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Working As A Chief Compliance Officer

  • $144,000

    Average Salary

What Does A Chief Compliance Officer Do At AIG

* Oversee compliance programs for AIG’s retail and annuity mutual funds and investment advisers SAAMCo and VALIC including:
* Manage, lead and supervise compliance staff in a way that will promote efficiency, creative thinking and teamwork while balancing business concerns and regulatory requirements.
* Draft and maintain policies and procedures that ensure that funds’ and advisers’ operations are conducted in compliance with the policies and procedures of funds, advisers and parent company.
* Conduct risk assessments and manage the compliance monitoring and testing program for the funds and advisers in accordance with regulatory expectations and best practices.
* Participate in the AIG enterprise-wide monitoring and testing program covering identified risks such as anti-trust and anti-corruption policies, economic sanctions, privacy, complaints, record-keeping, AML and other areas.
* Review, update and test fund and adviser compliance programs.
* Report test results to management and fund boards by drafting and presenting applicable Rule 206(4)
* and Rule 38a
* reports.
* Report regularly to key management and fund boards of directors on all compliance-related matters.
* Sustain positive relationships with key external constituents, including three mutual fund Boards of Directors/Trustees, especially with the chairperson of each of the boards of directors and their compliance sub-committees.
* Be a point person for any regulatory examinations of the mutual funds or investment advisers.
* Lead, assist or direct for compliance as required.
* Oversee sub-adviser and service providers through regular interaction, due diligence questionnaires and certifications and periodic on-site visits.
* Provide general compliance support for all areas within AIG Consumer Insurance as needed by participating in task forces, compliance projects, product reviews and other compliance activities.
* Be a knowledge resource for all business lines.
* Work closely with the senior management team of the AIG Consumer division, the Law Department, and the Compliance Department.
* Coordinate with the Law Department regarding the identification and analysis of applicable newly enacted laws and regulations, SEC and other industry positions and court decisions.
* Assist with the preparation of annual budgets, periodically analyze expense summaries and variances compare to budgeted forecasts

What Does A Chief Compliance Officer Do At Cybercoders

* Develop and maintain standardized policies and procedures to assure the effective delivery of Credit Products for the bank and enhance the overall quality of the Bank's loan portfolio.
* Establish a strong credit culture within the Bank.
* Provide oversight for an effective credit approval process within the company that supports the risk tolerance of the Bank while also facilitating desired asset growth objectives.
* Oversee regulatory compliance with Federal and state regulations for the Bank with regards to Credit Risk Management.
* Develop and maintain reporting mechanisms that allow for accurate and timely identification of risk profile in all asset categories.
* Submit accurate and timely reports as required by the Bank's senior management and regulatory agencies.
* Coordinate review of the larger loans and report on overall portfolio quality.
* Review and approve the allowance for Loan Loss to ensure it is accurate and reflective of the quality of the loan portfolio.
* Review and approve the DFAST results to ensure it is generally accurate and reflective of expected losses under the base, severe and severe adverse scenarios.
* Develop predictive models to increase efficiencies and improve the effectiveness of origination, compliance servicing and portfolio management.
* Develop sound and robust credit scoring systems as part of the underwriting process.
* Create strategies that keep the Bank's loan portfolio within the realm of the organization's goals.
* Recommend changes to the lending and compliance policies as needed.
* Communicate decisions, priorities and relevant project information to appropriate levels of the organization.
* Perform other duties as assigned to meet business needs, including due diligence with loan acquisitions

What Does A Chief Compliance Officer Do At Avanti Hospitals, LLC

* These represent the majority of responsibilities.
* Other duties may be assigned on an as needed basis.
* Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
* Manages day-to-day operation of the Program.
* Develops and periodically reviews and updates Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
* Collaborates with other departments (e.g., Risk Management, Finance, Payroll, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
* Consults with the Corporate attorney as needed to resolve difficult legal compliance issues.
* Responds to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures.
* Develops and oversees a system for uniform handling of such violations.
* Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
* Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
* Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
* Provides reports on a regular basis, and as directed or requested, to keep Avanti's hospital Compliance Committees and senior management informed of the operation and progress of compliance efforts.
* Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
* Establishes and provides direction and management of the compliance Hotline.
* Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
* Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
* Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
* Collaboration/Teamwork: Contributes toward effective, positive working relationships with internal and external colleagues.
* Demonstrates cooperation, flexibility, reliability, and dependability in all daily work activities and a willingness to collaborate with others for the good of the patient and the organization

