COMPLIANCE OFFICER SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Updated: Jan 01, 2025 - The Compliance Officer role is defined by deep expertise in consumer lending laws and regulatory requirements, ensuring all practices align with legislative standards. The position demands not only a profound understanding of data protection and insurance regulations but also a skilled application of Condusef requirements within the financial services sector. The role requires exceptional communication, managerial skills, and integrity, emphasizing discretion and respect for confidentiality in all operations.

Essential Hard and Soft Skills for a Standout Compliance Officer Resume
  • Regulatory Compliance
  • Legal Analysis
  • Risk Assessment
  • Data Protection
  • Financial Reporting
  • Consumer Lending Laws
  • Audit Techniques
  • Policy Development
  • Knowledge of RSPA and TRID
  • Condusef Regulations.
  • Analytical Thinking
  • Problem-Solving
  • Attention to Detail
  • Interpersonal Communication
  • Integrity
  • Discretion
  • Leadership
  • Adaptability
  • Conflict Resolution
  • Ethical Judgment.

Summary of Compliance Officer Knowledge and Qualifications on Resume

1. BA in Business Administration with 5 Years of Experience

  • Vast experience with digital-only banking environments including mobile-only or mobile first banking
  • Robust understanding of BSA, OFAC, including requirements for KYC, EDD and monitoring
  • Having and maintaining a full knowledge base of the applicable legislation, regulations and technical documents
  • Experienced Compliance Officer with CPD gained within the financial services sector
  • Experience of working in a regulated environment within the Financial Services sector
  • Experience in the insurance industry 
  • Knowledge of data protection legislation
  • Proven managerial and business experience gained at a Managerial level
  • Integrity, discretion, and respect for confidential information 
  • Experience in compliance with a concentration on lending compliance.
  • Experience with RSPA and/or TRID 
  • Requires advanced knowledge of consumer lending laws and regulatory requirements with a solid business understanding 
  • Exceptional verbal, written and interpersonal communication skills.
  • Strong knowledge of compliance audits, scoping, testing and report presentation.
  • Knowledge of Condusef requirements.

2. BA in Finance with 7 Years of Experience

  • Experience in a compliance officer role in an outpatient healthcare organization
  • Good knowledge of compliance requirements and procedures.
  • Brilliant oral and written communication skills.
  • Highly analytical with strong attention to detail.
  • Must be self-motivated, have strong interpersonal skills and want to work in an international environment.
  • Must feel comfortable working in a matrix organization consisting of attorneys, paralegals, compliance professionals, and business leaders.
  • Meaningful project management experience
  • Robust knowledge of consumer compliance regulations including Regulation B, Regulation E, Regulation DD, Regulation Z, and UDAAP
  • Knowledge in banking compliance with strong background in Payment Processing regulations
  • Skilled in implementing a robust compliance management system
  • Possess deep knowledge of the business line, including the business plan, products
  • Skilled with Microsoft Word, Excel, Outlook and associated software applications
  • Capacity to prioritize and work well under pressure and in a fast-paced environment
  • Capability to manage multiple projects and deadlines simultaneously in a fast-paced, high production, professional environment

3. BA in Accounting with 6 Years of Experience

  • Experience in a similar role in compliance, audit or internal control departments in the financial industry
  • General knowledge of the debt collection industry and debt management
  • Knowledge of legal requirements, standards and trends in the consumer finance industry
  • Experience in implementing procedures and control mechanisms related to compliance risk management
  • Very good interpersonal skills
  • High level of problem-solving skills and proactive search for solutions
  • Experience in using compliance risk indicators and reporting, conducting projects in the area of compliance
  • Experience in contacts and cooperation with regulators
  • English - fluent in speech and writing
  • Experience in the area of Medicare Fraud and Abuse, Sunshine Act and other laws and codes of conduct pertaining to interactions with health care professionals 
  • Experience interacting and contracting with hospitals and health systems and/or experience with class III or class III drug/device combo devices would be viewed favorably.
  • Experience in the image-guided therapies space is desirable.
  • Strong verbal, written, presentation and other communications skills
  • Strong Microsoft, SharePoint and Tableau skills wanted.

