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Become A Compliance Officer

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Working As A Compliance Officer

  • $68,019

    Average Salary

What Does A Compliance Officer Do At Insperity

* His/her role is to lead the implementation at the EAI level of the guidelines issued by the Office of the Vice President of Corporate Compliance of Ecopetrol S
* A. regarding risk management, internal controls, ethics, fraud, corruption and prevention of money laundering and financing of terrorism, and all other compliance policies and procedures.
* GENERIC FUNCTIONS: Be the Compliance Officer of EAI; Create, lead and implement the company s compliance program and compliance trainings; Design and maintain the company s internal control system, considering the various processes, the policies and procedures and/or guidelines of the Ecopetrol Business Group and the organization control environment; Manage, monitor and ensure compliance with the guidelines issued by the Vice Presidency of Compliance of Ecopetrol regarding risk, internal controls, compliance and ethics; Ensure that that company policies and procedures and consider key aspects to effectively prevent compliance risks (fraud, corruption, LAFT and FCPA, and others); Report to Ecopetrol's Vice
* President of Compliance the results of risk management, internal control, compliance and ethics, on a timely basis and in the proper manner, as duly defined; Monitor the management of all matters relative to fraud, corruption, money laundering and the financing of terrorism (LAFT) in the company and the associated risks; Be aware of, manage and remedy any issues representing a potential or actual impact on the management of the company's compliance; Lead internal control self-evaluations, management testing, and the contract with the SOX external auditor; Conduct all compliance and ethics internal investigations.
* Issue the Company s compliance policies and update the same to ensure that at all times they are in accordance with the applicable laws and regulations Design, document, review and monitor the risk management program of the Company.
* Including annual risk assessment and the quarterly monitoring risk meetings; Develop, document and monitor the Audit Plan of EAI in accordance with the Ecopetrol S
* A. methodology; Report to the Audit Committee of the Board of EAI on risks, internal controls, ethics and compliance matters.
* Any other functions and activities as may be assigned by the Vice President of Corporate Compliance of Ecopetrol S
* A. The above, while ensuring that the company meets all applicable regulatory requirements and that its employees comply with all internal policies and procedures, including those required by the Vice President of Compliance of Ecopetrol S

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

* Providing advice and support to business projects and issues requiring compliance input
* Take part in compliance-led projects and represent RMD Compliance on Firmwide and cross regional projects and working groups
* Reviewing and advising on activities with the perspective of looking for issues around Anti-money laundering and meeting regulations
* Providing support for / responding to general compliance-related queries
* Development and implementation of compliance-related policies and procedures
* Impact analysis and implementation of regulatory changes affecting the RMD business as well as continuously monitor the business’ risk and control assessment
* Trade surveillance and compliance monitoring of business activity
* Develop/deliver training for business personnel and tracking attendance
* Liaise with Legal department to identify and interpret client and regulatory requirements
* Responding to Client complaints by investigating, processing and coordinating responses with Litigation team where applicable

What Does A Compliance Officer Do At Endo International

* Identifies Compliance risk areas and develops strategies to address risk areas.
* Development and oversight of key Compliance Operations programs and activities, including business process assessments, data analytics and reporting to Business Unit Compliance officers, Chief Compliance Officer and Senior/Executive management.
* Collaborates with business and Compliance colleagues and provides leadership for key Compliance initiatives, including enterprise wide programs such as compliance with State and Federal aggregate spend reporting requirements and certifications, including chairing Aggregate Spend Steering Committee.
* Oversee the IEM Investigations Case Management system and Ethics hotline through strategic partnerships with BU Compliance Officers and relevant business departments.
* Lead and oversee enterprise Compliance training initiatives and programs, including the Enterprise Learning Management System (LMS) and governance of policy enterprise-wide compliance policies and tools.
* Provides oversight for the development and execution of the annual Compliance auditing and monitoring plans across enterprise and business segments; designs and implements program enhancements to address Compliance risk areas.
* Develops reporting capabilities, enterprise wide metrics and key performance indicators that reflect the effectiveness of the corporate and business segment compliance programs for Compliance reports provided to executive management; and supports Chief Compliance Officer in meeting reporting responsibilities to Executive Leadership, the Corporate Compliance Committee, and the Endo Board of Directors

What Does A Compliance Officer Do At Citi

* Provide AML-related advice and credible challenge to the NAM Branded Cards and Citi Retail Services (“Cards”) businesses, ensuring AML requirements and standards are understood and implemented appropriately
* Provide oversight for the AML compliance program for Cards businesses
* Review and assess new Card products for AML risk; ensure compliance with AML NPA standard and processes
* Conduct AML risk assessments related to the Cards business
* Provide subject matter expertise to the Cards businesses in designing, building, and implementing enhancements to their AML compliance programs and related operations
* Participate in the AML Policy process for Cards; develop procedures, and guidelines and provide support to the Cards businesses in operationalizing AML-related activities
* Participate in governance forums for the Cards AML program
* Review and escalate significant AML issues and activities
* Liaise with internal audit staff for AML matters; provide support for internal AML-related regulatory examinations, audit and reviews, document production, and issue responses related to the Cards business
* Maintain understanding of developments in Card products and services, to identify AML opportunities and design and implement appropriate solutions