What Does A Chief Compliance Officer Do At Comerica

* Establish and maintenance of the compliance manual(s).
* Act as the primary day-to-day contact for the applicable regulatory agencies.
* Provide advice to the Chief Operations Manager and staff with appropriate review of policies and procedures.
* Document the supervision by the line managers who are responsible for the execution of compliance policies.
* Develop and maintain a risk based program to test compliance with the member's policies and procedures.
* Collaborate and leverage as appropriate corporate wide standards; including but not limited to usage of testing documentation software.
* Relocation Relocation assistance is not provided for this position.
* Travel Less than 10% travel is required of this position.
* Bachelor's Degree in Accounting, Finance or General Business and 15 years of securities industry experience
* years compliance and/or legal experience in a brokerage firm
* Series 4, 7, 24, 53 and 63 or 66 license or equivalent required Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

What Does A Chief Compliance Officer Do At Hub International

* Make keynote and high-level presentations such
* as prospect and client seminars/webcasts to relay compliance requirements,
* decision-making considerations, and risks/costs/likely outcomes.
* Complementary
* training for internal colleagues.
* Provide innovative written and in-person support
* and related processes and procedures to help sales process – ranging from
* rainmaking, to relationship development, to RFP (writing, editing, template
* development), to finalist meetings.
* Attend prospective client meetings and
* entertainment opportunities with internal producer/consultant teams and company
* broker partners, to present compliance capabilities, best practices, tools, and
* company resources.
* Work closely with our brokers’ clients in
* bulletproofing’ their program in anticipation of heightened regulatory
* oversight and enforcement and support those clients when/if audits (i.e. DOL)
* are triggered.
* Promote client engagement in welfare plan
* compliance and participate/develop effective benefit and compliance focused
* benefit programs working closely with internal teams, key producers and their
* clients.
* Assist those clients in anticipating challenges and develop broad
* strokes as well as tactical plans for managing issues in advance of compliance
* failures.
* Contribute to and collaborate with the National and
* Regional Compliance Teams with the intent to share best practices, leverage and
* provide innovative ideas to strengthen our compliance resources throughout the
* EB practice.
* Assist in onboarding new attorneys that may join
* the region or come to the company through acquisition.
* Collaborative with other
* attorneys in the east region and share best practice as well as continually
* refine the expectations for the CCO role – while understanding the nuances of particular
* markets and/or business segments.
* Work with HR and Corporate Training as necessary
* to facilitate the ongoing development of the CCO role.
* Create, share, coordinate, review, monitor and
* evaluate educational material or training sessions to help educate internal
* colleagues and external brokers and their clients/prospects on compliance
* topics and resources that are available to them.
* Collaborate with other teams within the company
* regarding compliance-related issues, including but not limited to regional
* underwriters, resource managers, CSOs, service and operational leaders and
* others.
* Participate as requested in the company's national
* initiatives, such as key account sales and service models, carrier/partner
* relationship building, vendor selection, and overall relationship maintenance.
* Collaborate with Corporate Communications Team
* to create straight-forward timely communications on new laws, regulations, and
* client/broker concerns/solutions, including webinars, seminars, national company
* website content such as blogs, articles, white papers, client bulletins, and
* marketing collateral.
* Ensure appropriate content is published and organized
* intuitively on both internal and external client sites.
* Seek out and participate in national and
* regional seminars and conferences with potential buyers of the company's services to
* elevate the brand.
* Represent the company internally and externally as a
* thought leader on compliance, trends, strategic planning, and leadership.
* Provide guidance and assistance to sales and
* service teams on compliance topics and resources.
* Interface with key producers, sales support, and
* operations leadership to ensure service model is meeting broker partner expectations.
* Develop training programs, recommend process
* improvement strategies and contribute to the template library in support of
* training, communication, and other critical broker service team initiatives

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Average Yearly Salary
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Min 10%
Median 50%
Median 50%
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Median 50%
Median 50%
Max 90%
Best Paying Company
Wedbush Securities
Highest Paying City
Cambridge, MA
Highest Paying State
Avg Experience Level
4.2 years
How much does a Chief Compliance Officer make at top companies?
The national average salary for a Chief Compliance Officer in the United States is $144,348 per year or $69 per hour. Those in the bottom 10 percent make under $99,000 a year, and the top 10 percent make over $208,000.