4. BA in Law with 5 Years of Experience

  • Able to connect the dots in a diverse landscape, good in details but able to shift to helicopter view.
  • Have either experience with analysis of data in the compliance field or in digitalisation of compliance.
  • Take the lead in solving issues and are self-starting
  • Experience with performing compliance incident investigations.
  • Experience within compliance controls and audits and working with regulatory entities
  • Experience with compliance
  • Experience within law is a merit
  • Proven experience in providing regulatory guidance and advice
  • Ability to work independently, although close together with team members, and has strong communication skills
  • Excellent written communication skills, with the ability to write comprehensive and detailed reports.
  • Knowledge of legal, compliance and regulatory issues affecting the insurance industry.
  • Strong attention to detail.
  • Strong organisational skills.
  • Proactive approach, with ability to work on own initiative.

5. BA in Economics with 4 Years of Experience

  • Knowledge and understanding of the BSA/AML/OFAC and state money transmitter specific regulatory requirements.
  • Knowledge and understanding of the risk management framework, BSA/AML/OFAC and compliance regulatory, legal, operational, and reputational risks.
  • General knowledge of eWallets, Prepaid Cards and Cross Border Remittance financial products
  • Experience in the development, implementation, and management of an effective BSA/AML/OFAC program for an entity operating as a licensed money transmitter
  • Certified Anti-Money Laundering Specialist (“CAMS”) designation
  • Familiarity with culture, economic corridor and speaking Mandarin 
  • Time-management, multi-tasking skills, accuracy, and attention to details.
  • Leadership and strong communication skills, teamwork oriented.
  • Strong work ethics such as honesty and integrity.
  • Working experience in compliance work with AFM and preferably familiar or knowledgeable about EU Benchmark Regulations
  • Experience in 1LoD or 2LoD (Risk Steward), focusing on non-financial risk management activities
  • Experience in writing policy documents based on legislations and Group policies
  • Proficient in spoken and written English.
  • Must have general insurance experience.

6. BA in Risk Management with 3 Years of Experience

  • Must have experience with Customs Clearance
  • Effective problem solving skills and decision making ability
  • A solid understanding of conduct regulation (ICOBs, FCA handbook etc.)
  • In depth knowledge of and experience in insurance
  • Knowledge of the retail insurance market would be an added bonus
  • Ability to combine “soft” influencing, persuasion and consultancy skills with an ability to encourage business leaders to positively respond to questions, requests and challenges
  • Excellent written and verbal communication skills, capable of working with people at all levels within and external to the business
  • A key eye for detail and perhaps most importantly - sound judgement 
  • Ability to solve problems and identify commercially viable solutions
  • Experienced gained in either a private equity / alternative investments or funds environment
  • Excellent understanding of Financial Crime risks and knowledge of KYC & AML requirements
  • Relevant experience dealing with Financial Promotions/Marketing
  • Ideally some knowledge of regulatory requirements in other jurisdictions ie Luxembourg
  • AIFMD/MIFID/FCA Handbook knowledge
  • Highly motivated, highly organised, strong work ethic.

7. BA in Information Systems with 4 Years of Experience

  • Analytical, reasoning and problem solving skills
  • Well developed management and organisational skills, able to work with teams across multiple business areas
  • Technical expertise in FINRA rules, SEC rules and regulations, and state rules and regulations applicable to broker-dealers
  • Institutional Sales and Wholesale broker-dealer compliance experience. 
  • Retail broker-dealer compliance experience and RIA compliance experience 
  • Ability to prioritize and manage numerous issues and projects while being responsive to all internal and external stakeholders.
  • Experience with investment products such as mutual/interval funds, fixed annuities and REITs
  • Strong interpersonal and client management skills, with an emphasis on teamwork, communication, solution-based issue resolution.
  • Management experience, with a demonstrated track record of building high-performance compliance teams
  • Strong academic credentials and superior writing and analytical skills
  • Experience of AEO Processes
  • Excellent time keeping
  • Able to write up informative and accurate reports
  • Proactive in researching and providing solutions

