Download Compliance Resume Samples

• Extensive experience of XX years in designing or updating internal policies to mitigate the risk of the company breaking laws and regulations, and leading internal audits of procedures; possess knowledge of compliance standards and policies, audit techniques, regulatory issues, operations and procedures
• Skilled in helping that company maintain policies and procedures to remain within an industry's regulatory framework; reviewing and setting standards for outside communications by requiring disclaimers in emails or examining facilities to ensure they are accessible and safe
• Adept in organizing regular training sessions for employees to communicate key regulatory changes and updates; working with business units and management to ensure appropriate contingency plans are in place that set guidelines on how to respond to a possible compliance breach
• Familiar with all phases of development and implementation of an effective legal compliance program; performing risk assessments to understand risk level, significance and scope; investigating irregularities and non-compliance issues; contributing to robust and effective compliance controls within the organization 

Key Result Areas:

• Keep up to date with, and understand, relevant laws and regulations
• Monitor compliance with laws, regulations and internal policies
• Ensure that your findings are recorded and followed up with management so that issues can be rectified
• Educate employees on not only the regulations, but also the impact on the organisation if these aren't complied with
• Report back to business functions on current risk and compliance performance
• Highlight or escalate areas of concern
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements; investigate irregularities and non-compliance issues
• Assist in the gathering of internal information in response to regulatory requests
• Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
• Collaborate with other departments to create a culture of compliance

Key Highlights:

• Any existing systems/ processes streamlined???? Results obtained????
• Major assignments handled????
• Any unique initiative taken to improve customer satisfaction level???? Any major accounts/clients handled???
• Awards/appreciation letters received???? Other relevant achievements????
• MM YY – MM YY | ABCD Ltd, Delhi | Compliance Officer 

Key Result Areas:

• Implemented and managed an effective legal compliance program.
• Developed and reviewed company policies.
• Advised management on the company’s compliance with laws and regulations through detailed reports
• Created and managed effective action plans in response to audit discoveries and compliance violations
• Carried out audit of company procedures, practices, and documents regularly to identify possible weaknesses or risk; resolved employee concerns about legal compliance
• Assessed company operations to determine compliance risk
• Ensured all employees are educated on the latest regulations and processes

Key Highlights:

• Any existing systems/ processes streamlined???? Results obtained????
• Major assignments handled????
• Any unique initiative taken to improve customer satisfaction level???? Any major accounts/clients handled???
• Awards/appreciation letters received???? Other relevant achievements????

• Arvind Rawat, Dr. M..g.r eduicational institute, 2008