Corporate Compliance Officer Resume

Samantha Gray

North Highlands CA 95660

(916) 987-6543

[email protected]

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Job Objective

Seeking organization with the potential to expand and grow in which my Corporate Compliance Officer skills can be utilized to their fullest.

Highlights of Qualifications:

  • Extensive knowledge of Investment Adviser’s Act of 1940
  • Solid experience in Fixed Income environment
  • Proficient with effective compliance programs
  • Proven managerial skills
  • Strong interpersonal and communication skills
  • High level of ability to multi-task in a dynamic environment
  • Strong ability to organize compliance training programs

Professional Experience:

Corporate Compliance Officer

Nycomed US, Enterprise, AL

August 2005 – Present

  • Established a compliance committee to look after company’s compliance procedures
  • Enforced compliance standards through effective strategies.
  • Detected offenses and recommended corrective plans.
  • Supervised entire aspect pertaining to investment advisory compliance program
  • Supervised compliance training programs.
  • Ensured regulatory reporting as required.
  • Participated in the staff development programs.

Corporate Compliance Officer

Ivans, Enterprise, AL

May 2000 – July 2005

  • Developed and reviewed BI Code of Conduct
  • Implemented Code of Conduct throughout BI efficiently.
  • Provided advisory support to internal compliance department members and business units.
  • Acted as resource person for entire aspect of compliance procedures and guidelines.
  • Developed and executed compliance-related policies.
  • Maintained corporate Compliance reporting systems.
  • Resolved all issues pertaining to corporate compliance standards and procedures.


Bachelor’s Degree in Business

Stephens College, Columbia, MO