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Become A Chief Compliance Officer

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Working As A Chief Compliance Officer

  • Communicating with Supervisors, Peers, or Subordinates
  • Evaluating Information to Determine Compliance with Standards
  • Establishing and Maintaining Interpersonal Relationships
  • Documenting/Recording Information
  • Getting Information
  • Deal with People

  • Mostly Sitting

  • Make Decisions

  • $135,000

    Average Salary

What Does A Chief Compliance Officer Do At Consumer Banking & Financial Services, Wilmington, de

* Develop and maintain written policies and procedures for on-going monitoring of fund operations to ensure compliance with a variety of existing federal regulations, such as anti-money laundering, trading practices, document retention, customer privacy protection, disclosure requirements, fair valuation, identification of affiliated persons, code of ethics and business continuity plans.
* Individually, and in coordination with other compliance officers throughout the company and with the funds’ service providers, oversee all operational activities of the funds and investment advisers to identify any possible violations to documented procedures.
* This includes late-trading activity, market-timing violations, the need to use fair valuation and disclosure requirements.
* Compile and present on an annual basis to the Board of Trustees a written report on the fund’s policies and procedures as well as those of its service providers, including any material compliance matters that have arisen during the year and documentation on how those items were addressed and/or resolved.
* Meet annually with the Independent Trustees in executive session and be a member of fund’s committees (i.e., audit and governance).
* Implement, update and manage the compliance function of the investment adviser.
* This includes reviewing Form ADV; drafting and implementing policies and procedures, including a compliance manual; updating and monitoring code of ethics; conducting in-house reviews to test compliance; business continuity plans; oversee all regulatory exams and liaising with regulators.
* Exercise usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, performance management and terminations.
* Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite.
* Identify risk-related issues needing escalation to management.
* Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
* Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.
* Promote an environment that supports diversity and reflects the Company brand.
* Complete other related duties as assigned.
* NATURE AND SCOPE : The position works under supervision of the Mutual Fund Board and the WISD Compliance CCO.
* The position has substantial contact with internal departments / positions within Company Corporation.
* The position involves establishing and maintaining relationships with external contacts including, but not limited, to regulatory examiners, service providers, investment advisers, attorneys, and peers at other institutions

What Does A Chief Compliance Officer Do At Suez-Na

* oversee all aspects of the Company’s legal compliance program in North America and serve as the steward of the Company’s compliance strategy, structure and processes;
* lead a process to identify, understand and map the compliance status and resource needs of SUEZ NA’s compliance obligations under applicable statutes, regulations, contracts/agreements, Company policies and procedures and the Company’s Code of Conduct;
* establish and lead a compliance council or other body to provide oversight of the Company’s compliance obligations and issues relating to them;
* develop with the other members of the compliance council or other oversight body a risk-based methodology to prioritize compliance gaps, a multi-year budget plan (to be submitted into each FY’s budget process) to close those gaps and an audit or evaluation program to determine progress;
* keep the General Counsel informed of complex, sensitive and/or material matters and seek her counsel on matters requiring attention;
* report on the status of the Company’s compliance to the Chief Executive Officer, Executive Management Team and Board of Directors;
* liaise with the Group Chief Compliance Officer and compliance officers at other SUEZ business units to leverage resources, technology and best practices;
* maintain professional standards and expertise through membership in governance, compliance and risk management organizations; and
* Travel locally.
* KPIs:/
* The duties of the Chief Compliance Officer include:
* Working with department and functional leaders to identify and assess legal, regulatory and other compliance risks associated with the different departments of the Company;
* Establishing and serving as a member of the Company’s compliance council, and leading monthly council meetings;
* Leading the compliance council in its efforts to:
* prioritize risks and other compliance gaps;
* develop a rolling multi-year budget plan for eliminating compliance risks and gaps;
* develop a compliance audit program; and
* create an enterprise-level Compliance Program for SUEZ NA.
* Developing recommendations for organizational and/or structural changes more effectively to manage compliance obligations and risk;
* Working with the Company’s Ethics Officer and General Counsel to maintain the Company Code of Ethics and Ethical Conduct and Conflict of Interest at robust and best in class level.
* Developing and providing training to Company personnel to ensure that they are aware of legal and compliance risks as well as the Company’s compliance program and related policies and procedures;
* Serving as a member of the Company’s Ethics and Compliance Committee;
* In consultation with the General Counsel and/or outside counsel, investigating reports of unlawful conduct and compliance violations;
* Developing with Human Resources corrective action plans to address identified unlawful conduct.
* Providing quarterly reports to the General Counsel on the status of the Company’s Compliance Program, including any recommended changes to compliance policies and procedures, the status of compliance-related investigations, and training efforts;
* Supervising directly and indirectly staff to support the goals of the Company’s Compliance Program.
* Working with the Company’s Enterprise Risk Management (ERM) function to ensure that compliance efforts and priorities align with the Company’s key enterprise risks.
* Assisting the Ethics Officer in completing the annual corruption-risk mapping matrix and related compliance documentation for submission to the Group’s Chief Compliance Officer

