Chief Compliance Officer Resume

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Henry Hendricks

1353 Lucky Duck Drive

Pittsburgh, PA 15219

(555)-555-5555

[email]

Job Objective To obtain a Chief Compliance Officer position with organization where challenges and opportunities make way for career development.

Summary of Qualifications:

Remarkable experience in a financial services firm
In-depth knowledge of asset management compliance, marketing review, compliance training and testing
Profound knowledge of drafting compliance and desk procedures
Sound knowledge of conducting risk assessments in a complex asset management organization
Familiarity with securities and investment advisers laws and regulations
Ability to handle matters discretely and confidentially
Superior presentation, analytical and facilitation skills
Strong emotional intelligence and people skills
Ability to provide regulatory and industry best practices advice
Possess overall business approach to problem solving

Work Experience:

Chief Compliance Officer, August 2005 – Present

Freedom One Financial, Pittsburgh, PA

Identified potential compliance vulnerability and risk in the organization.
Developed, monitored and managed company’s compliance policies and issues, internally and externally.
Updated and prepared required registrations and disclosure documents.
Conducted compliance audits, inspection and reviews.
Interacted with legal and regulatory team.
Developed and administered compliance training to staff.
Participated in long-terminal strategic planning.

Chief Compliance Officer, May 2000 – July 2005

SPC Financial, Inc., Pittsburgh, PA

Developed, initiated, maintained and revised policies and procedures designed to avoid and minimize the risks identified.
Worked with Human Resources and others as appropriate, performed education and training programs for employees.
Directed and managed Compliance Hotline.
Recommended senior management to implicate disciplinary and corrective action.
Ensured enforcement agencies and provided them suitable reporting of violations.
Monitored and coordinated compliance activities of other departments to remain current of the status of all compliance activities.

Education

Bachelor’s Degree in Business Administration, Purdue University, West Lafayette, IN