Compliance Assistant Cover Letter

Christine Graham
Hiring Manager
Dayjob Ltd
120 Vyse Street
B18 6NF

27th April 2015

Dear Ms Graham,

Your company recently posted an opening for a Compliance Officer on the website. This is a role that seems to fit my precise competencies and for which I am now enthusiastically applying.

The nature of my career to date and my ability to recognize and focus on critical issues has fully prepared me for your position.

I am not only an expert at drafting and maintaining compliance policies, but also have the strong decision making, analytic, and investigative skills needed to correctly analyse information to identify potential issues. As at true professional I am able to demonstrate sound judgement and apply logical and critical thought processes when developing and recommending compliance related solutions.

During my current employment I have learnt how to effectively manage compliance activities within a department. At work I am primarily responsible for managing the regulatory risks and controls of the business to ensure they comply with applicable laws and regulations. I am heavily involved in participating in the analysis of key policies and procedures.

Right now I want to work for a reputable company like yours that offers an excellent compensation and benefits package.

I hope that the information contained in this letter and the attached resume will assist my application and encourage you to invite me to an interview. If required, I can provide you with excellent references from my current and previous employers.

Thank you very much for taking the time to read my application.

Yours sincerely,

Address 1
Address 2
Tel: 0044 121 638 0026

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Peter Bourgoin
4738 Traders Alley
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Job Objective Career minded Assistant Compliance Officer with years of experience skills and the ability to work independently or as a team seeking position with well-established organization.

Highlights of Qualifications:

  • Ability to monitor compliance with Code of Ethics policies
  • Ability to prepare regulatory filings, draft responses to regulatory inquiries
  • Ability to conduct compliance audits and implement corrective actions
  • Ability to evaluate new and existing product offerings
  • Ability to research and analyze information and various situations
  • Professional Experience

Assistant Compliance Officer
Luther Burbank Savings, Kansas City, MO
August 2005 – Present

Managed compliance risk management and monitoring plans.
Administered staff and coordinated with OMSTA Senior Compliance Officer.
Monitored primary legislation impacting business.
Documented frequency of monitoring.
Formulated reports and coordinated with managers.

Assistant Compliance Officer
West Bank, Kansas City, MO
May 2000 – July 2005

Imparted apt training for business line.
Participated in development of compliance policies.
Handled regulatory enquiries and coordinated with internal groups.
Collaborated with Policy Training and Registrations team.
Managed delivery of items in annual Compliance Plan.


Bachelor’s Degree in Accounting
Western Oregon University, Monmouth, OR

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