What Does A Chief Compliance Officer Do At Cambridge Investment Research

* Motivate and lead a high
* performance team and review performance of teams on regular basis to
* ensure alignment with corporate approach;
* Attract,
* recruit and retain required members of the team; including proactively
* forecasting staffing needs and administering timely and regular performance
* reviews;
* Set
* reasonable standards for accomplishing organization’s purpose, goals and
* objectives and departmental goals and objectives to establish strong measures
* of accountability to meet those standards;
* Job Requirements

What Does A Chief Compliance Officer Do At Raymond James

* Oversees periodic compliance reviews and maintenance of documentation to support the completion of the review and corrective measures taken.
* Oversees the testing and verifies internal controls are adequate to achieve compliance with prevailing rules and regulations.
* Oversees design of the firm’s written supervisory procedures and compliance controls with applicable SEC and FINRA rules and regulations.
* Responds to applicable inquiries and exams.
* Works with business management to develop, communicate and implement strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.
* Researches existing rules and monitors regulatory developments and communicates changes to affiliates and home office staff.
* Develops, implements, sustains, monitors and when necessary revises compliance programs that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements.
* Ensures that procedures are appropriately documented and referenced in the firm’s compliance manuals and written supervisory procedures
* Establishes objectives and ensures processes and procedures to support efficient and timely work flow.
* Identifies trends and implements corrective action as necessary.
* Works with business management to evaluate and enhance IT processes and procedures that support compliance with broker-dealer regulations.
* Partners with senior business executives, legal, risk management, and compliance to appropriately mitigate and manage regulatory and litigation risk.
* Works with business partners and managers to ensure policies and procedures are in compliance with required regulations and assists in bringing non-complying areas into compliance.
* Supports a culture of risk management and compliance throughout all levels within the firm.
* Responds to, oversees and/or assists counsel with responses to regulatory inquiries.
* Manages compliance exams of the finance and operations areas by various regulatory bodies.
* Plans, assigns, monitors, reviews, evaluations and leads the work of others.
* Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
* Performs other duties and responsibilities as assigned

What Does A Chief Compliance Officer Do At Highmark Health

* Perform management responsibilities including, but not limited to: involved in hiring and termination decisions, coaching and development, rewards and recognition, performance management and staff productivity.
* Plan, organize, staff, direct and control the day-to-day operations of the department; develop and implement policies and programs as necessary; may have budgetary responsibility and authority.
* Oversee the Government Compliance Business Unit and for the implementation of the Medicare and MedicaidCompliance programs
* This leadership role is responsible for making sure the business is properly following the growing number of laws, regulations and other requirements set forth by the government (both State and Federal)
* Must be able to lead the further development, implementation, and maintenance of an effective government compliance and risk management program.
* Oversee definition of program structure, educational/training requirements, reporting and compliance mechanisms, response and correction procedures, and complaint expectations for all personnel, first tier, downstream, and related (FDR) entities that support the core functions of the Medicare Advantage, Medicare Prescription drug and Medicaid Marketplace Health Insurance contracts.
* Oversee development and strategic direction and oversight of the legal function with accountability for oversight of outcomes and resource distribution to ensure legal needs of the organization are met.
* Report to the Gateway Board of Directors and other Board-level/ownership level organizations on the activities of both the compliance and legal departments, preparing routine and ad-hoc reports on departmental activities, investigations, audits, and risk assessments
* In role of Chief Compliance Officer, Routinely interfaces with external and multiple State and Federal agencies and health and human service organizations as the Gateway Health representative for Compliance and Legal matters.
* Lead all State and Federal Audit Activities
* As the organization enters new States, this includes identifying new state requirements and developing associated Medicaid Compliance Plans, planning and hiring for appropriate staff as may be required and implementing and monitoring programs.
* Other duties as assigned

