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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

  • $93,000

    Average Salary

What Does A Compliance Vice President Do At Blackrock

* Preparation and review of policies and procedures
* Lead and/or participate in projects initiated by the business, Legal & Compliance, or the firm
* Partner closely with the business, and serve as a primary point of contact for regulatory compliance questions related to fixed income and cash portfolio management and trading
* Assistance with managing fixed income, cash and SMA related matters associated with MNPI information barriers, reallocations, surveillance escalation items, and client due diligence meetings
* Support for various compliance programs that are administered by the team, including Expert Networks and Political Intelligence Firms
* Analysis and implementation of existing and new regulations
* Provide support and back-up for broader Americas related initiatives and tasks

What Does A Compliance Vice President Do At Deutsche Bank

* The qualified candidate will be responsible for supporting the compliance program for the Emerging Markets business located in Deutsche Bank’s New York office.
* The Emerging Markets compliance officer will provide sales, trading and structuring support to the business unit whose primary focus is the Latin American region.
* Responsibilities:
* Provide real-time advisory services to the Emerging Markets business as it impacts the business unit from a Sales, Trading, and Structuring prospective.
* Identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
* Create, implement and maintain policies and procedures.
* Work with other support partners within Compliance to develop trade surveillance reports and assist with any internal inquiries or investigations that may result.
* Conduct ongoing compliance risk assessments and coordinate with business leads to identify and resolve control gaps.
* Development of Compliance-related communications strategies and support for the dissemination of communications across the business
* Conduct new hire and annual employee training on the Code of Conduct and Compliance related policies and procedures
* Assist with due diligence reviews, investigations, and audits as needed
* Collaborate on projects with Global and Regional Compliance team members
* Be able to represent the Compliance department on business lead working groups or infrastructure related operating committees
* Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
* years of compliance or legal experience, preferably with a FICC background

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

* The role of the GS Bank Deposits Compliance Officer is to build and promote a strong compliance program that ensures ongoing compliance with regulations and firm policies governing GS Bank USA’s online deposit activities
* The Compliance Officer will work closely with colleagues in the GS Bank Compliance and Bank Holding Company Compliance to execute the compliance risk management program as described below.
* Regulatory Compliance:
* Implement federal regulations and state laws applicable to deposit activity, including Truth in Savings Act, Funds Availability rules, Information Privacy, and other relevant regulatory requirements
* Monitor pending state and federal legislation related to deposit products.
* Communicate status of relevant pending legislation and enacted legislation pertaining to business operations and coordinate the implementation of such legislation with operations, systems and support departments
* Maintain compliance-related policies and procedures
* Work closely with business on complaint management, to ensure appropriate and timely customer response, and accurate and comprehensive management reporting.
* Provide technical regulatory advisory related to deposit products, and other areas, as needed
* Provide timely compliance advice to business on the applicability of regulations impacting transactions
* Actively partner with business on all initiatives, providing compliance advice
* Assess training needs, develop and conduct training on the applicability of compliance laws and regulations
* Vendor Management and Other Compliance Matters:
* Track and monitor vendors with consumer compliance risk through the firm’s Vendor Management process
* Conduct Quality Control Reviews and Risk Assessments
* Complete special projects as requested by management
* Basic Qualifications
* Minimum
* Bachelor’s Degree
* At least 8 years of prior experience in bank compliance, surveillance, audit or other control function
* Strong knowledge of banking regulations related to deposit products

What Does A Compliance Vice President Do At Jpmorgan Chase

* _
* Provide regulatory advice and support to Business and Risk/Control Partners in the Institutional Wealth Management business of J
* P. Morgan Private Bank.
* Strong knowledge of FINRA and SEC rules and regulations required.
* Working knowledge of NFA, Dodd
* Frank and complex product regulations preferred.
* Provide clear regulatory guidance and communicate firm policy regarding the Firm’s sales practices and obligations to the Business and Risk/Control Partners on matters that impact the Product Platform of the Private Bank, including all new business initiatives.
* Liase with Business and Risk/Control Partners globally on matters relating to the development of the IWM Platform, collaborating and coordinating across different Line of Business Compliance Departments and Legal.
* Drafting of new policies, procedures and the development of training protocols related to the development of new initiatives or changes to existing platforms.
* Provide advisory support on Code of Conduct, US licensing and registration issues for sales and supervisory personnel

What Does A Compliance Vice President Do At Trinity Health

* Leads the Integrity and Compliance Program for TSLC's senior living communities providing long-term care, skilled nursing, rehabilitative and memory care, independent and assisted living, and other services in accordance with polices and program standards of TSLC and Trinity Health.
* Chair of the Integrity and Compliance Committee, which is established to support the operations of TSLC's Integrity and Compliance Program.
* As well as planning and implementing the delivery of the program.
* Works in partnership with leadership to ensure the development and maintenance of policies and procedures addressing key areas of legal, regulatory or other compliance risk impacting operations.
* Leading periodic risk assessments to identify and assess potential areas of legal, regulatory, and business ethics risks impacting operations.
* Ensures timely investigation and effective follow-up on issues reported through the Integrity and Compliance Line.
* Works with leadership and audit services to establish auditing and monitoring programs for TSLC operations designed to continuously assess compliance with applicable laws, regulations, and TSLC policies.
* Ensures TSLC has established an effective privacy program as required by Health Insurance Portability and Accountability Act regulations