8. BA in Public Administration with 5 Years of Experience

  • Knowledge & experience with laws and regulations applicable to energy supply business
  • Relevant hands-on experience with monitoring and reporting compliance obligations to relevant stakeholders such as local regulators and preferably also other countries
  • Fluent in English. 
  • Ability to translate complex license conditions into clear and intelligible guidance for the business
  • Proactivity and ability to deliver results through independent work
  • Sharp analytical skills, focus on accuracy, good communication and presentation skills
  • Willing to work on a fast-paced environment and take more responsibilities as bluegreen expands
  • Strong time management and prioritization skills 
  • Knowledge of financial and business processes in the insurance industry
  • Knowledge of corporate governance principles and structures
  • Experience of working in the Financial Services regulatory environment in a role that involved ensuring compliance with relevant Belgian or EU regulatory requirements
  • Good market awareness and industry knowledge
  • Insurance market knowledge including Lloyd’s, Market & International Markets and other financial services markets
  • Knowledge of Solvency II regulatory environment, regimes and requirements

9. BA in Corporate Governance with 6 Years of Experience

  • A high standard of technical knowledge in relation to global anti-bribery and corruption, international trade sanctions and data privacy obligations.
  • A good understanding of the principles of corporate governance
  • Flexibility/adaptability to manage multiple wide-ranging compliance matters
  • Proven ability to manage and complete projects across multiple business units and commitment
  • Demonstrated ability to identify, prioritise and resolve issues promptly and effectively in a commercial and practical manner, using established risk-based prioritisation methodologies
  • Excellent organisational, communication, managerial, project management and administrative skills.
  • Confident individual with a proactive attitude
  • Thorough knowledge of Accounting and budgetary principles and application, and best practices.
  • Strong analytical, communication and problem-solving skills
  • Ability to adapt in a multicultural environment, establish and maintain good working relationships.
  • Knowledge of WHO rules, regulations, policies and practices 
  • Excellent Excel spreadsheet, internet, power point, and work processing skills.

10. BA in Ethics with 4 Years of Experience

  • Ability to analyze data for decision making.
  • Experience managing compliance programmes within an authorised payments institution.
  • In-depth knowledge of Money Laundering Regulations and Payment Services Regulations.
  • Ability to interpret regulations and guidance to assess the impact and develop practical operational procedures to ensure ongoing compliance.
  • Experience executing compliance programs, including design, implementation, and oversight of controls.
  • Self-starter who is flexible and able to work under pressure.
  • Strong business acumen and solutions orientated.
  • Risk management and internal controls focused.
  • Ability to juggle substantial competing demands and adapt to evolving priorities 
  • Strong written and verbal communication skills.
  • Attention to detail is critical.
  • Formal Compliance certification, e.g. ACAMs or industry equivalent
  • Experience in public speaking.

11. BA in Business Administration with 10 Years of Experience

  • Experience  in a Compliance function within a bank or other financial institution, insurance company or securities firm
  • Appropriate experience with systems and operational reporting
  • Specific experience in equipment financing or leasing, and vendor financing
  • A solid understanding of general ethics and Compliance practices, regulations, and laws
  • Ability to take on responsibility and be proactive on new matters and projects
  • Proficiency on all Microsoft Office Suite products, database skills
  • Experience working in a health care provider organization in either a managerial or supervisory capacity - behavioral health
  • Experience leading or directing corporate compliance initiatives in either a managerial or supervisory capacity - behavioral health
  • Experience in working with Federal and state agencies in a compliance capacity
  • Strong interpersonal skills and leadership ability
  • Knowledge of Federal and State health care related laws and regulations.
  • Extensive experience with computer technology, clinical databases, report development, policy/procedure development, preferably in a healthcare compliance setting.
  • Excellent analytical, written, and oral communication skills