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Chief Compliance Officer Demographics


  • Male

  • Female

  • Unknown



  • White

  • Hispanic or Latino

  • Asian

  • Unknown

  • Black or African American

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Languages Spoken

  • Spanish

  • French

  • Chinese

  • Mandarin

  • German

  • Japanese

  • Russian

  • Ukrainian

  • Yoruba

  • Greek

  • Italian

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Chief Compliance Officer

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Chief Compliance Officer Education

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Real Chief Compliance Officer Salaries

Job Title Company Location Start Date Salary
General Counsel/Chief Compliance Officer Balantrove Management, LLC New York, NY Sep 29, 2011 $350,000
Chief Compliance Officer & Senior Counsel PDT Partners, LLC New York, NY Oct 02, 2014 $250,000
Chief Compliance Officer Standard & Poor's Financial Services LLC TX Jul 29, 2015 $200,000 -
Deputy Chief Compliance Officer Sigue Corporation Selma, CA Sep 27, 2016 $200,000
Chief Risk & Compliance Officer Lawyers' Mutual Insurance Company Burbank, CA Jun 05, 2016 $185,000
Chief Risk & Compliance Officer Lawyers' Mutual Insurance Company Burbank, CA Sep 03, 2015 $178,214
Corporate Counsel and Chief Compliance Officer Mitsui & Co. Precious Metals, Inc. New York, NY Jun 10, 2010 $170,000
Associate General Counsel/Chief Compliance Officer Steadfast Financial LP New York, NY Aug 28, 2014 $165,651 -
Chief of International Consolidation & Compliance Prestige Cruise Services LLC Doral, FL Mar 12, 2015 $155,500
Chief Compliance Officer and Investor Relations Atlantico Capital Partners, LLC Miami, FL Aug 01, 2015 $150,000 -
Chief Compliance Officer Forefront Advisory, LLC New York, NY Dec 20, 2009 $150,000
Chief Compliance Officer QIC Us Investment Services Inc. New York, NY May 05, 2016 $140,000
Chief Compliance Officer Transfer Rapid, LLC White Plains, NY Oct 02, 2011 $102,000
Chief Compliance and Money Laundering Reporting of SS&C Technologies, Inc. Windsor, CT Sep 18, 2014 $90,000 -
Chief Compliance Officer Desjardins Bank, National Association Hallandale Beach, FL Oct 01, 2012 $88,520
SVP & Chief Compliance Officer New York Life International, LLC New York, NY Apr 04, 2011 $84,635 -
Chief Compliance Officer Southpeak Investment Management LLC Stamford, CT Apr 15, 2014 $83,480
Chief Compliance Officer Spectra Services, Inc. Phoenix, AZ Oct 01, 2015 $65,354
Chief Compliance Officer Amazing Apple, Inc. East Rutherford, NJ Nov 18, 2011 $64,280

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Top Skills for A Chief Compliance Officer


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Top Chief Compliance Officer Skills

  1. Regulatory Compliance
  2. Compliance Program
  3. Form ADV
You can check out examples of real life uses of top skills on resumes here:
  • Develop and maintain policies and procedures to ensure regulatory compliance with FINRA.
  • Draft and deliver employee training on all facets of the compliance program including management and supervisor training.
  • Drafted 15c reports, Form ADV updates, Board of Trustee quarterly reports and 13F filings.
  • Received satisfactory ratings on all internal audits and regulatory exams.
  • Review member financial statements to ensure compliance with the minimum financial requirements.

Top Chief Compliance Officer Employers

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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?