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Become A Compliance Officer

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Working As A Compliance Officer

  • $68,037

    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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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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Help others decide if this is a good career for them

Average Length of Employment
Compliance Manager 3.3 years
Compliance Officer 3.0 years
Compliance Auditor 2.8 years
Compliance Analyst 2.3 years
Top Employers Before
Internship 7.2%
Manager 6.0%
Law Clerk 4.9%
Associate 4.7%
Teller 4.7%
Consultant 4.2%
Analyst 4.1%
Supervisor 3.7%
Attorney 3.6%
Director 3.6%
Top Employers After
Consultant 7.8%
Manager 5.6%
Attorney 3.9%
Owner 3.6%
Director 3.6%

Do you work as a Compliance Officer?

Compliance Officer Demographics

Gender

Female

50.7%

Male

46.6%

Unknown

2.7%
Ethnicity

White

59.2%

Hispanic or Latino

17.4%

Black or African American

11.3%

Asian

7.9%

Unknown

4.2%
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Languages Spoken

Spanish

58.8%

French

11.6%

Mandarin

3.9%

Portuguese

3.9%

German

3.5%

Arabic

3.5%

Italian

2.5%

Hindi

1.8%

Russian

1.8%

Chinese

1.8%

Malay

1.1%

Greek

1.1%

Hebrew

0.7%

Dutch

0.7%

Korean

0.7%

Cantonese

0.7%

Carrier

0.7%

Urdu

0.7%

Marshallese

0.4%

Hmong

0.4%
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Compliance Officer Education

Schools

University of Phoenix

24.4%

Walden University

5.5%

University of South Florida

5.1%

New York University

5.1%

Eastern Kentucky University

5.1%

George Washington University

4.6%

Webster University

4.4%

Fordham University

4.4%

DePaul University

4.1%

Southern New Hampshire University

3.9%

Strayer University

3.9%

University of Alabama

3.7%

Columbia Southern University

3.5%

Villanova University

3.5%

Boston University

3.5%

Pace University - New York

3.2%

Capella University

3.2%

Florida State University

3.0%

Howard University

3.0%

Kaplan University

3.0%
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Majors

Business

27.3%

Law

11.3%

Accounting

9.0%

Finance

8.5%

Criminal Justice

6.2%

Management

4.8%

Health Care Administration

3.6%

Psychology

3.0%

Political Science

2.8%

Human Resources Management

2.7%

Public Health

2.4%

Economics

2.4%

Legal Research And Advanced Professional Studies

2.3%

Legal Support Services

2.3%

Education

2.2%

Marketing

2.1%

Nursing

2.1%

Communication

1.9%

Public Administration

1.6%

Biology

1.4%
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Degrees

Bachelors

36.2%

Masters

25.2%

Other

16.8%

Doctorate

9.4%

Associate

6.6%

Certificate

4.3%

Diploma

0.9%

License

0.4%
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Part Time
Internship
Temporary

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 Jul 25, 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 Jun 27, 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 Jpmorgan Chase & Co. Jersey City, NJ May 20, 2015 $91,500
Senior Compliance Officer JP Morgan Chase & Co Jersey City, NJ Mar 30, 2016 $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
Compliance Officer Jpmorgan Chase & Co. New York, NY Sep 01, 2015 $62,500
Research Compliance Officer University of Utah Salt Lake City, UT Oct 21, 2016 $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

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  1. Compliance Procedures
  2. Regulatory Requirements
  3. Audit
You can check out examples of real life uses of top skills on resumes here:
  • Managed the implementation and monitoring of global policies and standards for operations and finance compliance procedures.
  • Develop and implement procedures to ensure compliance with all regulatory requirements and legal risks within the loss mitigation department.
  • Audited customer accounts and evaluated documentation for completeness and suitability as part of the firm's branch examination module.
  • Report Quality Management System activities, Compliance Committee activities and Board Committee activities to the Patient Safety/Quality Management Committee.
  • Performed all duties in accordance with company policies and procedures and Federal/State regulations including agency, investor and insurer guidelines.

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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

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