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Compliance manager skills for your resume and career

Updated January 8, 2025
6 min read
Compliance manager example skills
Below we've compiled a list of the most critical compliance manager skills. We ranked the top skills for compliance managers based on the percentage of resumes they appeared on. For example, 8.9% of compliance manager resumes contained oversight as a skill. Continue reading to find out what skills a compliance manager needs to be successful in the workplace.

15 compliance manager skills for your resume and career

1. Oversight

Having oversight of someone means to monitor a process or a situation. If someone has oversight of something, they are responsible for the completion of the project. Oversight is usually given to experts as they monitor their juniors or newbies as they go through a project.

Here's how compliance managers use oversight:
  • Performed monitoring and oversight for compliance with applicable regulatory, client-imposed and policy restrictions for the Bank's registered investment adviser.
  • Provided trend analysis and generated relevant tools that enabled compliance oversight, internal controls and prevention strategies, including compliance education.

2. Ethics

Ethics is a branch of knowledge that involves recommending, defending, and systemizing aspects of right and wrong behavior.

Here's how compliance managers use ethics:
  • Investigated privacy and security incidents and ethics complaints and recommended corrective action plans mitigation efforts.
  • Managed Ethics helpline complaint follow-up calls to reporters to ensure effectiveness of corrective actions.

3. Risk Management

Risk management is the method of recognizing, evaluating, and managing risks to an organization's resources and profits. Financial insecurity, regulatory liability, strategic management mistakes, incidents, and natural hazards are just some of the challenges or dangers that could arise. For digitalized businesses, IT security vulnerabilities and data-related threats, as well as risk management techniques to mitigate them, have become top priorities.

Here's how compliance managers use risk management:
  • Identified individuals within the organization to participate in the fraud risk management workshop to assist with identifying risk scenarios.
  • Improved performance and risk operations with innovation and introduction of risk management framework within Business Process Management initiative.

4. Compliance Program

A Compliance Program is a collection of rules, policies, and processes which are found within a company, business, organization, or some other form of an institution, all of which are created and followed with the main purpose of compliance with the laws, rules, and regulations of a country or of an industry, or to otherwise uphold some idea or reputation and quality of a company and its work. It is also known as the compliance and ethics program of a company.

Here's how compliance managers use compliance program:
  • Directed and executed SOX compliance program through continuous collaboration with business unit and external auditor leads as well as senior executives.
  • Developed and managed regulatory compliance program to ensure both product and corporate compliance with US and international standards.

5. Regulatory Compliance

Here's how compliance managers use regulatory compliance:
  • Lead management during targeted regulatory compliance examinations
  • Reviewed and implemented new laws and regulations, and new departmental policies and procedures for regulatory compliance, content and applicability.

6. Risk Assessments

The process of analyzing and identifying the acts or events that have the potential to negatively affect an individual, asset, or business is called risk assessment. Risk assessments are important because they form an integral part of an organization as well as occupational safety plans

Here's how compliance managers use risk assessments:
  • Perform periodic compliance testing and risk assessments to evaluate effectiveness and determine areas of weakness in current procedures.
  • Communicated the results of testing, monitoring and risk assessments to senior management and business unit management.

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7. Compliance Issues

Compliance issues are where people or businesses breach their legal obligations in a country or region where they operate or live. Some of the compliance issues that businesses face may be in regard to wage and overtime regulations and IRS audits. They may result in legal recourse by stakeholders like employees.

Here's how compliance managers use compliance issues:
  • Employed various software applications and desktop tools to consolidate reported data and analyzed information to detect potential compliance issues and concerns.
  • Worked closely with senior management to resolve legal and compliance issues regarding product development, sales/marketing strategies and software features.

8. Customer Service

Customer service is the process of offering assistance to all the current and potential customers -- answering questions, fixing problems, and providing excellent service. The main goal of customer service is to build a strong relationship with the customers so that they keep coming back for more business.

Here's how compliance managers use customer service:
  • Supervised compliance and tax personnel, cross-trained customer service database management while maintaining Code of Federal Regulations and US CPSA requirements.
  • Devised prospecting and selling techniques and a systematic approach for customer service that included annual reviews; delivered high-impact sales seminars.

