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Navigate Your Compliance

Compliance Officer

PRODUCT INFO | Read an example of a Compliance Officer resume from one of the candidates on our database.

Shergroup candidates are added to our database after they have been interviewed and verified as reliable resources to put forward for our clients.

Whilst skills and functionality are important, we think its also important to put forward candidates who will fit with the DNA of our client organisation.

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As we can’t always know the strands of an organisation’s collective DNA, we can anticipate what an employer needs from a new team member. Reliability, professionalism, and being a team player are the skills that people often need and expect us to find in the candidates we offer.

In looking at any skill set you can add or take away from the skills set out in this product info to build your own version of this role.

Work Experience

2-3 years’ experience of working as a Compliance Officer

Skill Set

  • Strong presentation skills/Advanced PowerPoint / Excel
  • Credit Risk Analysis and Management
  • Due Diligence
  • Staff Development
  • Customer Service
  • Financial Reporting
  • Regulatory Compliance
  • In-depth understanding of applicable SEC rules and regulations
  • Working on MS Office software like MS Word, MS Excel Etc

Main Areas of Experience

  • Assess compliance risk, identified the root cause of compliance exceptions, and developed corrective action plans to ensure effective enterprise-wide internal controls are in place
  • Assist in licensing, Audit and Project Management and also responsible for entire audit lifecycle of internal company activities
  • Maintain an accurate filing system and generally provide for organized office operations
  • Renewed employee insurance licenses biennially for three jurisdictions
  • Providing reports to the leadership team on the current status of compliance
  • Tracking key dates and setting up reminders for compliance timetable

Want to Move the Discussion Forward?

For more information on how you can start the process of finding your ideal candidate please reach out to our Recruitment TEAM by calling us on our UK or US phone numbers or by messaging us at [email protected].

We look forward to working with you.

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Last updated | 19 July 2023

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