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Become A Regulatory Compliance Officer

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Working As A Regulatory Compliance Officer

  • $73,000

    Average Salary

What Does A Regulatory Compliance Officer Do At Confidential

* Maintain awareness of all regulatory approval and compliance requirements to inform senior management of potential regulatory, compliance or quality risks and necessary corrective actions, and ensure the promotion of awareness of current regulatory, quality and compliance requirements throughout the organization
* Conduct Management Reviews with senior management to report and discuss the adequacy and effectiveness of the company s regulatory compliance, and to identify any need for improvement
* Provide regulatory requirements training and facilitate the transfer of knowledge to company employees.
* Form strong alliances with peers and externally with strategic partners for the purpose of completing organizational objectives
* Work with operations to enhance process compliance and robustness across institutions resulting in improved quality, compliance and financial performance
* Lead the review, analysis, and guidance of failure investigations and corrective actions referred to Regulatory Affairs
* Serve as a Subject Matter Expert to address regulatory questions from all business units
* Establish and ensure alignment of regulatory compliance metrics across all institutions
* Perform duties of the Management Representative and represent the company before regulatory agencies and authorization agencies
* Develop the annual budget for Regulatory Compliance
* Performs other duties as assigned by Management

What Does A Regulatory Compliance Officer Do At Raymond James

* Assist in the design, implementation and supervision of a comprehensive compliance and surveillance program.
* Work with business unit leaders to develop, communicate and implement strategies, procedures and technology systems designed to enhance the firm’s compliance function.
* Oversee periodic compliance reviews and ongoing maintenance of documentation in support of corrective measures taken.
* Work with business unit leaders to evaluate and enhance IT processes and procedures that support compliance with Investment Adviser regulations.
* Work with business partners to ensure operating policies and procedures are in compliance with required regulations and assist in setting objectives to bring non-complying areas into compliance.
* Partner with senior business executives, legal, risk management, and compliance to appropriately mitigate and manage regulatory and litigation risk
* Provide periodic summaries and reporting to RJF and subsidiaries/business units.
* Work closely with business units and Compliance to ensure that the rules repository used by the firm is complete and up to date.
* Research existing rules and monitor regulatory developments, communicating changes to affiliates and home office staff.
* Develop, implement, sustain, monitor and revise compliance programs that reflect “best practices” and ensure the firm is adhering to all legal and regulatory requirements.
* Ensure procedures are appropriately documented and referenced in the firm’s compliance manuals and standard operating procedures.
* Oversee testing, perform risk assessments, and verify internal controls are adequate to achieve compliance with prevailing rules and regulations.
* Support a culture of risk management and compliance throughout all levels within the firm.
* Respond to, oversee and/or assist, counsel with responses to regulatory inquiries.
* Develop policies and procedures and design processes to mitigate regulatory risks.
* Identify trends and implement corrective action as necessary.
* Plan, assign, monitor, review, evaluation and lead the work of others.
* Coach and mentor subordinates, identify training needs and recommend appropriate development programs.
* Perform other duties as assigned

What Does A Regulatory Compliance Officer Do At Deutsche Bank

* Conduct compliance reviews under the direction of the Americas Head of Compliance Testing and the Head of Bank Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to banking products and services
* Assist in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, the Head of Bank Testing and the Head of US Bank Compliance.
* Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance
* Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations applicable to banking products and services
* Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary
* Prepare and distribute reports to senior management detailing review findings and recommendations.
* Periodically report on significant activities conducted and planned for the upcoming period.
* Review all banking-related reports prior to vetting the report with other stakeholders
* Ensure that all findings and recommendations are entered into Compliance Testing s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
* Assist in compliance related matters during examinations by the firm s regulators and internal auditors
* Assist the team with various ad hoc projects