9. Internal Audit

Internal audit is an evaluation process that ensures that a company's risk management, governing body, and other internal processes are running effectively. People who perform internal audits must be highly qualified, have experience, and knowledge to work accordingly with the international standards and the code of ethics.

Here's how compliance managers use internal audit:
  • Managed preparation and delivery of cross-enterprise business practice and claims adjudication materials to Arizona Department of Insurance and Internal Audit.
  • Scheduled and conducted series of 14 various Internal Audits and coordinated semiannual Management Review meetings to maintain ISO 9001:2008 certification/registration.

10. Strong Analytical

Here's how compliance managers use strong analytical:
  • Utilize strong analytical and critical thinking skills in overseeing the regional contracts and fraud and abuse program.
  • Used strong analytical and written skills to product month end performance reports for senior management.

11. Internal Controls

Here's how compliance managers use internal controls:
  • Assisted in-house counsel and outside counsel with voluntary disclosures, developed import/export strategies, and established internal controls to ensure compliance.
  • Managed high-level planning and implementation of the Corporate Internal Controls Review project in transforming the organization to a Sarbanes-Oxley compliant company.

12. Gap Analysis

Here's how compliance managers use gap analysis:
  • Performed gap analysis, revised the procedures manual; initiated and directed semi-annual maintenance review.
  • Worked with QA Compliance Audit group to assist with Regulatory Inspections and performed gap analysis based on audit findings.

13. Management System

A management system is a set of policies, processes, and procedures taken by an organization or a business to ensure it can fulfill its tasks and achieve its objectives. A management system makes sure that the company excels financially and improves the user experience. The management system also takes care of the worker's and employees' needs and manages their workload and oversees their performance. Apart from interior matters of the company, a management system also deals with exterior matters like legislations, tax matters, and law issues.

Here's how compliance managers use management system:
  • Plan, develop and implement new internal Management System Audit process to measure compliance with and effectiveness of company-wide management system.
  • Continued development and execution of safety audit program; Lead effort to design incident investigation system (Safety Management System).

14. Patients

Here's how compliance managers use patients:
  • Ensured department obtained all necessary follow up documentation from physicians to finalize coverage of patients sleep therapy equipment.
  • Provided physician education of coding in maximizing reimbursement of services provided to the patients.

15. Regulatory Agencies

A regulatory agency is a Public Benefit Corporation (PBC) that is responsible for supervising certain human activities and controlling them to some extent. They are set up in some areas such as hospitals, law firms, and governmental setup to regulate safety standards. They prevent undue and unjust abuse of power in these setups.

Here's how compliance managers use regulatory agencies:
  • Prepared company's billing system to comply with Medicare and Medicaid insurances compliance reports in alignment with various regulatory agencies.
  • Filed discount medical plan, telemarketing, and certificate of authority to transact business registrations with appropriate state regulatory agencies.
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List of compliance manager skills to add to your resume

Compliance manager skills

The most important skills for a compliance manager resume and required skills for a compliance manager to have include:

  • Oversight
  • Ethics
  • Risk Management
  • Compliance Program
  • Regulatory Compliance
  • Risk Assessments
  • Compliance Issues
  • Customer Service
  • Internal Audit
  • Strong Analytical
  • Internal Controls
  • Gap Analysis
  • Management System
  • Patients
  • Regulatory Agencies
  • Corrective Action
  • HIPAA
  • Direct Reports
  • Process Improvement
  • Medicare
  • Excellent Organizational
  • Business Processes
  • Compliance Policies
  • ISO
  • AML
  • HR
  • SOX
  • SharePoint
  • FDA
  • Due Diligence
  • Compliance Audits
  • Compliance Training
  • OSHA
  • Medicaid
  • Training Programs
  • Federal Laws
  • Good Judgment
  • Government Regulations
  • Regulatory Risk
  • BSA
  • Government Agencies
  • Federal Regulations
  • State Laws
  • CMS
  • Litigation
  • Client Facing
  • Audit Findings
  • OFAC

Updated January 8, 2025

Zippia Research Team
Zippia Team

Editorial Staff

The Zippia Research Team has spent countless hours reviewing resumes, job postings, and government data to determine what goes into getting a job in each phase of life. Professional writers and data scientists comprise the Zippia Research Team.

Updated January 8, 2025

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