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Become A Compliance Vice President

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Working As A Compliance Vice President

  • Interacting With Computers
  • Communicating with Supervisors, Peers, or Subordinates
  • Guiding, Directing, and Motivating Subordinates
  • Coaching and Developing Others
  • Establishing and Maintaining Interpersonal Relationships
  • Deal with People

  • Unpleasant/Angry 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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How To Become A Compliance Vice President

Financial managers typically have a bachelor’s degree and 5 years or more of experience in another business or financial occupation, such as an accountant, securities sales agent, or financial analyst.


A bachelor's degree in finance, accounting, economics, or business administration is often the minimum education needed for financial managers. However, many employers now seek candidates with a master’s degree, preferably in business administration, finance, or economics. These academic programs help students develop analytical skills and learn financial analysis methods and software.

Licenses, Certifications, and Registrations

Professional certification is not required, but some financial managers still get it to demonstrate a level of competence. The CFA Institute confers the Chartered Financial Analyst (CFA) certification to investment professionals who have at least a bachelor’s degree, 4 years of work experience, and pass three exams. The Association for Financial Professionals confers the Certified Treasury Professional credential to those who pass an exam and have a minimum of 2 years of relevant experience.

Work Experience in a Related Occupation

Financial managers usually have experience in another business or financial occupation. For example, they may have worked as a loan officer, accountant, securities sales agent, or financial analyst. 

In some cases, companies provide formal management training programs to help prepare highly motivated and skilled financial workers to become financial managers.

Important Qualities

Analytical skills. Financial managers increasingly are assisting executives in making decisions that affect their organization, a task which requires analytical ability.

Communication skills. Excellent communication skills are essential because financial managers must explain and justify complex financial transactions.

Detail oriented. In preparing and analyzing reports such as balance sheets and income statements, financial managers must be precise and attentive to their work in order to avoid errors.

Math skills. Financial managers must be skilled in math, including algebra. An understanding of international finance and complex financial documents also is important.

Organizational skills. Financial managers deal with a range of information and documents and so they must stay organized to do their jobs effectively.

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Compliance Vice President jobs

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Compliance Vice President Career Paths

Compliance Vice President Demographics


  • Female

  • Male

  • Unknown



  • White

  • Asian

  • Hispanic or Latino

  • Unknown

  • Black or African American

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Languages Spoken

  • Spanish

  • Japanese


Compliance Vice President

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Top Skills for A Compliance Vice President


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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

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