What Does A Regulatory Compliance Officer Do At Jpmorgan Chase

* Evaluate requests from internal stakeholders and determine appropriate data sources for information based on nature of requests.
* Perform analyses on data to determine the root cause of identified issues and for forecasting purposes and provide metrics and findings to Compliance Senior Managers as well as Advisory LOBs.
* Evaluate and respond to quarterly and annual regulatory reporting and other requests from FINRA, SEC and the Fiduciary Committee, including assessing request to determine appropriate data sources, synthesizing metrics, performing analyses and presenting information in consumable format.
* Serve as principle point of contact for responding to and reconciling regulatory reports and requests.
* Evaluate data integrity, quality and completeness of feed files into and throughout the Customer Complaints and FINRA environment and provide feedback into recurring metrics processes.
* Partner with Compliance, Operations, LOB and Technology contacts to conduct analyses aimed at determining root cause of data issues and develop strategy on how to address/remediate such issues.
* Lead the resolution of exceptions identified by reconciliation, completeness checks, data attribute validation, fluctuation (spike) monitoring and timeliness.
* Define and implement processes and adequate controls to ensure consistency across regions and other data pillars within the Compliance Operations group.
* Perform periodic detailed analyses and forecasting of staffing needs during peak tax, fee maintenance and other time periods and create reports containing trends, predictions and recommendations relating to such needs.
* Conduct reviews to understand how source feed data is utilized in the Customer Complaints environment and evaluate basis for changes and trends and impact on various functions and teams within and outside of the Compliance organization.
* Develop presentations for senior stakeholders based on interpretation of data metrics, evaluations of trends and make recommendations based on findings.
* Act as PMO to the Defect Management process ensuring adherence to the Operating Model.
* years demonstrated experience in an Operational or LOB Middle Office function with a key focus on ensuring data quality
* Demonstrated experience in defining/documenting new processes ensuring the appropriate level of controls in place
* Proven experience in exception management, preferably in resolving data quality issues
* Demonstrated superior problem solving and decision-making skills
* Ability to identify issues, seek solutions and gain consensus regarding outcome
* Strong data analytic skills with ability to dive into details and understand the data provided, along with decisioning based on analysis gathered
* Excellent communication, influence and relationship building skills, able to work with LOB and Technology staff
* Experience in creating an executing test plans & documenting results
* Accuracy and attention to detail
* Team player adaptable to changing environment, with great interpersonal skills
* Highly disciplined individual, self-motivated, and delivery focused
* Intermediate Excel skills required for data analysis (e.g. use of pivot tables and v-lookups)
* Experience with SQL

What Does A Regulatory Compliance Officer Do At Freedom Mortgage

* The primary function of the Regulatory Compliance Reviewer is to review and prepare reports for loan applications including review of both loans that close, and those that did not close for adherence with State, Federal, and Agency guidelines.
* Position will be responsible for data management, review and reporting.
* Database knowledge and management of large amounts of data is required.
* Successful candidate will be familiar with Fair Lending issues as well as HMDA reporting requirements in addition to RESPA, FCRA, ECOA, and TILA requirements including the most recent changes to these regulations.
* They may also assist in the development and implementation of the regulatory compliance plan.
* Reviewers review applicable federal and state law and regulation and make recommendations for compliance.
* Compliance Reviewers also participate in process improvement activities at the direction of management.
* Duties include but are not limited to:
* Conduct loan level reviews for adherence to Federal, State, and Agency guidelines.
* Prepare reports and track results including being able to identify and address trends.
* Gather and analyze data including assisting with Fair Lending Analysis as assigned.
* Assist with recommendations for implementation of controls regarding adherence to state and federal law, as well as agency guidelines.
* Promotes highly efficient processes and systems to monitor, assess, and accurately report on the state and federal regulatory changes.
* When assigned, assists the Compliance function to promote awareness of emerging compliance issues and/or regulatory changes.
* Assists operational areas in defining practices that would result in adherence to regulatory compliance objectives as assigned.
* Assists as necessary to ensure training materials and the forum for training are adequate to meet the needs of Freedom Mortgage.
* Assists in the development of training materials as needed and reviews materials presented by other Departments within FMC.
* Assists in training efforts as deemed necessary.
* When assigned, assists in ensuring that changes in regulatory compliance requirements are reflected in our application systems, as well as submits process improvement requests in which automation would help prevent user errors.
* Consults on special projects as requested by the Compliance Officer, Associate Counsel, and Senior Management.
* Works closely with other staff in Regulatory Compliance

