Chief Compliance Officer Resume

Samantha Gray

North Highlands CA 95660

(916) 987-6543

[email protected]

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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.


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