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Become A Compliance Vice President

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Working As A Compliance Vice President

  • 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

  • $117,990

    Average Salary

What Does A Compliance Vice President Do At Goldman Sachs & Co.

* Provide day-to-day Compliance advisory service to covered groups, with a focus on the Technology and Risk Divisions
* Develop, draft and assist in the implementation of policies and procedures
* Work with Technology and Risk teams to identify and mitigate compliance risks inherent to those areas
* Help develop and deliver training as part of the ongoing Compliance training program tailored to suit the individual requirements of the Divisions/groups Federation Compliance supports
* Provide support to the regional Federation Compliance teams on various projects and initiatives
* Liaise with other Compliance, Legal and Federation personnel on cross-divisional initiatives

What Does A Compliance Vice President Do At Jpmorgan Chase

* Reviewing e-communications of firm employees for potential violations of firm policies and applicable rules and regulations, primarily those relating to market misconduct.
* Conducting special reviews and investigations upon request.
* Working with line of business supervisors and compliance managers to escalate and resolve instances of potentially violative behavior.
* Assisting with special projects as needed.
* Written and oral fluency in Spanish and, preferably, Portuguese (including an understanding of business terminology).
* years of experience in compliance/surveillance, sales/trading, legal/regulatory roles or related experience with a focus on the financial services environment.
* Excellent written and verbal communication skills.
* Bachelor's degree or equivalent experience.
* Proficiency with the MS Office suite.
* JPMorgan Chase is an equal opportunity and affirmative action employer

What Does A Compliance Vice President Do At State Street

* Implement and enhance the Compliance Oversight Program (COP) in alignment with division methodology addressing all relevant risks and corporate and local requirements.
* Maintain current in-depth knowledge of all applicable regulatory standards and requirements.
* Provide regulatory advice and guidance to the businesses and actively participate on various business product risk and review committees.
* Monitor developments and trends that may impact regulatory requirements.
* Also assess and address the impact of changes in regulations and business operations on the COP.
* Collaborate with senior business unit leadership to achieve business strategy consistent with risk excellence and compliance initiatives and maintain strong relationships with key SF business partners.
* Provide business unit management with periodic updates on the COP meaningful reporting to demonstrate program execution and progress on key initiatives and compliance action items.
* Cultivate positive working relationships with applicable regulatory agencies.
* Support the business in the execution of its strategic goals and initiatives including the implementation of globally consistent practices

What Does A Compliance Vice President Do At MUFG Union Bank

* The Data Privacy & Protection Senior Compliance Officer (Information Security) will report to the Privacy Compliance Manager (Technology & Operations) within the MUFG Union Bank Compliance Department.
* The Senior Compliance Officer will be responsible, with other members of the Data Privacy & Protection Office team, for:
* The coordination of required privacy and information security compliance program activities including privacy impact assessments, product and service risk assessments, vendor due diligence, data management and protection, and meeting compliance program operational needs;
* Testing, monitoring and managing Privacy program initiatives;
* Working closely with the line of business compliance officers in the ongoing development of key Data Privacy compliance controls;
* Assessing privacy, information security and data protection risks, providing consulting and advice to business and Information Technology partners to identify and mitigate risks;
* Ensuring Data Privacy Policies meet regulatory requirements and monitor regulatory change management;
* Working with different project teams as a subject matter expert
* Minimum of 5 to 7 years’ experience in banking regulatory compliance or similar work experience in compliance or risk management;
* Extensive knowledge of privacy and data protection laws, regulations and best practices, including GLBA, TCPA, HIPAA; GRC tools and implementation; data breach handling and cross-border data transfer requirements and industry standards/frameworks (NIST, ISO27k, COBIT 5);
* Strong presentation and written communication skills and the ability to analyze and make effective, business-centric recommendations to business leaders and senior management; and,
* A BA or BS is required; project management and implementation experience plus CIPP or CISSP or equivalent certifications are highly desirable.
* The above statements are intended to describe the general nature and level of the work being performed.
* They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified/.
* We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business.
* We do not discriminate in employment decisions on the basis of any protected category. /
* A conviction is not an absolute bar to employment.
* Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions.
* Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made.
* Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses

What Does A Compliance Vice President Do At Goldman Sachs & Co.

* Reviewing and assessing products, features and business activities against privacy requirements and standards
* Creating, updating and maintaining data processing records and compliance assessments
* Incorporating privacy-by-design and privacy-by-default into business and technology
* Developing and delivering consumer privacy training
* Developing, implementing and executing privacy governance frameworks with key stakeholders, such as the business, Technology, Legal and Compliance
* Analyzing and triaging incidents and situations identified by or reported to the Consumer Privacy Office
* Implementing and overseeing the effectiveness of privacy controls, privacy enhancing technologies, and privacy risk mitigants
* Reviewing and as needed uplifting existing policies and procedures regarding data privacy.
* Drafting / reviewing new policies, procedures, and best practice documents

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Compliance Vice President Career Paths