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Regulatory Compliance Officer Career Paths

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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 3.1 years
Compliance Auditor 2.8 years
Compliance Analyst 2.3 years
Top Careers Before Regulatory Compliance Officer
Paralegal 7.9%
Internship 7.3%
Manager 6.6%
Associate 4.6%
Pharmacist 4.6%
Director 4.0%
Attorney 4.0%
Law Clerk 4.0%
Chemist 4.0%
Top Careers After Regulatory Compliance Officer
Manager 8.8%
Associate 6.2%
Director 4.4%
Executive 4.4%
Attorney 4.4%
Consultant 3.5%

Do you work as a Regulatory Compliance Officer?

Regulatory Compliance Officer Demographics

Gender

Female

51.2%

Male

46.5%

Unknown

2.3%
Ethnicity

White

60.5%

Hispanic or Latino

15.3%

Black or African American

11.2%

Asian

9.3%

Unknown

3.7%
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Foreign Languages Spoken

Spanish

56.3%

German

12.5%

Hungarian

6.3%

Vietnamese

6.3%

Romanian

6.3%

Armenian

6.3%

Russian

6.3%
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Regulatory Compliance Officer Education

Schools

University of Phoenix

17.2%

Northeastern University

6.3%

North Carolina State University

4.7%

University of South Florida

4.7%

Capella University

4.7%

Ohio State University

4.7%

Villanova University

4.7%

Texas Christian University

4.7%

University of South Alabama

4.7%

California University of Pennsylvania

4.7%

Michigan State University

4.7%

Northern Arizona University

4.7%

University of Dayton

4.7%

University of Oklahoma

4.7%

University of Denver

4.7%

Louisiana State University and A&M College

3.1%

University of the Sciences

3.1%

Miami University

3.1%

Adams State University

3.1%

University of South Carolina - Columbia

3.1%
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Majors

Business

24.9%

Law

12.4%

Pharmacy

7.3%

Nursing

5.6%

Chemistry

5.6%

Political Science

4.7%

Biology

3.9%

Legal Support Services

3.9%

Legal Research And Advanced Professional Studies

3.4%

Environmental Science

3.4%

Finance

3.4%

Health Care Administration

3.4%

Criminal Justice

3.0%

Management

2.6%

Education

2.1%

Communication

2.1%

Psychology

2.1%

Chemical Engineering

2.1%

Accounting

2.1%

Project Management

1.7%
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Degrees

Bachelors

34.3%

Masters

28.6%

Doctorate

14.0%

Other

13.1%

Certificate

5.4%

Associate

3.7%

Diploma

0.6%

License

0.3%
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Full Time
Part Time
Internship
Temporary

