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Become A Compliance Officer

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Working As A Compliance Officer

  • $79,000

    Average Salary

What Does A Compliance Officer Do At Edward Jones

* Partner with applicable business areas and outside service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
* Administer compliance program - conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a
* of the Investment Company Act and Rule 206(4)
* of the Investment Advisers Act and provide written documentation of the results.
* Conduct the review and on-going oversight of sub-advisers and mutual fund third-party service providers.
* Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
* Develop and update compliance policies and procedures.
* Provide ongoing compliance support to the funds and the advise.
* Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.
* Series 7, 9, 10, 24, and 66 licenses required or must be obtained within 12 months of hire.
* Minimum 3 years'experience in Compliance within the asset management or mutual fund industry, working with a regulatory body (e.g.
* SEC, FINRA, or state regulator), or CPA/consulting firm.
* Comprehensive understanding of industry rules and regulations pertaining to the Investment Advisers Act and Investment Company Act.
* Ability to interpret regulations and apply to due diligence, oversight reviews, and development and review of policies and procedures.
* Strong leadership and interpersonal skills are essential.
* Resolve complex issues through interpretation and application of industry regulations and firm business practices.
* Must have excellent written and verbal communication skills.
* Bachelor's degree in Finance, Accounting, or other quantitative subject and/or MBA preferred.
* Associated topics: advisory, assistant, automation, clerk, hipaa, immigration, legal assistant, patent, secretary i

What Does A Compliance Officer Do At Aramark

* Responsibilities include, but are not limited to the following:
* Responsible for monitoring the guests and staff throughout the course of the event to ensure intoxication levels do not exceed a reasonable level.
* Must be willing to approach guests and ask for identification.
* Must promptly respond to all calls from the client to handle intoxicated guests.
* Monitor the stands and associates to ensure all liquor laws are being adhered to by the staff.
* Report any issues to the supervisor or manager and fill out all paperwork after every event.
* Collect pre-event paperwork and insure accuracy
* Other duties as assigned by management

What Does A Compliance Officer Do At Goldman Sachs & Co.

* Covering, sales and trading personnel.
* Responsibilities include:
* Providing advice on general trading rules and regulations and advising on real time trading issues
* Coordinate with Business, Legal, Technology and/or Strategists on new desk initiatives.
* Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices
* Creating and implementing compliance training programs for business unit professionals
* Interacting with regulators and industry groups to analyze new rules and rule changes and formulate practical solutions to industry-wide issues
* Assist with regulatory and internal investigations and audits

What Does A Compliance Officer Do At Marsh & McLennan Companies

* Developing and executing the global program for Compliance monitoring; documenting program standards; and coordinating global teams to conduct Compliance monitoring.
* Remediating Compliance monitoring findings, including enhancing policies and controls worldwide, developing targeted Compliance trainings, recommending management actions and reporting on remediation status.
* Overseeing regulatory monitoring efforts to ensure compliance with new and evolving requirements; updating applicable policies and procedures as needed to address changes in law and regulation; collaborating with other LCPA colleagues to continuously enhance the regulatory control environment.
* Developing and executing global cultural initiatives, including revising and updating the Code of Conduct, Compliance Policies and related training and communications.
* Building Key Performance Indicators, dashboards and management reports that provide updates on the status of Compliance monitoring efforts and other initiatives; analyzing reporting metrics and highlighting emerging risks; developing thresholds and targets for reported metrics

What Does A Compliance Officer Do At Amtrust Financial Services

* Create a sustainable global program for sanctions compliance within our diversified insurance business groups
* Providing guidance and support to business concerning responsibilities surrounding USA Patriot Act compliance, global sanctions compliance, including OFAC and anti-money laundering (AML) due diligenceDevelop, recommend and implement risk based approach around regulatory processes and controls to ensure business unit compliance with regulatory driven sanction lists, watch lists and AML rules and regulations
* Daily review and investigation of any potential hits to OFAC (SDN) and other related sanctions list ensuring immediate handling and response
* Conduct a regular audit of industry risks including new business types that may provide a new threat to the insurance company and provide recommendations to CCO regarding mitigation controls
* Ensure timely implementation of new procedures in compliance with any change in laws and regulations and enhanced due diligence programs
* Coordinate regulatory examinations related to BSA/USA Patriot Act, OFAC and related issues
* Providing written and verbal communication on issues with management, the lines of business and Compliance units, performing and reviewing highly sensitive client and transaction search information, reporting, escalating and documenting results.
* Conduct ad hoc due-diligence projects