12. BA in Finance with 3 Years of Experience

  • Experience in working with medical devices regulatory & compliance topics is considered 
  • Proven ability to find solutions for challenges in a very structured manner.
  • Proven ability to work efficiently and emphatically with relevant internal and external stakeholders.
  • Work in a reliable, precise, and solution-oriented way.
  • A passion for thoroughly set-up and structured processes of high complexity.
  • Excellent communication skills both written and spoken in English 
  • Proven ability to familiarize yourself quickly with new topics, curiosity to learn about medical device requirements, tech and development processes.
  • Understanding of software development processes and Agile methodology is a strong plus.
  • Ability to adapt and thrive in a fast-paced, start-up environment, ability to iterate on existing set-ups and concepts.
  • A high independence and hands-on mentality.
  • Passion for navigating the regulatory requirements in the business environment.
  • Proficient with collaboration tools that support virtual and in-person meetings
  • Ability to work from home remotely/independently and in a virtual team environment

13. BA in Accounting with 5 Years of Experience

  • Good Level experience of working in compliance within Financial Services
  • Knowledge of and practical experience of existing compliance requirements is essential, especially around testing of controls and procedures.
  • Knowledge of and familiarity with other relevant legislation, e.g. money laundering, anti-bribery, whistleblowing 
  • Knowledge and practical experience of REC (FCA Handbook in relation to RIEs) and EMIR (in relation to CCPs) is not essential but highly desirable
  • Practical and methodical with an analytical mind-set
  • Excellent communication (including written communication) and interpersonal skills
  • Ability to identify and implement improvements in the department’s processes
  • Ability to tailor messaging to different audiences at all levels of seniority
  • Ability to interpret and solve complex problems
  • Ability to work independently or collaboratively in a team and to be able to prioritize work and to manage expectations
  • Ability to manage and mentor junior members of the team and encourage good practice generally
  • Ability to manage a number of different matters simultaneously
  • Demonstrates a high level of attention to detail and reasoned judgment at all time

14. BA in Law with 6 Years of Experience

  • Experience with healthcare legal issues
  • Previous experience in compliance operations for one or more of the following: a health care system, hospitals, physician group, laboratory, pharmacy, radiology, home health, or as a consultant.
  • Comprehensive knowledge of laws, policies, procedures, and practices regarding health care regulatory compliance issues.
  • Comprehensive knowledge of the organization and functions of a healthcare facility and areas susceptible to mismanagement, fraud, waste, abuse thorough knowledge of the principles and practices of administration and operations.
  • Familiarity with Medicare/Medicaid/Stark/False Claims Act/Anti Kickback and state insurance laws as well as issues relating to professional fee billing and facility documentation and coding and billing requirements.
  • Self~starter and highly motivated
  • Strong writing skills, medical terminology and ability to analyze rules and assist in drafting policies and procedures relating to compliance.
  • Ability to monitor and conduct analyses of operating procedures.
  • Ability to identify issues, problems and critical factors, and develop methods for corrective action.
  • Ability to formulate, develop and implement monitoring, auditing and investigative standards, and policies and procedures.
  • Strong interpersonal skills, ability to develop and maintain effective working relationships with senior management, physicians, managers, and other health care professionals, in order to promote compliance with applicable policies, procedures, plans, laws and regulations.
  • Ability to communicate effectively, both orally and in writing.
  • Ability to provide education and training and consultation to a wide variety of health care professionals.

15. BA in Economics with 4 Years of Experience

  • Above average knowledge of state and federal lending related compliance laws and practices.
  • Advanced written, oral, interpersonal skills with a high attention to detail.
  • Must be able to maintain strict confidentiality.
  • Demonstrate good work habits, maintain a professional appearance and attitude and follow policies and procedures.
  • Must project a friendly, courteous, patient and professional image at all times, even under adverse conditions.
  • Possesses a track record of integrity and commitment to professional standards.
  • Possesses superior and oral written communication skills
  • Ability to prepare coherent, cogent reports on compliance matters.
  • Demonstrates ability to forge cohesive and effective working relationships with a variety of personalities.
  • Demonstrates ability to fulfill assigned commitments in a timely manner within established budgets while achieving quality results, prioritizes and resolves conflict
  • Demonstrates strong organizational, analytical, and multitasking skills.
  • Ability to organize, assemble, categorize and prepare data for reporting purposes.
  • Sound professional judgment dependability, resourcefulness, accuracy.

