Compliance Officer Resume Sample

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Compliance officer with eleven years in financial-services compliance in Manchester, the last six owning the compliance function for a mid-sized firm. Keeps the business compliant with FCA regulation, AML and conduct rules — monitoring, advising the business, managing the compliance framework, and handling the regulator. Built a risk-based monitoring programme that strengthened oversight and stood up well to an FCA review. Manages policies, training, financial-crime controls, and the suspicious-activity and reporting process, and advises management on regulatory risk and change. Strong on the detail of the rules and on translating them into something the business can actually follow. Firm but pragmatic, and trusted to give straight advice. Looking for a compliance-officer or compliance-manager role with a regulated firm that takes its obligations seriously.

Work Experience

Manchester Financial Services - Manchester, UK

Compliance Officer April 2016 to Present 10 years & 3 months

Own the compliance function, keeping the firm compliant with the FCA, AML and conduct rules.
Built a risk-based monitoring programme that strengthened oversight and stood up to an FCA review.
Advise both the business and the senior management on regulatory risk, on change and on conduct.
Manage all the policies, the compliance training and the financial-crime controls right across the firm.
Handle all of the suspicious-activity, the reporting and all the regulator-liaison work across the firm.
Translate the complex regulation into clear, practical guidance that the whole business can actually follow.