Compliance Manager CV [Full Sample]

Here’s a full Compliance Manager resume sample, which we wrote for a client recently. You can see that in the Achievements section we’ve included specific accomplishments that are measurable, showing exactly how you could contribute to the company based on prior results.

Executive Summary:

The top secret to an excellent compliance manager resume…?

prove you’re a regulatory expert and GET SPECIFIC!

Compliance is a big part of lots of industries, and a good compliance manager in one role isn’t necessarily a great fit in another.

To prove you’re a good candidate for your dream job:

Show you’re an expert – detail the acts, guidelines and regulatory authorities you know.

Without clearly stating your areas of expertise, you risk being overlooked.

  • Track updates in the Banking Act, Securities & Futures Act, Financial Advisors Act…
  • Review procedural control in accordance with Risk Impact Model…
  • Draft AML, CFT and KYC policy, adhering to Financial Action Task Force (FATF) Recommendations…

Get specific, name the exact guidelines, regulatory acts and governing bodies you’re familiar with, and prove you know your stuff!

Here’s what an Executive Summary shouldn’t look like:

  • Regulatory Compliance Manager for 9+ years, enforcing the rules by regulatory reporting, policy review, and investigation.
  • Knowledgeable about banking rules like Anti-Money Laundering (AML) and more.
  • Managed a small team and did some talks in workshops. Made a reporting system at Standard Chartered and saved the company millions.
  • Helped with adding a new bank branch, had to deal with a lot of accounts.

Now look at Nathan’s:

  • Detail-oriented Regulatory Compliance Manager with over 9 years’ experience in regulatory reporting, policy review, and transaction investigation.
  • Adept at identifying areas of potential vulnerability and drafting corrective measures, with strong knowledge base across the Banking sector, Anti-Money Laundering (AML) and Countering the Finance of Terrorism (CFT) operations, as well as the Banking Act, Securities and Futures Act, and Financial Advisors Act.
  • Strong leader, capable of managing a team of 4, presenting compliance training to workshops of 20-30, as well providing guidance and advisory services to senior management and leaders across 10 business units.
  • Achievements include:
  • Instrumental in developing and implementing automated risk assessment tool at Standard Chartered, saving 10 man-hours per week and providing 25% greater accuracy.
  • Led the design and deployment of new in-house Common Reporting Standard (CRS) reporting system at Standard Chartered, spanning 20 departments, eliminating outsourcing fees and saving MYR$35K+ per annum.
  • Played key role in integration of newly acquired Maybank branch in Singapore, overseeing roll-out of compliance processes and procedures into new operation, across 1000+ additional client accounts.

Key Skills to include in Your Professional Resume:

How to stand out from other compliance managers?

It’s not just about showing you know regulations, it’s about proving that you can implement change in the organisation, and even better, looked for ways to improve operational compliance!

Your Executive Summary might hook us, but we recruiters also want to see the specific skills you can bring to the table.

This section is your chance to list skills you are proficient in! Be mindful to include exact keywords used in the job description. This increases the chances of getting your Resume past ATS scanners (CV scanning software).

ResumeWriter Tip: Scan the job application and add the exact key phrases used in the description, into your resume.

Examples of Audit Resume Key Skills:

  • Regulatory Compliance
  • AML, CFT
  • KYC Operations
  • Internal Audit
  • Project Management
  • Government Oversight
  • Policy Drafting
  • Delivery
  • Procedural Review
  • Financial Reporting
  • Advisory Support
  • Guidance
  • Operational Risk Management
  • Stakeholder Management
  • Team Leadership

  • Conceptualize and implement new regulatory policy from scratch…

  • Identify inefficiencies and opportunities to strengthen compliance procedures…

  • Develop enhanced compliance risk assessment tools and programs, leading integration across all business units…

Make sure your resume shows it…

and get ahead of the competition!

Achievements and Work Experiences:

See what are some common mistakes people do in their work experience section.

  • Managed a team of a people, looking at risks, audits, and following rules for some business stuff. Supported some financial things for about 10 units, reporting to someone important in Asia.
  • Checked internal rules and reports, looked at some fishy transactions (50-70 each month), and made sure everything was okay with some lists. Also updated rules so they’re not too old.
  • Made a tool that saved a bit of time and made things a bit more correct, like 25% more correct or something. It’s a tool that looks at risks but does it faster and Made a new system for reporting CRS with a other people, saved thousands of dollars each year. Got rid of outsourcing.

Here’s how we improved his resume’s Work Experiences.

  • Lead team of 4, overseeing risk evaluation, audit, and regulatory compliance oversight across 10 business units, providing regulatory advisory support and procedural review across all financial operations (including new product and service launches), reporting to the Regional Regulatory Compliance Director (APAC).
  • Manage internal compliance controls and procedures, analysing financial and operational reports, reviewing suspicious transactions (around 50-70 per month) and verifying as necessary, cross-checking against Permanent Insider List, Restricted Counters, etc. Actively assess and update compliance measures, ensuring alignment with current government regulations.
  • Instrumental in developing and implementing automated risk assessment tool, saving 10 man-hours per week and providing 25% greater accuracy.
  • Led the design and implementation (including vendor selection and review) of new in-house Common Reporting Standard (CRS) reporting system, spanning 20 departments, eliminating outsourcing fees and saving SGD35K+ per annum.
  • Conceptualized new regulatory policy from scratch, incorporating Foreign Account Tax Compliance Act (FATCA) procedures, and supported business units in implementation across operations.

    The second Work Experience example is clear. Each bulletpoint specifies each responsibilities and their contribution to the company.

    Specific traits are explicitly identified. This makes it easier for us to identify if the candidate has the required skills for the role.

Professional Qualifications & Certifications:

Add the proper qualification or certificate name with exact dates on when you got them.

This helps recruiters identify you exact knowledge on each qualification and how up to date the information is.

If you have questions about your Resume, or would like a second opinion, don’t hesitate to reach out! Just send us your CV, and we’ll get back to you!

  • Master of Anti-Money Laundering and Counter Terrorist Funding Charles Stuart University , Australia | 2014.
  • Certified Anti-Money Laundering Specialist (CAMS) Association of Certified Anti-Money Laundering Specialists ,Singapore | 2012.

Bonus Job Hunting Tips for Compliance Management

Sailing through regulatory checks without breaking a sweat? Amazing!

Find it hard to build a CV that ticks all the boxes? Don’t worry, it happens.

A lot of great compliance professionals struggle to build a good compliance manager resume.

Compliance Management Job Opportunities

  • Join LinkedIn groups or follow companies you wish to work for to keep abreast with new job openings.
  • Alternatively, you can reach out to these headhunters in Singapore to learn about any vacancies they may be trying to fill out.

Job Hunting Tips from our Resident Headhunter

Before You Go…

Be sure to download this resume sample, which uses our tested-and-proven resume writing techniques, as a guide for your own CV. Best part is, this sample is available for free 🙂

And before you start sending out applications, send us your resume for a free CV feedback analysis from our team. We’ll review your CV in detail, share personalised feedback on its strengths and weaknesses, and show you how you can improve it.

Harry Suresh
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