The largest raises come from changing jobs.

See what's out there.

Real Chief Compliance Officer Salaries

Job Title Company Location Start Date Salary
General Counsel/Chief Compliance Officer Balantrove Management, LLC Sep 29, 2011 $350,000
Chief Compliance Officer & Senior Counsel PDT Partners, LLC Oct 02, 2014 $250,000
Chief Compliance Officer Standard & Poor's Financial Services LLC Jul 29, 2015 $200,000 -
Deputy Chief Compliance Officer Sigue Corporation Sep 27, 2016 $200,000
Corporate Counsel and Chief Compliance Officer Mitsui & Co. Precious Metals, Inc. Jun 10, 2010 $170,000
Chief Compliance Officer & Associate General Counsel Steadfast Financial LP Apr 27, 2016 $167,565 -
Chief of International Consolidation & Compliance Prestige Cruise Services LLC Mar 12, 2015 $155,500
Chief Compliance Officer and Investor Relations Atlantico Capital Partners, LLC Aug 01, 2015 $150,000 -
Chief Compliance Officer Forefront Advisory, LLC Dec 20, 2009 $150,000
Chief Compliance Officer QIC Us Investment Services Inc. May 05, 2016 $140,000
Chief Compliance Officer Transfer Rapid, LLC Oct 02, 2011 $102,000
Chief Compliance and Money Laundering Reporting of SS&C Technologies, Inc. Sep 18, 2014 $90,000 -
Chief Compliance Officer Desjardins Bank, National Association Oct 01, 2012 $88,520
Chief Compliance Officer Southpeak Investment Management LLC Apr 15, 2014 $83,480
Chief Compliance Officer Spectra Services, Inc. Oct 01, 2015 $65,354
Chief Compliance Officer Amazing Apple, Inc. Nov 18, 2011 $64,280

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Top Skills for A Chief Compliance Officer

  1. Ensure Compliance
  2. Comprehensive Compliance Program
  3. Form ADV
You can check out examples of real life uses of top skills on resumes here:
  • Prepare and implement company-wide training programs to promote awareness and understanding of ever-changing laws and regulations to ensure compliance with same.
  • Designed and implemented a comprehensive compliance program.
  • Mitigate legal/regulatory risks; improve procedures for Form ADV (I&II) & Investment Management Agreements.
  • Performed post payment expense report audits in accordance with established statistical audit procedures ensuring travelers comply with Siemens travel policies.
  • Managed outside counsel regarding litigation, employment disputes, product liability, and prosecution and protection of intellectual property.


Average Salary:

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Top 10 Best States for Chief Compliance Officers

  1. Rhode Island
  2. South Dakota
  3. Massachusetts
  4. Montana
  5. Maine
  6. Connecticut
  7. New Hampshire
  8. Ohio
  9. Nevada
  10. New York
  • (39 jobs)
  • (32 jobs)
  • (326 jobs)
  • (23 jobs)
  • (31 jobs)
  • (122 jobs)
  • (31 jobs)
  • (305 jobs)
  • (74 jobs)
  • (513 jobs)

Chief Compliance Officer Resume Examples And Tips

The average resume reviewer spends between 5 to 7 seconds looking at a single resume, which leaves the average job applier with roughly six seconds to make a killer first impression. Thanks to this, a single typo or error on your resume can disqualify you right out of the gate. At Zippia, we went through over 2,128 Chief Compliance Officer resumes and compiled some information about how best to optimize them. Here are some suggestions based on what we found, divided by the individual sections of the resume itself.

Learn How To Create A Top Notch Chief Compliance Officer Resume

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Chief Compliance Officer Education


New York Law School


Saint John's University - New York


New York University


Georgetown University


Columbia University


Fordham University


Southwestern Law School


American University


Seton Hall University


George Washington University


University of Texas at Austin


University of Michigan - Ann Arbor


University of Virginia


Ohio State University


Georgia State University


Harvard University


DePaul University


University of Houston


University of Missouri - Saint Louis


Regent University

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Health Care Administration


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Chief Compliance Officer Videos

Who is the Chief Compliance Officer of Today and Tomorrow?

Global Ethics Forum 2012: Markus E. Schulz, Chief Compliance Officer, Zurich Insurance Company Ltd.

Chief Compliance Officer: What Does it Take To Do The Job?

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Updated May 18, 2020