Compliance Executive Resume

Samantha Gray

North Highlands CA 95660

(916) 987-6543

[email protected]

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Job Objective

Experienced Compliance Executive seeking employment with reputable organization where my skills and training can be a positive contribution to company.

Highlights of Qualifications:

  • Exceptional experience in a Compliance role within the financial services and funds industry
  • Good expertise in the interpretation of legislation and regulation relating to financial services
  • Huge knowledge in implementing assurance and compliance frameworks, processes, tools and technology in a complex environment
  • Outstanding knowledge of AML, Data Protection and Consumer Protection related regulation
  • Solid written and verbal communication skills and positive interpersonal skills

Professional Experience:

Compliance Executive

Bank Of America,Fort Worth, KS

August 2007 – Present

  • Ensured reliability of all material controls for internal and external purposes.
  • Managed and implemented annual risk-based business assurance and compliance monitoring program.
  • Prepared Terms of Reference and testing plans for assigned reviews.
  • Tested relevant controls and processes.
  • Prepared reports and action plans related discrepancies.

Compliance Executive

Citigroup, Fort Worth, KS

May 2004- July 2007

  • Advised to operational and support departments including Transfer Agency and Fund Accounting.
  • Assisted in the provision of support to Compliance and Business Projects.
  • Assisted in and supported Compliance Strategy & Program.
  • Managed Compliance Department’s Compliance Monitoring Program.


Bachelor’s Degree in Business

Naropa University, Boulder, CO