12 Compliance Analyst Resume Examples

Five Key Resume Tips For Writing A Compliance Analyst Resume:

1.
Relevant Experience
Make sure that the jobs, experience, and accolades that you include are relevant to the position you’re applying for.
2.
The Right Skills
This is a great time to run wild with those keywords from the job description. For example, if they’re looking for someone with experience in Ensure Compliance, be sure to list it in your resume’s skills section.
3.
Quantifiable Achievements
Your workplace accomplishments tell the story of the unique value you bring to an organization. Stay away from dry descriptions of job duties. Use numbers to help contextualize your achievements..
4.
ATS-Friendly
An applicant tracking system (ATS) is a piece of software employers use to collect, scan, organize, and rank applications. The key to getting your resume past ATS and into the hands of hiring managers is smart keyword usage.
5.
Impeccable Formatting
Formatting a resume so that it looks professional and attractive is important. With Zippia’s resume builder, you can put together a modern-looking resume in less than 10 minutes. Just choose a resume template that suits your style, answer some questions about your background, and you’ll have a resume that’ll pass muster with both the ATS and the hiring manager.
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Zippia allows you to choose from different easy-to-use Compliance Analyst templates, and provides you with expert advice. Using the templates, you can rest assured that the structure and format of your Compliance Analyst resume is top notch. Choose a template with the colors, fonts & text sizes that are appropriate for your industry.

 
Brenda Rice
Compliance Analyst
Contact Information
San Diego, CA
(210) 555-0184
brice@example.com
Skills
  • Compliance Procedures
  • Procedures
  • Personnel Files
  • Finra
  • Regulatory Submissions
  • Federal Agencies
  • Compliance Department
  • SAR
  • Ofac
  • Compliance Audits
 
 
Employment History
Compliance Analyst2011 - Present
HSBC North America Holdings
San Diego, CA
  • Identified corrective action and formulated solutions that minimized the impact of identified compliance issues.
  • Participate in performing due diligence and oversight of third party sub-advisers and their compliance programs.
  • Performed quality assurance reviews of anti-money laundering cases completed by investigators to assess whether procedures were adhered to.
  • Brief case with research findings in compliance with SEC/ OFAC Sanctions and HSBC in house policy and procedures.
Compliance Coordinator2006 - 2011
Sony Corporation of America
San Diego, CA
  • Program Development and Implementation - Led the implementation of compliance programs required by settlement agreements with governmental agencies.
  • Developed and implemented systems, policies and procedures for the identification, collection and analysis of risk related information.
  • Performed routine rounds within unit to ensure quality standards, safety and compliance standards were being met.
  • Manage the review, approval, and revision of procedures, specifications, and forms.
Compliance Assistant2005 - 2006
San Diego Gas & Electric
San Diego, CA
  • Emailed reviews and QC's to a central supervisor.
  • Provide input in development, revise as necessary and monitor implementation of Ethics and Integrity program policies.
  • Corresponded with outside counsel, NASD/CRD, and state securities administrators.
  • Assist the Audit Manager and Compliance Analyst with compliance audits and privacy investigations.
Education
Bachelor's Degree of Business2002 - 2005
Ashford University
San Diego, CA
 
