FIND PERSONALIZED JOBS
Sign up to Zippia and discover your career options with your personalized career search.
Sorry, we can't find that. Please try a different city or state.

Compliance Officer Overview

This job has expired and is no longer available.
APPLY NOW
Apply Now
×
FIND
PERSONALIZED JOBS

Sorry, we can't find that. Please try a different city or state.

CONTENT HAS
BEEN UNLOCKED
Close this window to view unlocked content
or
find interesting jobs in

Log In

Log In to Save

Sign Up to Save

Sign Up to Dismiss

Sign Up

SIGN UP TO UNLOCK CONTENT

or

The email and password you specified are invalid. Please, try again.

Email and password are mandatory

Forgot Password?

Don't have an account? Sign Up

reset password

Enter your email address and we will send you a link to reset your password.

Back to Log In

Log In

Log In to Save

Sign Up to Save

Sign Up to Dismiss

Sign up to save the job and get personalized job recommendations.

Sign up to dismiss the job and get personalized job recommendations.

or
The email and password you specified are invalid. Please, try again.

Email and password are mandatory

Already have an account? Log in

reset password

Enter your email address and we will send you a link to reset your password.

Back to Log In

Company Saved

Answer a few questions and view jobs at that match your preferences.

Where do you want to work?

Job Saved

See your Saved Jobs now

or

find more interesting jobs in

Job Dismissed

Find better matching jobs in

Your search has been saved!

Working As A Compliance Officer

  • $65,000

    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

Show More

Show Less

Do you work as a Compliance Officer?

Send To A Friend

What are you looking for?

Take our 2 minute survey and see the best Compliance Officer jobs for you.

Compliance Officer Jobs

NO RESULTS

Aw snap, no jobs found.

Add To My Jobs

What is the right job for your career path?

Tell us your goals and we'll match you with the right jobs.

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?

Average Yearly Salary
$65,000
Show Salaries
$44,000
Min 10%
$65,000
Median 50%
$65,000
Median 50%
$65,000
Median 50%
$65,000
Median 50%
$65,000
Median 50%
$65,000
Median 50%
$65,000
Median 50%
$96,000
Max 90%
Best Paying Company
Morgan Stanley
Highest Paying City
Santa Rosa, CA
Highest Paying State
Washington
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 $65,364 per year or $31 per hour. Those in the bottom 10 percent make under $44,000 a year, and the top 10 percent make over $96,000.

The largest raises come from changing jobs.

See what's out there.

Real Compliance Officer Salaries

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

No Results

To get more results, try adjusting your search by changing your filters.

See More Salaries

Top Skills for A Compliance Officer

  1. Ensure Compliance
  2. Compliance Procedures
  3. Audit Procedures
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.
  • Managed the implementation and monitoring of global policies and standards for operations and finance compliance procedures.
  • Executed quality audit procedures to ensure continuous improvement of processes, procedures and products, which enhanced customer satisfaction and brand perception
  • Developed and implemented compliance policies to assist departmental projects and programs in support of divisional goals and objectives.
  • Reviewed firm's activity reports and financial statements to ensure net-capital requirements were met.

Rank:

Average Salary:

Embed On Your Website

Top 10 Best States for Compliance Officers

  1. South Dakota
  2. Idaho
  3. Rhode Island
  4. Montana
  5. Ohio
  6. Washington
  7. Massachusetts
  8. Nevada
  9. Delaware
  10. Alaska
  • (19 jobs)
  • (30 jobs)
  • (32 jobs)
  • (15 jobs)
  • (238 jobs)
  • (131 jobs)
  • (249 jobs)
  • (27 jobs)
  • (29 jobs)
  • (10 jobs)

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 9,561 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 Compliance Officer Resume

View Resume Examples

Compliance Officer Demographics

Gender

Female

47.7%

Male

45.1%

Unknown

7.1%
Ethnicity

White

59.5%

Hispanic or Latino

17.2%

Black or African American

11.7%

Asian

7.5%

Unknown

4.1%
Show More
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%
Show More

Compliance Officer Education

Schools

University of South Florida

8.4%

New York University

7.8%

Eastern Kentucky University

6.4%

Strayer University

6.4%

Temple University

5.5%

Fordham University

5.5%

Florida State University

5.5%

Saint John's University - New York

5.2%

Walden University

5.2%

University of Florida

4.9%

Nova Southeastern University

4.6%

Florida International University

4.0%

New York Law School

4.0%

Pennsylvania State University

4.0%

Boston University

4.0%

Baruch College of the City University of New York

3.8%

Pace University - New York

3.8%

Texas A&M University

3.8%

University of Houston

3.8%

Ohio State University

3.5%
Show More
Majors

Business

26.8%

Law

10.5%

Finance

9.9%

Accounting

9.3%

Criminal Justice

6.9%

Management

4.2%

Health Care Administration

4.0%

Psychology

3.5%

Political Science

3.4%

Nursing

2.7%

Economics

2.6%

Legal Support Services

2.3%

Legal Research And Advanced Professional Studies

2.2%

Education

2.1%

Marketing

1.9%

Communication

1.9%

Public Administration

1.6%

Public Health

1.5%

Human Resources Management

1.5%

Computer Science

1.4%
Show More
Degrees

Bachelors

41.8%

Masters

23.5%

Associate

11.2%

Doctorate

7.9%

High School Diploma

6.7%

Certificate

6.5%

Diploma

2.0%

License

0.3%
Show More

Job type you want
Full Time
Part Time
Internship
Temporary

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.

Related To Your Recently Viewed Content

Updated May 18, 2020