Compliance Examiner

Writing a great compliance examiner resume is important because it is one of the first things a potential employer will see when they are considering you for a position. It is your opportunity to make a good first impression and sell yourself as the best candidate for the job.

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If you're looking for inspiration when it comes to drafting your own compliance examiner resume, look no further than the samples below. These resumes will help you highlight your experience and qualifications in the most effective way possible, giving you the best chance of landing the compliance examiner job you're after.

Resume samples

Annie Ahlberg

annie.ahlberg@gmail.com | (442) 816-4044 | Jackson, MS

Summary


I am a highly experienced compliance examiner with over 4 years experience in the industry. I have gained invaluable skills and knowledge during my time working in this field, and I am confident that I can provide an excellent level of service to any organisation. My main strengths lie in my ability to identify potential risks and problems, as well as implementing effective solutions to mitigate these risks. In addition, I have also developed strong communication and interpersonal skills which allow me to build positive relationships with clients and colleagues alike.

Experience


Senior Compliance Examiner at Department of Banking and Consumer Finance, MSMar 2022 - Present

  • Led a team of 4 compliance examiners in conducting annual exams for 10 large banks.
  • Coordinated with other regulatory agencies on 14 cross-agency examinations.
  • Wrote 15 supervisory letters to banks detailing areas of improvement identified during examinations.
  • Trained 5 new compliance examiners on examination procedures and methods.
  • Reviewed and updated departmental policies and procedures related to compliance examinations.

Compliance Examiner at Mississippi Insurance Department, MSAug 2018 - Mar 2022

  • Reviewed and analyzed over 100 compliance reports for accuracy and completeness.
  • Investigated 10 potential instances of non-compliance, resulting in 4 formal sanctions.
  • Trained 5 new employees on the company's compliance procedures.
  • Updated the departmental compliance manual to reflect changes in regulation.
  • Assisted in revising the employee code of conduct.

Education


Bachelor of Science in Accounting at Mississippi State UniversityAug 2013 - May 2018

Some skills I've learned are critical thinking, problem solving, and working with numbers and financial reports.

Skills


  • Compliance
  • Financial Regulations
  • Banking Regulations
  • Auditing
  • Risk Management
  • Investigation Skills
  • Analytical Skills

Marla Fernlund

marla.fernlund@gmail.com | (164) 567-2553 | San Antonio, TX

Summary


I am a compliance examiner with over 4 years of experience in the field. I have worked for both small and large organizations, and have gained a wealth of knowledge in the area of compliance. I am well-versed in all aspects of compliance, including regulations, policies, procedures, and best practices. In addition to my work experience, I also hold a degree in business administration from XYZ University. My education and work experience have made me an expert in the field of compliance examination, and I am confident that I can provide value to any organization.

Experience


Senior Compliance Examiner at State of Texas, TXApr 2022 - Present

  • Led a team of 5 compliance examiners in conducting annual examinations of 100 broker-dealers, resulting in finding and correcting $2.5 million in non-compliance issues.
  • Successfully completed 50% more exams than required by management during the year.
  • Authored 10 examination reports that were accepted without revision by senior management.
  • Trained 2 new compliance examiner staff members on proper procedures and methods for conducting examinations.

Compliance Examiner at Texas Department of Insurance, TXAug 2018 - Mar 2022

  • Successfully completed 100% of assigned examinations on time while maintaining a 95% quality score as measured by supervisor review.
  • Conducted fieldwork at 20 different financial institutions, resulting in the completion of 150 compliance reviews.
  • Identified $2 million in potential regulatory violations and helped develop corrective action plans to resolve those issues.
  • Successfully negotiated settlements with 2 different companies that resulted in the payment of fines totaling $1.5 million.
  • Worked closely with law enforcement on 3 separate occasions which led to indictments against company executives for fraud and embezzlement.
  • Authored 5 articles published in industry-leading compliance journals detailing new approaches to examining for specific types of risk.

Education


Bachelor of Science in Accounting at The University of Texas at DallasAug 2014 - May 2018

Some skills I've learned are bookkeeping, preparing financial statements, and tax accounting.

Skills


  • Compliance
  • Regulations
  • Policies
  • Procedures
  • Financial Reporting
  • Auditing
  • Compliance Examiner technical skills.