 
Janet Johnson
Compliance Analyst
Contact Info
Barceloneta, PR
(320) 555-4372
jjohnson@example.com
Skills
Ethics
Product Development
Regulatory Agencies
Capa
Fincen
Federal Agencies
Risk Management
Clinical Trials
Special Projects
Regulatory Bodies
Employment History
Compliance Analyst2020 - Present
Pharma Services Intermediate HoldingBarceloneta, PR
  • Provided QA support to special projects (Product Re-branding, Line Decommissioning).
  • Created and assisted with revising current compliance policies, processes, procedures, and desk instructions for Compliance and Global Logistics.
  • Worked closely with internal business partners to develop methodologies to further enhance the workflow process.
  • Compose investigation summary and documentation to file Suspicious Activity Report (SAR) with FINCEN.
Regulatory Affairs Specialist2017 - 2020
Pharma Services Intermediate HoldingBarceloneta, PR
  • Provide regulatory guidance for product development teams regarding specific submission requirements early in the new product development process.
  • Research and work with multiple business units to determine product formulation/composition.
  • Provided background inspection support by retrieving FDA requested document from the Global Product Regulatory System (GPRS).
  • Multitasked, participating in FDA teleconferences for various projects and maneuvering from team to team to perform regulatory-related tasks.
Regulatory Affairs Associate2012 - 2017
AbbottBarceloneta, PR
  • Identified an incomplete regulatory review type assignment issue in new change control system.
  • Analyze applicable labeling regulations and standards as interpreted by departmental or site procedures and apply them to products.
  • Maintained existing approvals with timely and accurate reporting to FDA prepared under supervision.
  • Coordinated, assembled, and shipped regulatory submissions.
  • Supported overseas affiliates with regulatory submissions.
  • Train new employee on CCT's process and procedures for INDs tracking.
Education
Bachelor's Degree of Business2004 - 2007
Northeastern UniversityBoston, MA
 
 
Heather Rivera
Compliance Analyst
Fort Worth, TX
(310) 555-0732
hrivera@example.com
Experience
Compliance Analyst2011 - Present
Bank of AmericaFort Worth, TX
  • Audit & Test against banks and compliance procedures on purchase and refinance Gov't and Conventional Home Loans.
  • Investigated legal and compliance issues to implement the most effective change from those findings.
Operations Analyst2010 - 2011
Cardinal HealthColumbus, OH
  • Provided end-user support (Level 2) for the financial systems.
  • Escalate / report the repair of Wintel, AS/400, and Unix servers.
  • Analyzed financial statements to identify reporting problems and discover solutions to resolve discrepancies.
Production Analyst2004 - 2010
JPMorgan ChaseColumbus, OH
  • Participate in defect and issue resolution during QA and UAT testing cycles.
  • Used FTP to transfer the files between UNIX and Windows.
  • Completed firm-standard and/or ad-hoc analytics reports to evaluate client portfolios, at both bond and portfolio level.
  • Analyze financial statements and make recommendations to EVP.
  • Research clients using Lexis/Nexis, Dow Jones, Google and internet searches.
Skills
Operational EfficiencyProceduresUnixSdlcJCLEthicsCicsCustomer ServiceRegulatory AgenciesManagement System
Education
Bachelor's Degree In Business1996 - 1999
Ohio State UniversityColumbus, OH
 
 
Evelyn Perry
Compliance Analyst
Employment History
Compliance Analyst2019 - Present
IBMArmonk, NY
  • Increased ROI by $12M annually by identifying potential risks; recommended solutions to maintain compliance.
  • Generated reports using SAS, Excel and provided insights to management for efficient decision making.
  • Scheduled and performed risk assessments to identify and mitigate program costs and milestone risks.
Data Analyst2013 - 2019
Science Applications International ...San Diego, CA
  • Developed custom reporting solutions including standard reports and dashboards in Oracle EPM/Hyperion to support data needs for decision-making.
  • Trained the PMO and partners remotely.
Logistics Coordinator2012 - 2013
Science Applications International ...San Diego, CA
  • Received and posted 400+ line items while maintaining excellent logistics operations for a new program added onto the current program.
  • Work with the MRAP (M-ATV) Joint Logistics Integrator (JLI) to ensure OCONUS IUID planning is executed.
  • Processed purchase orders and daily receipts.
  • Integrated product Support (IPS), mission-oriented logistics support and reimbursable IPS matrix.
  • Analyze and develop logistics documents while identifying and conducting inventories.
  • Received and forwarded all Aircraft on the ground requests per AOC standard operating procedures.
Education
Bachelor's Degree In Business2004 - 2007
Ashford UniversitySan Diego, CA
 
 
Contact Information
Armonk, NY
(940) 555-0248
eperry@example.com
Skills
Order Processing
Physical Inventory
Delivery Appointments
BOL
Risk Assessments
Procedures
Functional Areas
Communication
Anti-Money Laundering
Visio
 
 
Arthur Johnson
Compliance Analyst
Jacksonville, FL
(940) 555-6838
ajohnson@example.com
Skills
Financial StatementsACHOversightCompliance ProgramCommunicationSales GoalsLarge VolumeSales FloorAppleUnix
 
 
Employment History
Compliance Analyst2018 - Present
CitiJacksonville, FL
  • Developed corporate wide policies and local procedures around Access Management, Change Management and Logging & Monitoring.
  • Reengineered processes to enhance efficiencies in procedures.
  • Review on New Business KYC profiles, across multiple business lines, ensuring AML Regulations and policies and procedures are maintained.
  • Managed the Compliance Management Systems (CMS) project for the Affluent High Segment (AHS) business.
Operations Specialist2013 - 2018
United States MarineBeaufort, SC
  • Performed utilization review in accordance with all state mandated regulations.
  • Transferred Legacy Library to new SharePoint website to update current storage program.
  • Used every day as an opportunity for me to turn another Apple Store visitor into a loyal Apple customer for life.
Funding Specialist2012 - 2013
Merck & Co.Main, PA
  • Demonstrated leadership through communication with extended team to develop and execute key strategies.
  • Managed center recourses, inventorying and ordering supplies for daily operations as well as for special events.
  • Adjusted customer accounts and reconciled general ledger monthly.
Education
Bachelor's Degree of Business2004 - 2007
Pennsylvania State UniversityMain, PA
 
 
Brenda Rice
Compliance Analyst
Contact Information
San Diego, CA
(210) 555-0184
brice@example.com
Skills
  • Compliance Procedures
  • Procedures
  • Personnel Files
  • Finra
  • Regulatory Submissions
  • Federal Agencies
  • Compliance Department
  • SAR
  • Ofac
  • Compliance Audits
 
 
Employment History
Compliance Analyst2011 - Present
HSBC North America Holdings
San Diego, CA
  • Identified corrective action and formulated solutions that minimized the impact of identified compliance issues.
  • Participate in performing due diligence and oversight of third party sub-advisers and their compliance programs.
  • Performed quality assurance reviews of anti-money laundering cases completed by investigators to assess whether procedures were adhered to.
  • Brief case with research findings in compliance with SEC/ OFAC Sanctions and HSBC in house policy and procedures.
Compliance Coordinator2006 - 2011
Sony Corporation of America
San Diego, CA
  • Program Development and Implementation - Led the implementation of compliance programs required by settlement agreements with governmental agencies.
  • Developed and implemented systems, policies and procedures for the identification, collection and analysis of risk related information.
  • Performed routine rounds within unit to ensure quality standards, safety and compliance standards were being met.
  • Manage the review, approval, and revision of procedures, specifications, and forms.
Compliance Assistant2005 - 2006
San Diego Gas & Electric
San Diego, CA
  • Emailed reviews and QC's to a central supervisor.
  • Provide input in development, revise as necessary and monitor implementation of Ethics and Integrity program policies.
  • Corresponded with outside counsel, NASD/CRD, and state securities administrators.
  • Assist the Audit Manager and Compliance Analyst with compliance audits and privacy investigations.
Education
Bachelor's Degree of Business2002 - 2005
Ashford University
San Diego, CA
 