16. BA in Risk Management with 3 Years of Experience

  • Generalist compliance experience at a senior level within general insurance
  • Health/ travel insurance knowledge desirable
  • Strong ability to build relationships and influence at all levels, including C-Suite stakeholders
  • Technical knowledge of the FCA Handbook, IDD, SMCR & GDPR
  • Holding gravitas and being autonomous in decision making
  • Excellent understanding of the relevant statutory acts and associated regulations and guidelines, or the ability to develop knowledge quickly
  • Good understanding of WorkSafe and EML systems, or the ability to develop knowledge quickly
  • Insurance/workers insurance experience.
  • Strong organizational and time management skills and the ability to follow set protocols
  • Strong analytical and problem-solving skills
  • Analytical skills and attention to detail. 
  • Comfortable balancing multiple projects while operating in a time-sensitive environment.

17. BA in Information Systems with 5 Years of Experience

  • Prior experience within risk and compliance, minimum of 24 months
  • An understanding of general compliance and data protection regulation
  • Experience in compliance processes and how to implement 
  • Knowledge of data protection, modern slavery and anti-bribery
  • Knowledge of ABPI would be beneficial
  • Knowledge of Condusef requirements.
  • Knowledge of financial institutions, SOFOM, Fintech, Banks.
  • Knowledge of the payment processing process.
  • Direct compliance experience, with familiarity and ongoing interest in regulatory compliance
  • Knowledge of the Investment Advisers Act and the requirements of compliance under the Advisers Act (private funds experience strongly)
  • Excellent interpersonal and communication skills both oral and written
  • Ability to prioritize and execute various tasks in a deadline-oriented environment
  • Exceptional organizational and multitasking ability with strong time management skills

18. BA in Public Administration with 7 Years of Experience

  • Previous Experience undertaking management of Gas Safety Programme for housing portfolio
  • Ability to prepare and interpret numerical data and explain to other
  • Good Understanding of Key “Big 6” Compliance Areas – Gas/Electric/Fire Safety/Asbestos/Legionella & Specialist Equipment
  • Previous work in scenario with vulnerable customers, potentially with a Learning Disability (LD)
  • Experience with managing team/admin assistants
  • Ability to write clear, concise letters and reports
  • Positive attitude towards colleagues and the organisation to ensure seamless communication
  • Familiarity with various corporate structures e.g. Funds, Trusts, SPVs, etc
  • Good knowledge of local and international Economic Sanctions laws and regulations
  • Knowledge of Anti-Bribery and corruption regulations
  • Good command of Microsoft Office. 
  • Be able to demonstrate success in building excellent rapport with both internal and external stakeholders and the enthusiasm to develop professional working relationships throughout the business.

19. BA in Corporate Governance with 5 Years of Experience

  • Helps to build and maintain relationships with other business functions and ensure effective collaboration between compliance and other key teams at Gamesys.
  • Excellent communication skills, both verbal and written. 
  • Ability to deal with people at all levels.
  • Has a proactive, can-do attitude and is willing to continually learn and improve.
  • Highly organised, excellent coordination skills and has the ability to work to tight deadlines.
  • Excellent analytical, interpretation and problem-solving skills
  • Previous working experience in compliance 
  • Outstanding problem solving and analytical thinking.
  • Exceptional time management skills.
  • Quick learner and ability to take on board added responsibility.
  • Excellent report writing skills.
  • Experience in audit planning, risk and control identification, and audit testing
  • Have experience in delivering a compliance framework within an FCA regulated environment.

20. BA in Ethics with 5 Years of Experience

  • Recent FMCG (Food/Drinks) industry experience
  • In-depth knowledge of the industry’s standards and regulations;
  • Knowledge of BRC, HACCP, HMRC regulations
  • Excellent knowledge of reporting procedures and record keeping
  • A business acumen partnered with a dedication to legality
  • Methodical and diligent with outstanding planning abilities
  • Critical decision making and problem-solving ability, need to decide and judge on the information
  • Experience as a compliance professional or paralegal (or similar position) in a financial services firm or law firm
  • Experience with ETFs and multi-asset products and solutions
  • Knowledge of IIROC Policies and Procedures
  • Knowledge of AML (Anti-Money Laundering) Policies
  • Basic knowledge of the securities market regulatory framework
  • Organization and prioritization skills 
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