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Average Length of Employment
Compliance Manager 3.3 years
Compliance Officer 3.0 years
Compliance Analyst 2.4 years
Top Careers Before Compliance Officer
Internship 6.9%
Manager 5.8%
Cashier 4.7%
Consultant 4.6%
Associate 4.5%
Analyst 4.2%
Supervisor 3.7%
Law Clerk 3.7%
Director 3.5%
Teller 3.2%
Top Careers After Compliance Officer
Consultant 7.2%
Manager 5.2%
Owner 3.6%
Attorney 3.2%
Analyst 3.0%

Do you work as a Compliance Officer?

Compliance Officer Demographics

Gender

Female

45.1%

Male

41.7%

Unknown

13.1%
Ethnicity

White

59.5%

Hispanic or Latino

17.2%

Black or African American

11.7%

Asian

7.5%

Unknown

4.1%
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Foreign Languages Spoken

Spanish

56.7%

French

11.1%

Portuguese

4.4%

Mandarin

4.1%

Chinese

3.1%

German

3.1%

Italian

2.8%

Arabic

2.6%

Russian

2.3%

Hindi

1.6%

Cantonese

1.6%

Greek

1.0%

Dutch

0.8%

Korean

0.8%

Malay

0.8%

Carrier

0.8%

Urdu

0.8%

Swedish

0.5%

Vietnamese

0.5%

Hebrew

0.5%
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Compliance Officer Education

Schools

University of Phoenix

26.6%

New York University

6.3%

University of South Florida

5.7%

Fordham University

4.6%

Strayer University

4.5%

Walden University

4.3%

George Washington University

3.6%

Saint John's University - New York

3.6%

Florida International University

3.6%

Webster University

3.6%

Nova Southeastern University

3.6%

Eastern Kentucky University

3.6%

Florida State University

3.5%

New York Law School

3.4%

Wilmington University

3.3%

Pace University - New York

3.3%

Pennsylvania State University

3.3%

University of Florida

3.1%

DePaul University

3.1%

Capella University

3.1%
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Majors

Business

28.2%

Law

10.8%

Finance

9.3%

Accounting

8.9%

Criminal Justice

5.9%

Management

4.4%

Health Care Administration

3.6%

Political Science

3.3%

Psychology

2.9%

Economics

2.7%

Nursing

2.4%

Human Resources Management

2.4%

Legal Support Services

2.3%

Marketing

2.1%

Education

2.1%

Legal Research And Advanced Professional Studies

2.1%

Public Health

1.8%

Communication

1.8%

Public Administration

1.7%

English

1.4%
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Degrees

Bachelors

38.3%

Masters

24.4%

Other

15.3%

Doctorate

8.6%

Associate

7.7%

Certificate

4.2%

Diploma

1.1%

License

0.4%
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Job type you want
Full Time
Part Time
Internship
Temporary
Average Yearly Salary
$79,000
View Detailed Salary Report
$52,000
Min 10%
$79,000
Median 50%
$79,000
Median 50%
$79,000
Median 50%
$79,000
Median 50%
$79,000
Median 50%
$79,000
Median 50%
$79,000
Median 50%
$121,000
Max 90%
Best Paying Company
St. Mary's Good Samaritan
Highest Paying City
Austin, TX
Highest Paying State
Alaska
Avg Experience Level
3.2 years
How much does a Compliance Officer make at top companies?
The national average salary for a Compliance Officer in the United States is $79,872 per year or $38 per hour. Those in the bottom 10 percent make under $52,000 a year, and the top 10 percent make over $121,000.

