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Finance compliance officer skills for your resume and career

Updated January 8, 2025
4 min read
Below we've compiled a list of the most critical finance compliance officer skills. We ranked the top skills for finance compliance officers based on the percentage of resumes they appeared on. For example, 16.9% of finance compliance officer resumes contained aml as a skill. Continue reading to find out what skills a finance compliance officer needs to be successful in the workplace.

15 finance compliance officer skills for your resume and career

1. AML

AML refers to the rules and systems set up by governments, financial institutions, or organizations to prevent fraudulent economic activities.

Here's how finance compliance officers use aml:
  • Insured institutional compliance with US Patriot Act, BSA, AML and OFAC.
  • Ensured acquiescence with compliance standards and regulatory requirements Developed and implemented Business Continuity, Continuing Education and AML procedures.

2. BSA

Here's how finance compliance officers use bsa:
  • Oversee and monitor activities of the BSA Managers to ensure timely and effective performance of all responsibilities allocated under this Program.
  • Performed Q&A on (AML) comments for accuracy and relevance entered by 6 BSA Analysts.

3. Transaction Monitoring

Here's how finance compliance officers use transaction monitoring:
  • Review, analysis and investigations of AML transaction monitoring alerts and other sources of potential suspicious activity.
  • Conduct investigations and provide appropriate reports in response to transaction monitoring and reporting team or regionally identified risks.

4. OFAC

Here's how finance compliance officers use ofac:
  • Updated, maintained and distributed OFAC SDN List updates to Compliance Managers on a timely basis.
  • Controlled and met and exceeded for controlling OFAC files as per Federal guidelines.

5. Financial Services

Financial services are economic services that are offered by the finance sector, which includes banks, financial institutes credit-card agencies, insurance companies, accountancy firms, and others that handles assets. Organizations in the financial services sector are concerned with money and risk management.

Here's how finance compliance officers use financial services:
  • Achieved Patient Financial Services cash collection goals each year from 2012 - 2014 for both facilities.

6. 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 finance compliance officers use risk management:
  • Implemented risk management procedures, internal control monitoring and compliance program.
  • Oversee risk management, investor relations and financial operations.

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7. Anti-Money Laundering

Anti-Money Laundering or, as it is often shortened to, AML is the name of a set of laws, regulations, and similar rules and rulings which are crafted and applied with the goal of preventing people from engaging in and successfully doing money laundering.

Here's how finance compliance officers use anti-money laundering:
  • Research, analyze and investigate customer account behavior for potential Anti-Money Laundering (AML)-related suspicious activity.
  • Research and document moderately complex cases potentially Anti-Money Laundering related activity and make recommendations for Suspicious Activity Reporting.

8. KYC

Here's how finance compliance officers use kyc:
  • Evaluate company's KYC (know your customer) and PEP (politically exposed person) screening tools and recommend/implement improvements.
  • Collaborated with Data Services Group to review KYC documents as well as Relationship Summaries completed by UBS Officers.

9. 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 finance compliance officers use compliance issues:
  • Involved in Validation Change Control, Validation Exception reporting and resolution to validation compliance issues related to laboratory and manufacturing compliance.
  • Analyzed audit results to identify common violations and developed region specific training and communication to address compliance issues.

10. Compliance Policies

Compliance policies refer to the set of standard procedures and policies that staff or clients must adhere to within the company premises or services.

Here's how finance compliance officers use compliance policies:
  • Implemented and enforced Broker/Dealer compliance policies and procedures.
  • Implemented compliance policies, back office systems and reporting.

11. Law Enforcement

Law enforcement is the task of certain members of the community who work together to uphold the law by identifying, preventing, rehabilitating, or prosecuting others who break society's laws and norms. The phrase refers to the police, the judiciary, and the correctional system.

Here's how finance compliance officers use law enforcement:
  • Serve as company liaison to law enforcement, including preparing and filing suspicious activity reports.
  • Managed the firms global sanctions compliance program meeting the requirements of various stakeholders, global sanctions and law enforcement regimes.

12. Internal Procedures

Here's how finance compliance officers use internal procedures:
  • Develop and implement internal procedures including a written Compliance manual, Code of Ethics and employee related trading and expense policies.
  • Review and monitored internal procedures and practices to provide compliance with group and regulatory requirements Introduced new processes that immediately increased efficiencies..

13. SAR

SAR is a measure of the rate of radiofrequency energy is absorbed per unit mass by a human body from the source being measured. This provides a simple way of measuring the RF exposure of cell phones to confirm if they are within the safety regulations set by the FCC. SSAR is averaged either over the entire body, or a little sample volume that is 1 g/10 g of tissue.

Here's how finance compliance officers use sar:
  • Worked 314b information request cases, evaluated cases for SAR/no SAR filing.
  • Implemented rule-based SAR parameters for the detection of possible suspicious activity in wire transmission.

14. Compliance Risk

Here's how finance compliance officers use compliance risk:
  • Promoted organizational stewardship and oversight through the development and deployment of effective internal controls in known areas of compliance risk.
  • Conduct Compliance Program impact/gap assessment analysis for internal/external compliance risk factors.

15. Securities

Here's how finance compliance officers use securities:
  • Reviewed and approved financial and non-financial disclosures to ensure compliance with federal securities regulations and FINRA rules and regulations.
  • Conduct the Principal review and approval of new business items and subsequent securities transactions and monitor for sales practice violations.
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List of finance compliance officer skills to add to your resume

Finance compliance officer skills

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

  • AML
  • BSA
  • Transaction Monitoring
  • OFAC
  • Financial Services
  • Risk Management
  • Anti-Money Laundering
  • KYC
  • Compliance Issues
  • Compliance Policies
  • Law Enforcement
  • Internal Procedures
  • SAR
  • Compliance Risk
  • Securities
  • Compliance Audits
  • Payroll
  • Compliance Training
  • Financial Compliance
  • Financial Reports
  • Financial Data
  • Internal Audit
  • Identify Risks
  • Financial Management
  • Corporate Compliance
  • Ethics
  • Compliance Reports
  • Journal Entries
  • Financial Analysis
  • Human Resources
  • Internal Controls
  • FinCEN
  • Medicaid
  • Advisory Boards
  • Financial Operations
  • HIPAA
  • Federal Regulations
  • Federal Laws
  • Direct Reports
  • Capital Budgets
  • CMS
  • NASD
  • QuickBooks

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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