Chief Compliance Officer Jobs
Chief Compliance Officer Overview
Chief compliance officer jobs are available for those with a high amount of experience in the financial sector. These officers examine the financial actions that companies and government agencies take before those actions go through. They ensure that every aspect of the transaction meets local, state and federal laws. Chief compliance officers also examine the data available to them and look for alternative methods and ideas when needed. Similar positions open to those with this skill set include government contract jobs and Internal Revenue Service specialist jobs.
Chief Compliance Officer Education Requirements
Chief compliance officers must have a bachelor's degree in business, finance, management or a related field, and some positions require CRCM certification in addition to a degree. Though employees will spend some time learning how the office operates, they must have some skills when applying for the job. Strong computer skills, familiarity with accounting software and experience in tax preparation are all helpful. A compliance officer is an entry-level position, but a chief compliance officer is an advanced position that usually requires five to 10 years of experience.
Chief Compliance Officer Job Market
Approximately 236,090 people worked as chief compliance officers in 2013. Statistics show that this represents a growth of 0.5 percent in recent years. The mean annual wage reported by compliance officers increased by 0.2 percent at the same time that the number of jobs increased. According to recent statistics, the number of jobs in this field will grow at a faster rate than similar business and financial jobs. When the American unemployment rate reached more than 7 percent, workers in this field experienced an unemployment rate of less than 6 percent. As the government keeps a close eye on what businesses do and how companies operate, there will be an increased need for trained and qualified chief compliance officers.
Chief Compliance Officer Salary
The mean annual salary of a chief compliance officer is $66,770, which is $32.10 per hour. The highest wages reported come from employees working for insurance carriers, the federal government and management companies. The top 10 percent of chief compliance officers make more than $99,000 a year.
BD (Becton, Dickinson and Company) Franklin Lakes, NJ
About us Description The Deputy Chief Compliance Officer and Chief Compliance Officer-BD Rx directly supports the VP and Chief Ethics & Compliance Officer and leads assigned elements of oversight and coordination of the compliance programs within BD on a global basis. The position will support the company's executives, management and associates in their efforts to achieve compliance with all rel...
Description The Deputy Chief Compliance Officer reports directly to the Vice President and Chief Compliance Officer for Tenet Healthcare Corporation. Specific Deputy Chief Compliance Officer Responsibilities Include: The Deputy Chief Compliance Officer reports directly to Tenets Chief Compliance Officer and is responsible for overseeing the operations of Tenets Ethics and Compliance program in ...
Our client is currently in need of a Chief Compliance Officer. The firm primarily deals with high-net worth clients as well as funds and convertible bonds. The firm has a friendly, professional and fast-moving environment. They would like for the person to have 7-10 years experience with an Registered Investment Advisory and must have a JD for the role. The successful candidate will have excellen...
A financial services firm seeks a Deputy Chief Compliance Officer who will be responsible for compliance and regulatory affairs for the registered Swap Dealer. This position will directly report to the Chief Compliance Officer. Primary Accountabilities/Responsibilities: • Identifies and interprets CFTC, NFA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regula...
Job description Feltz WealthPLAN, Inc., a Registered Investment Advisor located in Omaha, Nebraska, is seeking a qualified candidate to act as a Chief Compliance Officer. Feltz WealthPLAN’s mission is to promote the independence of its financial advisors by providing them with the total package of tools necessary to maintain and grow their independent practices. These tools include, but are not l...
An international bank located midtown seeks a Deputy Compliance Officer. Required: BA/BS in business, 10+ years experience in related bank compliance and management. Know US banking business including commercial lending, private banking, correspondent banking. Proficient in BSA, AML, OFAC plus consumer regulations required (Reg. B, D, E, F, O, P, U, Z, AA, CC, DD). Able to use various internal sof...
A leading global asset management firm seeks a Chief Compliance Officer (CCO) to lead its US compliance efforts as part of the Global Compliance team. As one of the key professionals ensuring successful growth of the firm’s US business, it will be the individual’s responsibility to work with local management both on the investment and business sales side. This will include overseeing the firm’s ...
The position of Chief Compliance Officer is responsible for maintaining a compliance program designed to ensure that AR Schmeidler's (Subsidiary of Hudson Valley Bank) business is conducted in a manner consistent with all applicable federal and state laws, rules and regulations, industry best practices and the highest level of ethical standards. Principle Responsibilities: Preparation and updati...