Compliance Vice President Demographics

Gender

Female

57.7%

Male

41.2%

Unknown

1.0%
Ethnicity

White

76.0%

Asian

12.2%

Hispanic or Latino

10.2%

Unknown

1.0%

Black or African American

0.5%
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Languages Spoken

Spanish

80.0%

Japanese

20.0%

Compliance Vice President Education

Schools

University of Phoenix

9.7%

University of Dayton

6.5%

Wilmington University

6.5%

John Marshall Law School

6.5%

Villanova University

6.5%

New York University

6.5%

Pace University - New York

6.5%

Strayer University

6.5%

University of Texas at San Antonio

6.5%

Fordham University

6.5%

East West College of Natural Medicine

3.2%

Medgar Evers College of the City University of New York

3.2%

University of California - Berkeley

3.2%

Washington and Lee University

3.2%

Babson College

3.2%

Rutgers, The State University of New Jersey

3.2%

Elon University

3.2%

East Los Angeles College

3.2%

State University of New York Buffalo

3.2%

Brooklyn Law School

3.2%
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Majors

Business

29.1%

Law

17.7%

Finance

12.7%

Accounting

10.1%

Management

3.8%

Legal Research And Advanced Professional Studies

3.8%

Computer Information Systems

2.5%

Mathematics

2.5%

Computer Science

2.5%

Criminal Justice

2.5%

Statistics

1.3%

Journalism

1.3%

Health Sciences And Services

1.3%

Mechanical Engineering

1.3%

Fine Arts

1.3%

Marketing

1.3%

Taxation

1.3%

Nursing

1.3%

Clinical Psychology

1.3%

Computer Networking

1.3%
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Degrees

Masters

31.4%

Bachelors

27.9%

Doctorate

16.3%

Other

15.1%

Certificate

5.8%

Associate

3.5%
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Full Time
Part Time
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Temporary

Real Compliance Vice President Salaries

Job Title Company Location Start Date Salary
President, Ethics and Compliance LRN Corporation New York, NY Sep 11, 2014 $400,000
Vice President, Internal Audit & Compliance Stryker Corporation Kalamazoo, MI May 09, 2012 $365,750
VP, Compliance & Risk Management Stryker Corporation Kalamazoo, MI Mar 25, 2016 $350,000 -
$450,000
VP, Compliance & Risk Management Stryker Corporation Kalamazoo, MI Mar 24, 2014 $350,000 -
$450,000
Vice President-Offshore Legal and Regulatory Compliance Schafer Cullen Capital Management, Inc. New York, NY Aug 16, 2016 $300,000
Vice President, Internal Audit & Compliance Stryker Corporation Kalamazoo, MI May 10, 2010 $290,000
Vice President-Compliance P&C Imperial Pacific International CNMI Jan 12, 2016 $240,000 -
$276,000
Vice President, Risk & Compliance Telstra Incorporated San Francisco, CA Sep 05, 2016 $231,425
Vice President, Global Regulatory Compliance Wal-Mart Associates, Inc. Bentonville, AR Sep 21, 2013 $220,000 -
$380,000
VP Risk & Compliance Digital River World Payments, Inc. Minnetonka, MN May 26, 2014 $200,803
VP, Risk & Compliance Digital River, Inc. San Francisco, CA Apr 21, 2014 $200,803
VP, Contract Compliance Abs One Shot, LP Houston, TX Jun 30, 2016 $182,146
Vice President of Compliance and Legal Affairs Worldventures Holdings, LLC Plano, TX Oct 01, 2010 $170,000 -
$220,000
Vice President of Compliance and Legal Affairs Worldventures Holdings, LLC Plano, TX Oct 01, 2010 $155,000 -
$220,000
Vice President, Trade Compliance BMO Capital Markets Corp. Chicago, IL Aug 11, 2014 $150,000
VP, Risk & Compliance Digital River World Payments, Inc. Minnetonka, MN Feb 01, 2014 $145,850 -
$200,000
VP, Risk & Compliance Digital River World Payments, Inc. Eden Prairie, MN Feb 01, 2011 $144,331 -
$200,000
VP, HD Compliance Implement GRP & Staff Dealings HSBC Securities (USA) Inc. New York, NY Sep 17, 2009 $140,000
VP Contract Compliance D'Barro Commerce Corporation Spring, TX Feb 13, 2015 $135,262
Vice President/Compliance Officer & Legal Counsel NLI International Inc. New York, NY Sep 01, 2012 $130,000
Vice President, Global Compliance Barclays Services Corp. New York, NY Oct 25, 2010 $120,000
Vice President, Global Compliance Barclays Services Corp. New York, NY Sep 06, 2010 $120,000
Vice President, Compliance Officer Natixis North America LLC New York, NY Mar 13, 2015 $112,500
Vice President-Legal and Compliance GIC New York Inc. New York, NY Mar 10, 2016 $110,000 -
$130,000

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Top Skills for A Compliance Vice President

RegulatoryComplianceExternalAuditorsOverallComplianceProgramCompanyPoliciesDueDiligenceOfacSuspiciousActivityApprovalCorporateComplianceBusinessUnitsAnti-MoneySARPrivacyAssetRegulatoryRequirementsEnsureComplianceRegulatoryAgenciesInformationSecurityInformationTechnologyTrainingMaterials

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Top Compliance Vice President Skills

  1. Regulatory Compliance
  2. External Auditors
  3. Overall Compliance Program
You can check out examples of real life uses of top skills on resumes here:
  • Reviewed advertisements for regulatory compliance prior to publication.
  • Managed the audit function and coordinated audits with external auditors and federal regulators.1994-1998Teller Manager.
  • Scheduled and conducted annual training sessions to staff to cover overall compliance program.
  • Researched state and federal regulations to create company policies to ensure that all work performed complied with these regulations.
  • Supported lending clients through regular participation in client due diligence visits and ongoing communication related to compliance with their lending activity.

Top Compliance Vice President Employers