compliance officer resume example with 11+ years of experience

(555) 432-1000,
, , 100 Montgomery St. 10th Floor

Reliable Manager demonstrating high level of ownership and initiative. Possessing exceptional work ethic and desire to go above and beyond to exceed company expectations. Offering knack for building productive working relationships. Successful in fast-paced, deadline-driven environments to manage goals and team development. Motivational leader and organizational problem-solver with advanced supervisory, team building and customer service skills. Focused on using training, monitoring and morale-building techniques to maximize employee engagement and performance. Results-oriented Assistant Branch Manager with extensive experience developing high net worth client relationships and referral networks. Top-performer with track record of consistently meeting or exceeding sales goals. Talented at educating customers on banking services and products and recommending best options to meet long- and short-term needs.

  • Coaching skills
  • Prospecting skills
  • Report generation
  • Sales expertise
  • Product management
  • Leadership
  • Training & Development
  • Profit and Loss Reporting
  • Team Building Leadership
  • Decision Making
  • Expense Reporting
  • Staff Recruitment and Hiring
  • Team Development
  • Revenue Generation
  • Employee Scheduling
Education and Training
Bole High School Ethiopia Addis Ababa, Expected in High School Diploma : - GPA :
Resala Technology River-dale Park, Expected in 2021 No Degree : Sharepoint Microsoft 360 - GPA :
Cape Cod Five Cents Savings - Compliance Officer
Plymouth, MA, 11/2021 - Current
  • Implemented improvement initiatives and developed compliance test
  • Managed practical action plans to respond to audit discoveries and compliance violations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Investigated and documented all violations of compliance regulations to determine necessary improvements.
  • Identified, investigated and documented compliance violations and recommended corrective measures.
  • Developed and maintained compliance database, tracking all compliance activities and documents.
  • Monitored and assessed compliance risks associated with operational processes and procedures.
  • Prepared and submitted regulatory filings in timely manner.
  • Maintained up-to-date knowledge of current and emerging compliance regulations.
  • Took notes on field examinations and specific case details, updated databases and produced reports outlining results of investigations.
Independent Bank Corporation - Assistant Bank Manager
Eaton Rapids, MI, 05/2017 - 04/2021
  • Executed over 50 outbound calls each week to existing customers, resulting in 28% increase in sales.
  • Exceeded company sales goal with over $320,000 in sales in a 1 year period time.
  • Pursued over 350 new accounts in 2 years period through lead generation, cold calling and advertising referrals.
  • Helped customers find specific products, answered questions and offered product advice.
  • Built and maintained relationships with peers and upper management to drive team success.
  • Suggested products and services to match customers' stated needs and preferences.
  • Assisted with complex transactions using overrides and functions requiring additional authorization levels.
  • Observed, coached and developed bankers in support of reaching performance objectives.
  • Represented bank to community through good customer relations.
  • Collaborated with bank manager and teller supervisor on scheduling, hiring decisions and monthly audits.
  • Assisted customers with banking transactions, identified and serviced customer needs and resolved issues.
  • Interviewed and hired talented individuals with -level strengths, improving organizational talent, and skill set with my Manager.
  • Completed filings and upheld strict compliance with regulatory agencies and supervisors.
  • Assessed employee performance and developed improvement plans.
  • Examined customer loan applications for loan approvals and denials.
  • Identified partnership opportunities and established favorable business connections.
  • Maintained confidentiality of bank records and client information to prevent mishandling of data and potential breaches.
  • Compiled database of loan applicants' credit histories, financial statements and other financial information.
  • Forecasted trends and recommended improvements based on financial risk analyses.
  • Maintained scheduling for main branch to keep shifts appropriately staffed.
  • Reviewed historical records, current operational data and forecasting information to identify and capitalize on system enhancement opportunities.
  • Analyzed business processes to identify cost savings and operational efficiencies.
Country Club Bank - Relationship Banker
Kansas City, KS, 02/2011 - 05/2017
  • Increased daily sales by 5% by upselling banking products and financial services to customers.
  • Worked with clients to address and respond to client and partnership management issues.
  • Continually boosted branch production and revenue by 11% by consistently meeting all monthly and quarterly sales goals.
  • Processed customer requests for statements, ordering additional checks, and updating customer personal information in database.
  • Answered customer questions and explained available services such as deposit accounts, bonds, and securities.
  • Developed summaries to assess each client's participation level and determine targets for follow-up plans.
  • Adapted products and services to suit customers' changing financial circumstances.
  • Maintained in-depth product and service knowledge for well-informed customer advice.
  • Engaged departments in customer satisfaction initiatives to uplift service ratings.
  • Analyzed customers' financial information to deliver personalized account guidance.
  • Assisted customers with completing required forms for opening and closing bank accounts.
  • Facilitated customer transactions, including deposits, withdrawals and transfers.
  • Awarded “Pacesetter Award” for exceeding our branch sales goal on the forth quarter.
  • Achieved quarterly audit of LMS by completing 100 % with accuracy and efficiency.
  • Collaborated with team 13 in the development of Be Legendary .
  • Supervised team of 13 staff members.
  • Documented and resolved 3 employee which led to corrective actions.
  • Achieved through quarterly operation audits effectively helping with average 98% score and passing branch survey became 4 in the region
  • Used Microsoft Excel to develop inventory tracking spreadsheets.
  • Resolved product issue through consumer testing.

By clicking Customize This Resume, you agree to our Terms of Use and Privacy Policy

Your data is safe with us

Any information uploaded, such as a resume, or input by the user is owned solely by the user, not LiveCareer. For further information, please visit our Terms of Use.

Resume Overview

School Attended

  • Bole High School
  • Resala Technology

Job Titles Held:

  • Compliance Officer
  • Assistant Bank Manager
  • Relationship Banker


  • High School Diploma
  • No Degree

By clicking Customize This Resume, you agree to our Terms of Use and Privacy Policy

*As seen in:As seen in: