Compliance Manager CV Sample

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Sailing through regulatory checks without breaking a sweat? Amazing!

Find it hard to build a CV that ticks all the boxes? Don’t worry, it happens.

A lot of great compliance professionals struggle to build a good compliance manager resume.

Thankfully, we’re here to help!

Here’s a great compliance manager CV sample, and 5 easy resume tips that can help you get there too:

NATHAN LIU

COMPLIANCE MANAGER

Tel.: +852 XXXX XXXX | Email: n.liu@email.com | Nationality: Chinese


EXECUTIVE SUMMARY

  • Detail-oriented Regulatory Compliance Manager with over 9 years’ experience in regulatory reporting, policy review, and transaction investigation
  • Adept at identifying areas of potential vulnerability and drafting corrective measures, with strong knowledge base across the Hong Kong Banking sector, Anti-Money Laundering (AML) and Countering the Finance of Terrorism (CFT) operations, as well as the Banking Act, Securities and Futures Act, and Financial Advisors Act
  • Strong leader, capable of managing a team of 4, presenting compliance training to workshops of 20-30, as well providing guidance and advisory services to senior management and leaders across 10 business units
  • Achievements include:
    • Instrumental in developing and implementing automated risk assessment tool at Standard Chartered, saving 10 man-hours per week and providing 25% greater accuracy
    • Led the design and deployment of new in-house Common Reporting Standard (CRS) reporting system at Standard Chartered, spanning 20 departments, eliminating outsourcing fees and saving HKD$35K+ per annum
    • Played key role in integration of newly acquired Maybank branch in Hong Kong, overseeing roll-out of compliance processes and procedures into new operation, across 1000+ additional client accounts

KEY SKILLS

Regulatory Compliance • AML, CFT & KYC Operations • Internal Audit • Project Management • Government Oversight • Policy Drafting & Delivery • Procedural Review • Financial Reporting • Advisory Support & Guidance • Operational Risk Management • Stakeholder Management • Team Leadership • Talent Development


PROFESSIONAL EXPERIENCE

REGULATORY COMPLIANCE MANAGER                                  Apr 2015 – Present
Standard Chartered, Hong Kong
Standard Chartered is a multinational banking and financial services company, with a network of more than 1,200 branches across 70 countries. In 2018 it reported total assets of over USD$688B and total equity of USD$45B
  • Lead team of 4, overseeing risk evaluation, audit, and regulatory compliance oversight across 10 business units, providing regulatory advisory support and procedural review across all financial operations (including new product and service launches), reporting to the Regional Regulatory Compliance Director (APAC)
  • Manage internal compliance controls and procedures, analysing financial and operational reports, reviewing suspicious transactions (around 50-70 per month) and verifying as necessary, cross-checking against Permanent Insider List, Restricted Counters, etc. Actively assess and update compliance measures, ensuring alignment with current government regulations
  • Establish and maintain network with government agencies and regulatory bodies (e.g. Monetary Authority of Hong Kong (MAS)), acting as point of contact for all correspondence, enquiries, and statutory reporting. Monitor updates and developments in regulatory legislation, such as the Banking Act, Securities and Futures Act, and Financial Advisors Act
  • Provide strategic guidance to business unit heads, acting as subject matter expert and advising on all operational factors related to Anti-Trust and Compliance. Track and review all existing and proposed partnerships, campaigns, products and services, ensuring adherence to national legislation
  • Assist in financial and operational audits, reviewing annual budgeting, governance, and forecasting, and conducting risk evaluations. Design, implement and support risk mitigation programs, improving risk oversight and control
  • Direct compliance training workshops (with focus on AML & CFT), presenting to teams of 20-30 and liaising closely with business unit leaders to ensure full team adherence and understanding of compliance procedures and processes

Significant Achievements

  • Instrumental in developing and implementing automated risk assessment tool, saving 10 man-hours per week and providing 25% greater accuracy
  • Led the design and implementation (including vendor selection and review) of new in-house Common Reporting Standard (CRS) reporting system, spanning 20 departments, eliminating outsourcing fees and saving HKD35K+ per annum
  • Conceptualized new regulatory policy from scratch, incorporating Foreign Account Tax Compliance Act (FATCA) procedures, and supported business units in implementation across operations
  • Appointed head of procedural review committee following introduction of FRS 610, selected to oversee external consultant assessment, analyse existing systems, and map FRS 610 requirements to ensure compliance
SENIOR INTERNAL AUDIT EXECUTIVE                        February 2012—April 2015
INTERNAL AUDITOR                                                          March 2010—January 2012
Maybank, Hong Kong
Maybank is Malaysia’s largest financial services group and the leading banking group in South East Asia. It has over 2,400 branches across 20 countries, and in 2017 reported total assets of USD$188B
  • Managed internal audits of finance and operations for business units in Hong Kong, reviewing over HKD$20M in annual revenues, evaluating processes, assessing risk, and confirming compliance
  • Assessed transactions in line with AML, CFT and KYC (Know Your Customer) guidelines, identifying an average of 20-30 per month for further review and submitting reports to the Suspicious Transactions Reporting Office (STRO)
  • Conducted procedural analysis, verifying alignment with group regional regulatory processes, identifying potential gaps and regulatory risk, and proposed actions to address to the managerial team

