Financial Compliance Officer Resume Sample

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Financial Compliance Officer Resume Sample Powered By Docstoc
					                                              JESSE KENDALL
                                           123 Elm Street │ Lynn, MA 01904
                                         781-555-5555 │

                                    QUALIFIED COMPLIANCE OFFICER
               Dedicated to ensure compliance with all rules, regulations, and statutory requirements.
    Highly skilled at protecting institutions from regulatory risk through careful management and compliance program
                          leadership. In-depth knowledge of Patriot Act, BSA, AML, and OFAC.

                                           PROFESSIONAL EXPERIENCE

CHIEF FINANCIAL COMPLIANCE OFFICER, STATE AUDITOR’S OFFICE, LYNN MA                                            20xx to Present
Provide thorough and precise auditing of education and state agencies to ensure funds are wisely spent in accordance with
Florida statutes, laws, and administrative codes. Serve as Fund Manager for the state’s financial statement. risk assessments;
review line items/funds and perform tests to determine risk factors of account payables, unrecorded payables, bond proceeds,
capital outlays, and fund transfers.
University of GHI: Conducted financial, federal award (research and development), and operational audits. Oversaw
auditing for general expenditures, inventory, capital outlay, account payables, and student fees. Ensured accurate reporting
and coding, and communicated with University personnel to clarify discrepancies. Monitored and reported processes / audit
JKL County: Expertly handled a special audit that was mandated by legislation for E-911 funds charged to every person
with a cellular phone. Researched and charted expenditure/revenue history of the funds. Found and reported inappropriate
use of funds in violation of state statutes; provided recommendations to the Florida Legislative Branch that
clarified/corrected the existing laws.

FINANCIAL COMPLIANCE MANAGER, BCD ENTERPRISES, LYNN MA                                                              20xx to 20xx
Designed and conducted training on SOX compliance for functional staff on the revenue recognition process as well as accrual
and unbilled accounts receivable reconciliation. Served an additional role as Business Accounting Manager.
       Achieved SOX compliance status by increasing the passing rate for the Business Unit to a range of 90% to 96%.
       Created and implemented a system of new internal controls for the Business Unit.
       Automated financial processes and streamlined the financial close processes for the period, quarter, and fiscal year.

COMPLIANCE SPECIALIST, CDE BANK, LYNN MA                                                                            20xx to 20xx
Oversaw the compliance program implementation for a registered investment advisor and affiliated broker-dealer with a
sophisticated financial counsel, asset management, and insurance agency practice. Enforced written policies, procedures, and
code of conduct. Implement and effective testing regimen. Identified and mitigated compliance and regulatory risks.

       Ensured 100% conformity with compliance programs.


                                         UNIVERSITY OF XYZ, Lynn, MA, 20xx
                               Master of Business Administration, Finance Concentration
                             Bachelor of Business Administration, Accounting Concentration
Creating a Compelling Cover Letter
A powerfully written cover letter is necessary to land most interviews and ensure job search success. When an advertised
position creates a pile of 100+ resumes, it becomes the responsibility of the hiring personnel to shortlist the applications.
Resumes without cover letters are usually the first to go, followed by the ones with poorly written cover letters. Avoid this
fate by following these effective strategies:

Address your cover letter appropriately:
Be sure that you get the name of the hiring manager before sending your resume, and address the letter to that individual.
The proper greeting will be either “Dear Mr. (Smith),” or “Dear Ms. (Smith).” Avoid using Miss or Mrs., and do not address
your letter to “Dear Sirs,” as it is considered inappropriate. If you are unsure of your contact’s gender, address them by
their first and last name, as in “Dear Pat Smith,” to avoid an embarrassing mistake. If you don’t know the name of the
hiring manager, simply use the greeting “Dear Hiring Manager,”– it’s clear, to the point, and gender neutral.

Get to the point in your opening paragraph:
One of the most common interviewing questions employers ask is “Why should I hire you among other candidates?”
Provide an answer to that question right off the bat in your opening paragraph. This is a very important section because it
is the first thing the employer will read. It must be powerful and make an immediate impact. Be sure sell yourself and your
unique abilities. Do not use a generic opening paragraph that can apply to any Tom, Dick or Harry.
Every line should sell you, so use aggressive language here and throughout the rest of your cover letter. For example,
instead of writing “My background is in finance management, making me well-suited for your advertised Corporate
Finance Director position.” you can write “A background in finance management and a proven record of developing
effective strategies that drive revenue, growth and shareholder value make me a strong candidate for your advertised
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Show your interest and sell your accomplishments in the body of the letter:
In this section, you need to show your interest in the job and the company. Research is a key ingredient to a successful
job search. The more you are able to demonstrate your interest and knowledge about a company, the better your chances
are to secure an interview. Get to know the company’s mission and new corporate initiatives, and tell them how you can
help them meet their objectives or resolve their problems. Praise the company for public recognitions or recent
accomplishments. The employer will surely take notice of your active interest.
Use “I” and “my” sparingly. Try not to use these words more than six times in your cover letter. You need to focus on what
you will bring to the company and how you will help them improve their profitability. Too much use of the word “I” will also
make your letter look elementary and poorly written.
For executive-level candidates and professionals with substantial achievements, a bullet point format is often the most
effective and efficient way to highlight accomplishments. If you fall into this category, be sure to keep the bullet point
statements unique and fresh. Do not copy and paste the exact same phrases from the resume as it will make you look
lazy. All sentences and achievements transferred from the resume should be rephrased.

Close your letter with a strong paragraph:
In the closing paragraph, you need to address several issues. At the very least, you need to ask for the interview and
provide contact information. This is also the ideal place to mention your salary requirements (if the employer insists on it),
or your desire to relocate.
To demonstrate your drive and interest, mention that you will call within a week to follow up. This is a great way to ensure
the resume was successfully received, and it creates an opportunity to establish a dialog. However, do not mention this in
your cover letter if you do not intend to follow up.

In summation, an aggressive and dynamic cover letter will help you stand out among the competition. Remember that the
goal is to market yourself – not to compose a dull biography.

Description: Enjoy this expertly developed sample financial compliance officer resume with complimentary cover letter strategies included. Unlike most resume samples you will find, this one is a completely editable Word document, which means you can revise this resume as needed to suit your needs while keeping the stylish format in tact.
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