Real Compliance Officer Salaries

Job Title Company Location Start Date Salary
Senior Compliance Officer, Product Citigroup Global Markets Inc. New York, NY Aug 30, 2015 $195,500
Senior Compliance Officer-Product Citigroup Management Corp. Wilmington, DE Jan 07, 2016 $185,100
Compliance Officer-AML Advisory Citigroup Management Corp. Jersey City, NJ Jun 27, 2016 $160,000
Compliance Officer-AML Advisory Citigroup Management Corp. Jersey City, NJ Jul 17, 2016 $160,000
Compliance Officer-AML Advisory Citigroup Management Corp. Jersey City, NJ Jul 25, 2016 $160,000
International Compliance Officer Indium Corporation of America Clinton, NY Jun 15, 2016 $157,539
International Compliance Officer Indium Corporation of America Naples, FL Sep 01, 2015 $156,525 -
$166,960
Business Unit Compliance Officer BMO Capital Markets Corp Chicago, IL Aug 06, 2016 $150,000
Senior Compliance Data Governance Officer HSBC Bank USA, N.A. New York, NY Oct 01, 2015 $140,000
Compliance Officer AIG Claims, Inc. Jersey City, NJ May 18, 2015 $139,000
Compliance Officer AIG Claims, Inc. Jersey City, NJ Jul 11, 2016 $139,000
Marine Compliance Officer Stolt-Nielsen USA Houston, TX Jul 07, 2016 $131,768
Fair Lending Data Analytics Compliance Officer Citizens Financial Group, Inc. Glen Allen, VA Jan 09, 2016 $93,200 -
$153,000
Compliance Officer National Bank of Pakistan New York, NY Jul 10, 2016 $91,770
Senior Compliance Officer Jpmorgan Chase & Co. Jersey City, NJ May 01, 2015 $91,500
Senior Compliance Officer JP Morgan Chase & Co Jersey City, NJ Mar 30, 2016 $91,500
Senior Compliance Officer Jpmorgan Chase & Co. Jersey City, NJ May 20, 2015 $91,500
Compliance Officer (Associate) Commerzbank AG-New York Branch New York, NY Sep 26, 2016 $88,000
Compliance Officer Khan Funds Management America, Inc. New York, NY Aug 09, 2016 $87,028
Compliance Officer RSC Capital Management, L.P. New York, NY Nov 28, 2016 $86,819
Compliance Officer Top 8 Construction Corp. NY Feb 17, 2015 $64,251
Compliance Testing Officer HSBC Bank USA, N.A. Jersey City, NJ Jul 21, 2016 $63,000
Compliance Testing Officer HSBC Bank USA, N.A. Jersey City, NJ Sep 11, 2015 $63,000
Compliance Officer Jpmorgan Chase & Co. New York, NY Jan 09, 2015 $62,500
Research Compliance Officer University of Utah Salt Lake City, UT Oct 21, 2016 $62,500
Compliance Officer Jpmorgan Chase & Co. New York, NY Sep 01, 2015 $62,500
Compliance Officer National Bank of Pakistan New York, NY Sep 09, 2016 $62,282
Compliance Officer Nazelie Skincare, LLC Blue Bell, PA Sep 11, 2015 $61,526

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Top Skills for A Compliance Officer

  1. Ensure Compliance
  2. Regulatory Requirements
  3. Audit
You can check out examples of real life uses of top skills on resumes here:
  • Performed reviews of registration statements received from charities and professional fundraisers to ensure compliance with regulations of the Illinois Attorney General.
  • Interpret and apply new regulatory initiatives as well as design and implement procedures to comply with new regulatory requirements.
  • Redesigned the compliance audit program to proactively identify and mitigate legal and regulatory risk exposure.
  • Review and coordinate distribution, communication and implementation of new corporate compliance policies and procedures.
  • Reviewed firm's activity reports and financial statements to ensure net-capital requirements were met.

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Top 10 Best States for Compliance Officers

  1. Massachusetts
  2. Alaska
  3. District of Columbia
  4. Connecticut
  5. Rhode Island
  6. Delaware
  7. Minnesota
  8. Virginia
  9. New York
  10. Washington
  • (249 jobs)
  • (10 jobs)
  • (41 jobs)
  • (69 jobs)
  • (32 jobs)
  • (29 jobs)
  • (132 jobs)
  • (236 jobs)
  • (358 jobs)
  • (131 jobs)

Top Compliance Officer Employers

Jobs From Top Compliance Officer Employers

Compliance Officer Videos

Who is the Chief Compliance Officer of Today and Tomorrow?

The Role of the Compliance Officer

Sunita Mansigani, Compliance Officer for Danske Bank gives an insight into working in compliance.

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