Significant Achievements

  • Played key role in integration of newly acquired branch in Hong Kong, overseeing roll-out of compliance processes and procedures into new operation, across 1000+ additional client accounts
  • Performed forensic audit and identified weakness that could potentially be exploited for the purposes of embezzlement. Submitted findings, along with proposed solutions, and was personally tasked with implementing controls and eliminating procedural vulnerability
  • Conducted 2 half-yearly AML/CFT focused training sessions, presenting to ~15 participants and building team knowledge base on compliance and regulatory measures

EDUCATION

Master of Anti-Money Laundering and Counter Terrorist Funding
Charles Sturt University • Australia • 2014
Certified Anti-Money Laundering Specialist (CAMS)
Association of Certified Anti-Money Laundering Specialists • Hong Kong • 2012
Diploma in Governance, Risk & Compliance
International Compliance Training Academy • 2010
Bachelor of Business (Finance)
Hong Kong University • Hong Kong • 2009


MISC. INFORMATION

Nationality: Chinese
Languages: Fluent in English, Cantonese and Mandarin
Availability: 1 month’s notice

Want a winning CV like the Sales Manager Resume Sample above?

Tip #1 – Get Specific, and Show Off In-Depth Regulatory Know-How

The top secret to an excellent compliance manager resume…?

…prove you’re a regulatory expert and GET SPECIFIC!

Compliance is a big part of lots of industries, and a good compliance manager in one role isn’t necessarily a great fit in another.

To prove you’re a good candidate for your dream job:

Show you’re an expert – detail the acts, guidelines and regulatory authorities you know.

Without clearly stating your areas of expertise, you risk being overlooked.

…track updates in the Banking Act, Securities & Futures Act, Financial Advisors Act…

…review procedural control in accordance with Risk Impact Model…

…draft AML, CFT and KYC policy, adhering to Financial Action Task Force (FATF) Recommendations…

Get specific, name the exact guidelines, regulatory acts and governing bodies you’re familiar with, and prove you know your stuff!

Tip #2 – Excel in Change Management:

How to stand out from other compliance managers?

It’s not just about showing you know regulations, it’s about proving that you can implement change in the organisation:

…and even better, looked for ways to improve operational compliance!

…conceptualize and implement new regulatory policy from scratch…

…identify inefficiencies and opportunities to strengthen compliance procedures…

…develop enhanced compliance risk assessment tools and programs, leading integration across all business units…

Make sure your resume shows it…

and get ahead of the competition!

Tip #3 – Be a Guide:

Want an amazing, next-level compliance manager resume?

Here’s the deal:

Be more than just a regulatory database!

Hiring managers don’t just want someone who knows compliance…

…they want someone that can advise and inform others!

Be a teacher and a guide.

Do you help steer senior management decision-making? Can you train others to actually understand regulatory policy?

…provide regulatory guidance to division heads…

…review proposals, advising on potential compliance related areas…

…deliver effective compliance training to operational teams…

If your CV doesn’t show you can guide and advise senior stakeholders on key issues, you’re not going to get an interview.

 

Tip #4 – Name Drop and Quantify to Add Value:

What’s one of the biggest resume mistakes you can make?

Not adding context or scale.

“As a compliance manager I review transactions.” Really? So what.

“As a compliance manager I flag 30-40 suspect transactions per month, valued from $10K to $100K, and liaise with the Suspicious Transactions Reporting Office.”

Much more interesting, and carries much more value!

Same applies across operations, front-, middle-, and back-office finance functions:

“Led Data Governance & Privacy Committee,” sounds a lot better than simply “Led compliance committee.”

Even just adding numbers can help…

…monitoring trades valued quarterly at over $200M…

…overseeing regulatory policy across 8 divisions…

…presenting compliance training to groups of 25-40…

Make sure hiring managers can see your worth, by dropping names and giving context!

 

Tip #5 – How Long Should a CV Be? Not That Long:

Probably the worst resume mistake you can make is presenting a CV that’s too long:

The ideal resume length is 2-3 pages, MAXIMUM.

It doesn’t matter if you have 12 years’ experience or 40, your resume should NEVER exceed 3 pages.

Why?

Because nobody cares what you were doing 10+ years ago!

Your present is so much more relevant than your ancient past.

And remember, relevance is key:

Before moving to sales you were a bank teller? Neat, but no compliance hiring manager wants to know what shifts you covered or how many customers you helped open accounts.

It’s a fact:

The longer your CV, the less likely it packs a punch.

Keep it short, simple, and strong.

There you have it! 5 easy ways to make you sure you’ve got a great compliance manager resume…

…but scoring an amazing compliance position doesn’t stop there!

Compliance Management Job Opportunities

  • Join LinkedIn groups or follow companies you wish to work for to keep abreast with new job openings.
  • Alternatively, you can reach out to these headhunters in Hong Kong to learn about any vacancies they may be trying to fill out.

Job Hunting Tips from our Resident Headhunter

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