 
Janet Johnson
Compliance Analyst
Contact Info
Barceloneta, PR
(320) 555-4372
jjohnson@example.com
Skills
Ethics
Product Development
Regulatory Agencies
Capa
Fincen
Federal Agencies
Risk Management
Clinical Trials
Special Projects
Regulatory Bodies
Employment History
Compliance Analyst2020 - Present
Pharma Services Intermediate HoldingBarceloneta, PR
  • Provided QA support to special projects (Product Re-branding, Line Decommissioning).
  • Created and assisted with revising current compliance policies, processes, procedures, and desk instructions for Compliance and Global Logistics.
  • Worked closely with internal business partners to develop methodologies to further enhance the workflow process.
  • Compose investigation summary and documentation to file Suspicious Activity Report (SAR) with FINCEN.
Regulatory Affairs Specialist2017 - 2020
Pharma Services Intermediate HoldingBarceloneta, PR
  • Provide regulatory guidance for product development teams regarding specific submission requirements early in the new product development process.
  • Research and work with multiple business units to determine product formulation/composition.
  • Provided background inspection support by retrieving FDA requested document from the Global Product Regulatory System (GPRS).
  • Multitasked, participating in FDA teleconferences for various projects and maneuvering from team to team to perform regulatory-related tasks.
Regulatory Affairs Associate2012 - 2017
AbbottBarceloneta, PR
  • Identified an incomplete regulatory review type assignment issue in new change control system.
  • Analyze applicable labeling regulations and standards as interpreted by departmental or site procedures and apply them to products.
  • Maintained existing approvals with timely and accurate reporting to FDA prepared under supervision.
  • Coordinated, assembled, and shipped regulatory submissions.
  • Supported overseas affiliates with regulatory submissions.
  • Train new employee on CCT's process and procedures for INDs tracking.
Education
Bachelor's Degree of Business2004 - 2007
Northeastern UniversityBoston, MA
 

What Should Be Included In A Compliance Analyst Resume

1

1. Add Contact Information To Your Compliance Analyst Resume

Your name should be the biggest text on the page and be at or near the top of the document.

Your address doesn't need to include your street name or house number - listing your city and state works just fine.

Your email address should be professional, but not your current work email address. It's not a good look to use your work email for personal projects (job-searching).

Your social media can be included if you have a fully-fledged LinkedIn page or another social media page that showcases your relevant skill set.

Compliance Analyst Resume Contact Information Example #1
DHRUV JOHNSON
d.johnson@email.com | 333-111-2222 | www.linkedin.com/in/dhruv-johnson

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2

2. Add Your Relevant Education To The Resume

Your resume's education section should include:

  • The name of your school
  • The date you graduated (Month, Year or Year are both appropriate)
  • The name of your degree
If you graduated more than 15 years ago, you should consider dropping your graduation date to avoid age discrimination.

Optional subsections for your education section include:

  • Academic awards (Dean's List, Latin honors, etc. )
  • GPA (if you're a recent graduate and your GPA was 3.5+)
  • Extra certifications
  • Academic projects (thesis, dissertation, etc.)

Other tips to consider when writing your education section include:

  • If you're a recent graduate, you might opt to place your education section above your experience section
  • The more work experience you get, the shorter your education section should be
  • List your education in reverse chronological order, with your most recent and high-ranking degrees first
  • If you haven't graduated yet, you can include "Expected graduation date" to the entry for that school

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Compliance Analyst Resume Relevant Education Example #1
Bachelor's Degree In Business 2014 - 2016
Ashford University San Diego, CA
Compliance Analyst Resume Relevant Education Example #2
Bachelor's Degree In Business 2014 - 2016
Northeastern University Boston, MA
3

3. Next, Create A Compliance Analyst Skills Section On Your Resume

Your resume's skills section should include the most important keywords from the job description, as long as you actually have those skills. If you haven't started your job search yet, you can look over resumes to get an idea of what skills are the most important.

Here are some tips to keep in mind when writing your resume's skills section:

  • Include 6-12 skills, in bullet point form
  • List mostly hard skills; soft skills are hard to test
  • Emphasize the skills that are most important for the job
Hard skills are generally more important to hiring managers because they relate to on-the-job knowledge and specific experience with a certain technology or process.

