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Become A Finance Compliance Officer

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Working As A Finance Compliance Officer

  • $72,000

    Average Salary

What Does A Finance Compliance Officer Do At Deutsche Bank

* Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
* Advise business areas on firm policies and procedures and applicable securities laws and regulations
* Draft, update, and implement relevant policies and procedures
* Provide regulatory/compliance training
* Assist the business in implementing and documenting various supervisory/control mechanisms.
* Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
* Interact with federal and state regulators
* Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework

What Does A Finance Compliance Officer Do At Raymond James

* Compliance Duties and Responsibilities
* Research, gather and compile data and documents for compliance and regulatory purposes.
* Prepare reports and summaries.
* Reply to inquiries, selecting relevant data from a variety of sources.
* Establish, update and maintain files and records.
* Implement and maintain data management systems.
* Administrative Duties and Responsibilities
* Provide core administrative support and other ad hoc tasks on a daily basis, including processing of expense reports, ordering and organizing supplies, managing office equipment.
* Provide support activities, including answering telephones as needed and reviewing/controlling incoming and outgoing correspondence.
* Track deal flow.
* Assist with producing letters, memoranda, presentations, and reports as necessary.
* Proofread documents for appropriate grammar, punctuation, spelling and numerical consistency.
* Schedule appointments, maintain calendars, and schedule/coordinate meetings, events, and/or travel arrangements, as required.
* Essential Duties and Responsibilities:
* Compliance Duties and Responsibilities
* Research, gather and compile data and documents for compliance and regulatory purposes.
* Prepare reports and summaries.
* Reply to inquiries, selecting relevant data from a variety of sources.
* Establish, update and maintain files and records.
* Implement and maintain data management systems.
* Administrative Duties and Responsibilities.
* Provide core administrative support and other ad hoc tasks on a daily basis, including processing of expense reports, ordering and organizing supplies, managing office equipment.
* Provide support activities, including answering telephones as needed and reviewing/controlling incoming and outgoing correspondence.
* Track deal flow.
* Assist with producing letters, memoranda, presentations, and reports as necessary.
* Proofread documents for appropriate grammar, punctuation, spelling and numerical consistency.
* Schedule appointments, maintain calendars, and schedule/coordinate meetings, events, and/or travel arrangements, as required

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Finance Compliance Officer Demographics

Gender

Male

55.0%

Female

43.6%

Unknown

1.4%
Ethnicity

White

57.6%

Hispanic or Latino

16.2%

Asian

12.4%

Black or African American

10.1%

Unknown

3.8%
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Foreign Languages Spoken

Spanish

62.5%

French

25.0%

Portuguese

12.5%

Finance Compliance Officer Education

Schools

Santa Clara University

7.9%

University of Georgia

7.9%

University of Phoenix

7.9%

Glendale Community College

7.9%

University of Wisconsin - Whitewater

5.3%

University of Kentucky

5.3%

Temple University

5.3%

State University of New York College of Optometry

5.3%

University of Illinois at Chicago

5.3%

Fordham University

5.3%

ITT Technical Institute-Webster

5.3%

Saint Michaels College

5.3%

San Francisco State University

5.3%

Northern Illinois University

5.3%

Central Washington University

2.6%

Louisiana State University and A&M College

2.6%

University of Northern Colorado

2.6%

Moore College of Art and Design

2.6%

Washington State University

2.6%

Santa Fe Community College

2.6%
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Majors

Accounting

28.3%

Business

24.8%

Finance

11.5%

Law

8.8%

Health Care Administration

3.5%

Management

2.7%

Mathematics

2.7%

Economics

2.7%

Public Health

1.8%

Computer Science

1.8%

Legal Studies

1.8%

History

1.8%

Criminal Justice

1.8%

International Business

0.9%

Psychology

0.9%

Pharmacy

0.9%

Health Sciences And Services

0.9%

Management Science

0.9%

Community Organization And Advocacy

0.9%

Legal Research And Advanced Professional Studies

0.9%
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Degrees

Bachelors

44.0%

Masters

24.6%

Other

13.4%

Doctorate

11.2%

Certificate

2.2%

Associate

2.2%

Diploma

2.2%
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Job type you want
Full Time
Part Time
Internship
Temporary

Real Finance Compliance Officer Salaries

Job Title Company Location Start Date Salary
Financial Compliance Officer O'Drill/MCM, Inc. Houston, TX Jul 28, 2016 $83,200
Financial Crime Compliance (FCC) Governance Officer Standard Chartered Bank New York, NY Oct 01, 2015 $69,000 -
$80,000
Financial Services Advisory Senior-Compliance TE Ernst & Young U.S. LLP Charlotte, NC May 01, 2011 $60,300 -
$143,000
Financial Compliance Officer Flash Beauty Trucking Inc. Monrovia, CA Sep 12, 2014 $52,175
Financial Compliance Officer Flash Beauty Trucking Inc. Monrovia, CA Sep 18, 2014 $52,175

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Top Skills for A Finance Compliance Officer

  1. Financial Statements
  2. Internal Procedures
  3. Ensure Compliance
You can check out examples of real life uses of top skills on resumes here:
  • Directed financial management functions including development of monthly financial statements, financial forecasts, and budgets.
  • Reviewed and approved financial and non-financial disclosures to ensure compliance with federal securities regulations and FINRA rules and regulations.
  • Manage inventory risk assessment including segregation, tracking and accurately disposing of damaged and expired product per regulatory requirements.
  • Supervised billing and payroll departments to ensure effective and efficient operations.
  • Performed customer identification and verification procedures for JPMC customer transactions to ensure adherence to AML and Trade Sanctions requirements.

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