Tenet Healthcare Corporation Dallas, TX
Description : The Deputy Chief Compliance Officer reports directly to the Vice President and Chief Compliance Officer for Tenet Healthcare Corporation. Specific Deputy Chief Compliance Officer Responsibilities Include: The Deputy Chief Compliance Officer reports directly to Tenet’s Chief Compliance Officer and is responsible for overseeing the operations of Tenet’s Ethics and Compliance progra...
HSBC Vancouver, BC
Qualifications Bachelor’s degree. Chartered Financial Analyst &/or Master’s Degree would be considered an asset. 10 to 15 years in the securities industry with asset management experience. Proven and progressive financial services operations, compliance or legal experience or equivalent. Full understanding of all significant regulatory compliance requirements, laws and regulations applicable to...
BMO Harris Bank Chicago, IL
Description The Chief Compliance Officer, Broker-Dealers, US PCG Compliance, oversees the US broker-dealer compliance risk management program for BMO’s two broker-dealers and is the appointed CCO for BMO Harris Financial Advisors. This position is accountable for the effective second-line oversight of the implementation, maintenance and administration of the U.S. broker-dealer group-specific comp...
CORPORATE SECTOR New York, NY
Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. JPMorgan Chase is seeking talented candidates f...
The Chief Compliance Officer reports directly to the Chief Risk Officer and is responsible for the development and ongoing maintenance of a corporate-wide compliance program sufficiently robust to address the needs of SVB Financial Group’s complex, global, technology-centric businesses. The Chief Compliance Officer, in a role critical to managing SVB’s compliance and reputation risk, works closely...
MSC Care Management Jacksonville, FL, 32277
Summary: Under the general supervision of the Chief Executive Officer •Develop, maintain and support the implementation of the Corporate Compliance Program and Plan for organization •Facilitate the development of Compliance Programs with the Member Organizations of the organization's System. •Coordinate and perform Audits/Reviews to prospectively test compliance with established laws, regulatio...
Tri-City Medical Center Oceanside, CA, 92049
Overview: The position characteristics reflect the most important duties, responsibilities and competencies considered necessary to perform the essential functions of the job in a fully competent manner. They should not be considered as a detailed description of all the work requirements of the position. The characteristics of the position and standards of performance may be changed by the Distri...
Thrivent Financial Minneapolis, MN
The Chief Compliance Officer of Thrivent Federal Credit Union develops , maintains and implements a comprehensive compliance program and applicable procedures for Thrivent Federal Credit Union designed to ensure compliance with all applicable federal and state laws, regulations and statements of policy, and internally-developed policies and procedures. Provides assistance and input to the credit u...
Thrivent Financial for Lutherans Ave, FL
The Chief Compliance Officer of Thrivent Federal Credit Union develops, maintains and implements a comprehensive compliance program and applicable procedures for Thrivent Federal Credit Union designed to ensure compliance with all applicable federal and state laws, regulations and statements of policy, and internally-developed policies and procedures. Provides assistance and input to the credit un...
Valley Health System Ridgewood, NJ
Position Summary: Responsible for the administration of Corporate Compliance at Valley Health System, including its hospital, home care agency, and growing medical practice. This position is responsible for leadership and direction of the compliance program throughout the System and works collaboratively with system staff/representation and external regulatory agencies facilitating the fulfillmen...
SecondMarket New York, NY, 10007
The trading division of SecondMarket, Inc. a registered broker dealer focused on trading digital currencies and fixed income products, is seeking an experienced, highly motivated and resourceful VP, Legal Affairs & Chief Compliance Officer to join our team. This position will report to the CEO of the firm and will play a key role. This position will manage the firm’s legal and broker dealer regul...
Waddell & Reed Financial, Inc Overland Park, KS, 66204
The Chief Regulatory Officer (CRO) / Chief Compliance Officer (COO) is primarily responsible for directing the overall Compliance function for a retail broker-dealer, which is also a federally registered investment advisor, and a wholesale distributor that distributes the Ivy Funds. The CRO / COO ensures each regulated entity is in compliance with SEC and State statutes and regulations and FINRA a...
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Government Career Tools
$48,000.00 - $168,000.00
Typical Salary for Compliance Director
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Accomplishes compliance business objectives by producing value-added employee results; offering information and opinion as a member of senior management; integrating objectives with other business units; directing staff.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Dealing with Complexity
Financial Planning and Strategy
Attracts new clients by maintaining state-of-the-art compliance programs; bringing compliance recognition to the company; providing leadership in the industry.
Avoids legal challenges by understanding current and proposed legislation; enforcing regulations; recommending new procedures; complying with legal requirements.
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