Soft skills are also valuable, as they're highly transferable and make you a great person to work alongside, but they're impossible to prove on a resume.

Top Skills for a Compliance Analyst
Source: Zippia.com
Not sure which skills are really important?
3 Big Tips For Listing Skills On Your Resume
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4

4. List Your Compliance Analyst Experience

The most important part of any resume is the experience section. Recruiters and hiring managers expect to see your experience listed in reverse chronological order, meaning that you should begin with your most recent experience and then work backwards.

Don't just list your job duties below each job entry. Instead, make sure most of your bullet points discuss impressive achievements from your past positions. Whenever you can, use numbers to contextualize your accomplishments for the hiring manager reading your resume.

It's okay if you can't include exact percentages or dollar figures. There's a big difference even between saying "Managed a team of engineers" and "Managed a team of 6 engineers over a 9-month project."

Most importantly, make sure that the experience you include is relevant to the job you're applying for. Use the job description to ensure that each bullet point on your resume is appropriate and helpful.


Work History Example # 1
Junior Accountant
Robert Half International
  • Performed various accounting contracted assignments with various companies throughout Northern Colorado.
  • Prepared monthly Accounting financial reports and banking reconciliations.
  • Designed and documented internal control procedures for testing in accordance to Sarbanes-Oxley requirements.
  • Processed and received payroll reports and calculated overtime.
  • Processed payroll in ADP as well as prepared PR entries for approximately 550 employees.

Work History Example # 2
Credit Analyst
Air Liquide
  • Developed SQL and PL/SQL scripts/procedures and worked with either Oracle, SQL Server or DB2 databases.
  • Reduced DSO from 52 to 33 days by reconciling over 212 accounts that had items dating back as far as 1995.
  • Reduced DSO (Day Sales Outstanding) from 55 days to 35 days.
  • Researched through Dun & Bradstreet database and acquired confidential credit reports.
  • Authored and revised corporate operating procedures resulting in the definition and clarification of corporate policy.

Work History Example # 3
Operations Specialist
The Walt Disney Company
  • Managed the weekly communication process to the Field while providing comprehensive written communication.
  • Tracked hardware and ensured proper maintenance and repairs for District Manager and Regional Director equipment.
  • Monitored and assisted with communication lines for athletic department regarding game updates, operational necessities and security issues.
  • Collaborated with other Project Managers to integrate procedures from other support groups under Voice Operations

Work History Example # 4
Compliance Analyst
Citi
  • Supervised the RCSA testing unit to gather and test monthly samples for m portfolios.
  • Promoted to an oversight role that conducted Quality Control reviews of AML investigations to ensure robust regulatory compliance.
  • Implemented processes and procedures to ensure compliance with Sarbanes-Oxley (SOX) and Anti-Money Laundering (AML) regulations.
  • Provided weekly and quarterly Registration reports of all Registered Representatives and Supervisory Principals activities using Access.
  • Established compliance testing written procedures and dashboard reporting covering AML areas of responsibility.

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5

5. Highlight Your Compliance Analyst Certifications On Resume

Certifications can be a powerful tool to show employers that you know your stuff. If you have any of these certifications, make sure to put them on your compliance analyst resume:

  1. Chartered Financial Analyst (CFA)
  2. Project Management Professional (PMP)
  3. Certified Information Systems Auditor (CISA)
  4. Healthcare Research Compliance Certification (CHRC)
  5. Registered Health Information Technician (RHIT)
  6. Certified Professional, Life and Health Insurance Program (CPLHI)

6

6. Finally, Add A Summary Or Objective Statement

A resume summary statement is a 1-3 sentence spiel at the top of your resume that quickly summarizes who you are and what you have to offer. In this section, include your job title, years of experience (if it's 3+), and an impressive accomplishment, if you have space for it.

Remember to address skills and experiences that are emphasized in the job description.

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Updated October 6, 2021