What Does A Compliance Officer Do At Siemens

* Collaborate closely with SPPAL Senior Management and contribute to the success of the business by providing practical legal and business advice
* Lead selection and performance of outside counsel and oversee litigation matters
* Provide advice on applicable laws and risk mitigation strategies
* Participate in risk review and approval meetings for new projects and prepare legal approval documents.
* Develop legal policies and strategies for the business in consultation with the global SPPAL legal team and in coordination with the SPPAL General Counsel.
* Develop and provide legal/compliance training to the organization
* Manage the department budget
* Participate as part of the SPPAL global Compliance team including rolling out SPPAL Compliance initiatives and reporting to SPPAL’s Chief Compliance Officer on significant Compliance matters.
* Manage all corporate governance functions
* Provide legal advice where required during contract negotiations, contract amendments and review various contracts as needed.
* Provide pre-claim strategies to protect projects and Investigate, manage and prepare contract claims

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Compliance Officer jobs

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Compliance Officer Career Paths

Compliance Officer
Vice President And Manager Finance Advisor
Assistant Vice President
7 Yearsyrs
Chief Compliance Officer
13 Yearsyrs
Compliance Manager
Compliance Director
12 Yearsyrs
Safety Consultant Safety Manager Compliance Manager
Corporate Compliance Director
10 Yearsyrs
Senior Compliance Analyst Assistant Vice President Credit Officer
Credit Manager
5 Yearsyrs
Safety Manager Human Resources Manager
Director Of Human Resources
10 Yearsyrs
Risk Manager Senior Manager Service Director
Director Of Pharmacist
10 Yearsyrs
Loan Officer Operations Manager Purchasing Manager
Director Of Purchasing
10 Yearsyrs
Senior Compliance Analyst Compliance Manager Associate Director
Finance Aid Director
7 Yearsyrs
Program Manager Marketing Manager
General Manager
7 Yearsyrs
Safety Manager General Manager
Operations Director
9 Yearsyrs
Program Manager General Manager Account Manager
Operations Manager
7 Yearsyrs
Human Resources Coordinator Business Manager Practice Manager
Practice Administrator
10 Yearsyrs
Compliance Manager Senior Manager Operations Director
President Of Operations
11 Yearsyrs
Vice President And Manager Chief Executive Officer Specialist
Program Manager
8 Yearsyrs
Human Resources Manager Property Manager
Regional Property Manager
7 Yearsyrs
Risk Manager Compliance Manager Compliance Director
Regulatory Compliance Director
13 Yearsyrs
Loan Officer Office Manager Human Resources Coordinator
Senior Human Resources Generalist
7 Yearsyrs
Human Resources Manager Assistant Vice President
Vice President And Manager
10 Yearsyrs
Human Resources Coordinator Business Analyst Assistant Vice President
Vice President Operation Manager
9 Yearsyrs
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Compliance Officer Demographics


  • Female

  • Male

  • Unknown



  • White

  • Hispanic or Latino

  • Asian

  • Unknown

  • Black or African American

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Languages Spoken

  • Spanish

  • French

  • Mandarin

  • German

  • Portuguese

  • Arabic

  • Chinese

  • Russian

  • Italian

  • Hindi

  • Korean

  • Greek

  • Hebrew

  • Dutch

  • Malay

  • Cantonese

  • Carrier

  • Urdu

  • Marshallese

  • Hmong

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Real Compliance Officer Salaries

Job Title Company Location Start Date Salary
Managing Director, Business Unit Compliance Officer BMO Harris Bank N.A. New York, NY Sep 21, 2015 $225,000
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 Jul 17, 2016 $160,000
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 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 -
Compliance Officer, Regulatory Affairs Biomarin Pharmaceutical, Inc. San Rafael, CA Jan 26, 2016 $156,500 -
Business Unit Compliance Officer BMO Capital Markets Corp Chicago, IL Aug 06, 2016 $150,000
Associate Director, Fixed Income Compliance Officer RBC Capital Markets, LLC New York, NY Feb 03, 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 The Fountain Group LLC Cambridge, MA Aug 24, 2015 $93,915
Fair Lending Data Analytics Compliance Officer Citizens Financial Group, Inc. Glen Allen, VA Jan 09, 2016 $93,200 -
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
Associate Compliance Officer Origene Technologies, Inc. Rockville, MD Mar 12, 2015 $65,000 -
Compliance Officer Nanshan America Advanced Aluminum Technologies LLC. Lafayette, IN Sep 16, 2016 $65,000
Compliance Officer Legg Mason & Co., LLC New York, NY Sep 10, 2015 $65,000
Associate, Compliance Officer Jpmorgan Chase & Co. Jersey City, NJ Aug 28, 2015 $65,000
Compliance Officer Andritz Metals Inc. Canonsburg, PA Sep 21, 2016 $65,000
Compliance Officer Spencer Ogden Inc. Houston, TX Apr 04, 2016 $65,000
Compliance Officer Nanshan America Advanced Aluminum Technologies LLC. Lafayette, IN Sep 21, 2016 $65,000

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Top Skills for A Compliance Officer


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Top Compliance Officer Skills

  1. Compliance Procedures
  2. Regulatory Compliance
  3. Internal Audit
You can check out examples of real life uses of top skills on resumes here:
  • Advised firm personnel on regulatory policies and internal compliance procedures.
  • Provided staff training on Health and Safety, OSHA, New Employee Orientation and related regulatory compliance with Health Plans.
  • Acted as a liaison with Internal Auditors, DFI/FDIC (State & Regulatory) Examiners.
  • Developed financial statements for annual reports on common and collective trust funds.
  • Report Quality Management System activities, Compliance Committee activities and Board Committee activities to the Patient Safety/Quality Management Committee.

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.