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Average Length of Employment
Compliance Manager 3.3 years
Compliance Officer 3.2 years
Compliance Analyst 2.4 years
Top Careers Before Compliance Vice President
Manager 3.6%
Director 3.6%
Associate 2.9%
Consultant 2.2%
Top Careers After Compliance Vice President
Consultant 4.4%
President 2.3%
Attorney 2.0%
Principal 1.8%

Do you work as a Compliance Vice President?

Compliance Vice President Demographics

Gender

Male

51.0%

Female

40.4%

Unknown

8.6%
Ethnicity

White

62.5%

Hispanic or Latino

14.7%

Black or African American

11.8%

Asian

7.6%

Unknown

3.4%
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Foreign Languages Spoken

Spanish

62.1%

French

13.8%

Japanese

6.9%

Portuguese

3.4%

Chinese

3.4%

Russian

3.4%

Korean

3.4%

Italian

3.4%
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Compliance Vice President Education

Schools

University of Phoenix

14.2%

Fordham University

8.9%

New York University

8.4%

New York Law School

6.8%

Saint John's University - New York

6.3%

Pace University - New York

5.8%

Temple University

4.7%

Rutgers University-Newark

4.2%

University of Alabama

3.7%

Baruch College of the City University of New York

3.7%

Brooklyn Law School

3.7%

University of Pennsylvania

3.7%

DePaul University

3.7%

George Washington University

3.2%

Southwestern Law School

3.2%

Florida State University

3.2%

University of Delaware

3.2%

University of Denver

3.2%

American University

3.2%

Seton Hall University

3.2%
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Majors

Business

27.0%

Law

16.1%

Finance

14.8%

Accounting

11.5%

Economics

4.7%

Management

4.4%

Legal Research And Advanced Professional Studies

2.8%

Political Science

2.7%

Psychology

2.0%

Education

1.6%

Criminal Justice

1.6%

Health Care Administration

1.6%

English

1.5%

Marketing

1.3%

Computer Science

1.2%

Communication

1.2%

Legal Support Services

1.2%

Human Resources Management

1.0%

Computer Information Systems

1.0%

Taxation

0.9%
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Degrees

Bachelors

39.6%

Masters

25.4%

Doctorate

15.9%

Other

12.3%

Certificate

3.5%

Associate

2.4%

Diploma

0.8%

License

0.1%
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Job type you want
Full Time
Part Time
Internship
Temporary
Average Yearly Salary
$93,000
View Detailed Salary Report
$55,000
Min 10%
$93,000
Median 50%
$93,000
Median 50%
$93,000
Median 50%
$93,000
Median 50%
$93,000
Median 50%
$93,000
Median 50%
$93,000
Median 50%
$156,000
Max 90%
Best Paying Company
Union Bank
Highest Paying City
The Woodlands, TX
Highest Paying State
Alaska
Avg Experience Level
4.4 years
How much does a Compliance Vice President make at top companies?
The national average salary for a Compliance Vice President in the United States is $93,175 per year or $45 per hour. Those in the bottom 10 percent make under $55,000 a year, and the top 10 percent make over $156,000.

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 Sep 06, 2010 $120,000
Vice President, Global Compliance Barclays Services Corp. New York, NY Oct 25, 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

  1. Ensure Compliance
  2. Procedures
  3. Risk Management
You can check out examples of real life uses of top skills on resumes here:
  • Conducted internal audits to ensure compliance with federal banking regulations.
  • Develop and implement physical security program, policy and procedures to comply with Bank Protection Act including monitoring surveillance equipment.
  • Served as the Senior Information Risk Officer responsible for driving enterprise risk management solutions throughout the global technology infrastructure.
  • Collaborate with management to identify and anticipate impact of a changing environment and effectively develop audit strategies to address significant risks.
  • Led change that transformed compliance program to strategic partner, to support organization's patient-focused mission by combining innovation and integrity.

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Top 10 Best States for Compliance Vice Presidents

  1. Virginia
  2. Delaware
  3. District of Columbia
  4. Massachusetts
  5. Connecticut
  6. California
  7. Rhode Island
  8. Minnesota
  9. New Jersey
  10. North Carolina
  • (306 jobs)
  • (46 jobs)
  • (56 jobs)
  • (235 jobs)
  • (103 jobs)
  • (800 jobs)
  • (34 jobs)
  • (122 jobs)
  • (142 jobs)
  • (220 jobs)

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