Real Regulatory Compliance Officer Salaries

Job Title Company Location Start Date Salary
VP Regulatory Compliance-Executive Officer HSBC Bank USA, N.A. New York, NY Jan 07, 2016 $160,000
Compliance Officer, Regulatory Affairs Biomarin Pharmaceutical, Inc. San Rafael, CA Jan 26, 2016 $156,500 -
$166,500
Enterprise Risk Regulatory Officer Comerica Management Company Auburn Hills, MI May 18, 2015 $90,000
Regulatory Compliance Officer Genzyme Corporation Cambridge, MA Sep 08, 2013 $84,594 -
$123,500
Regulatory Compliance Officer Sanofi Us Services Inc. Waltham, MA Aug 02, 2016 $80,000 -
$120,000
Regulatory Scientist for Japanese Compliance Med Institute, Inc. West Lafayette, IN Oct 16, 2015 $78,507
Regulatory Officer Pharm-OLAM International Ltd. Houston, TX Jan 09, 2016 $75,000
Internal Control, Regulatory & Compliance Officer Maxim Group LLC New York, NY May 31, 2010 $75,000
Regulatory Compliance Officer New Haven Pharmacy Inc. New Haven, CT Nov 12, 2015 $65,000
Regulatory Affairs Officer Corporate Finance Inc. Kensington, MD Sep 27, 2013 $53,219
Regulatory and Compliance Officer Shapa, Inc. Dallas, TX Sep 15, 2015 $52,175
Regulatory Compliance Officer New Haven Pharmacy Inc. New Haven, CT Oct 27, 2015 $52,000
Paralegal, Regulatory Compliance Yellowstone Capital, LLC Jersey City, NJ Aug 09, 2016 $51,272
Regulatory & Compliance Officer Hartford Pharmacy Inc. Hartford, CT Aug 01, 2014 $51,189
Regulatory & Compliance Officer Waterbury Pharmacy Waterbury, CT Aug 01, 2014 $51,189
Regulatory Compliance Officer Jojan Pharma Inc. New York, NY Sep 01, 2014 $50,422
Regulatory and Compliance Officer Grouprx, LLC Irving, TX Oct 10, 2016 $50,000
Regulatory Compliance Officer Appco Pharma LLC Somerset, NJ Jan 09, 2016 $48,755
Compliance Officer, Regulatory Affairs Appco Pharma LLC Somerset, NJ Jan 09, 2016 $48,755
Regulatory Affairs Officer Appco Pharma LLC Somerset, NJ Jan 09, 2016 $48,755
Regulatory Affairs Officer Appco Pharma LLC Somerset, NJ Apr 04, 2016 $48,755

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AVERAGE SALARY FOR A Regulatory Compliance Officer

Average Yearly Salary
$73,000
View Detailed Salary Report
$49,000
Min 10%
$73,000
Median 50%
$73,000
Median 50%
$73,000
Median 50%
$73,000
Median 50%
$73,000
Median 50%
$73,000
Median 50%
$73,000
Median 50%
$107,000
Max 90%
Best Paying Company
Citi
Highest Paying City
Seattle, WA
Highest Paying State
Alaska
Avg Experience Level
3.0 years
How much does a Regulatory Compliance Officer make at top companies?
The national average salary for a Regulatory Compliance Officer in the United States is $73,201 per year or $35 per hour. Those in the bottom 10 percent make under $49,000 a year, and the top 10 percent make over $107,000.

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Top Skills for A Regulatory Compliance Officer

  1. Ensure Compliance
  2. Audit
  3. Procedures
You can check out examples of real life uses of top skills on resumes here:
  • Facilitated manufacturing agreements and conducted internal audits as well as visiting contract manufacturers to ensure compliance.
  • Negotiated corrective actions to resolve technical disputes and violations during investigations, inspections and audits of telecommunications services.
  • Drafted the initial, firm-wide ERISA policy and divisional business procedures to increase awareness of regulatory requirements and ensure compliance.
  • Worked with the FDA, USDA, ISO registrar, and local regulatory agencies; and garnered CMO manufacturing compliance.
  • Provide guidance to senior management regarding regulatory requirements including indications of risk and approximate timing for approvals for planning purposes.

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Top 10 Best States for Regulatory Compliance Officers

  1. Alaska
  2. Connecticut
  3. District of Columbia
  4. Massachusetts
  5. Minnesota
  6. New Jersey
  7. Delaware
  8. Rhode Island
  9. Texas
  10. California
  • (13 jobs)
  • (99 jobs)
  • (56 jobs)
  • (303 jobs)
  • (196 jobs)
  • (210 jobs)
  • (47 jobs)
  • (37 jobs)
  • (475 jobs)
  • (876 jobs)

Top Regulatory Compliance Officer Employers

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