume top to bottom. The order of your sections matters — here is the order that works best for Compliance Officer applications:

1Contact Information
2Professional Summary
3Certifications
4Core Skills
5Work Experience
6Education

ATS Optimization Tips for Compliance Officer Resumes

Name the specific regulatory bodies and frameworks you've worked under (SEC, FINRA, OCC, Dodd-Frank, SOX) — these are exact-match ATS keywords in compliance postings.
Quantify risk reduction directly: "Reduced AML alert backlog by 55%" or "Cut audit findings from 14 to 2 year-over-year."
Show scale of oversight: number of business units, employees trained, or transaction volume monitored.
Mention any regulatory exam experience by name, such as "led response to OCC examination," to signal crisis-readiness.
Include your compliance certification prominently (CCEP, CAMS, CRCM) since many postings filter on this alone.
Describe policy-writing impact, not just monitoring: "Authored updated AML policy adopted firm-wide" shows ownership, not just process-following.
Balance regulatory knowledge with business partnership language — show you advise the business, not just police it.

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