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 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 relevant laws,...
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 relevant laws, regulations...
Company Confidential Fort Wayne, IN, 46804
Local, independent Registered Investment Advisory firm seeking experienced Chief Compliance Officer Requirements : Bachelors Degree in business or related field; 5+ years experience in managing RIA compliance prior experience with SEC exams Understanding of the Investment Adviser Act of 1940 and its requirements compliance designations preferred, e.g. Investment Advisor Certified Compl...
The Chief Compliance Officer (CCO) is a consumer advocate with the primary focus of protecting the end consumer and customer. The CCO will ensure the development and maintenance of a strong compliance program through strict adherence with applicable consumer protection laws, regulations, Congressional directives and best practices that govern the Company and its products and services. The CCO will...
Sandhill is an investment management firm seeking a full-time compliance professional to serve as Chief Compliance Officer (CCO). Sandhill Investment Management is a fast growing Registered Investment Advisor (RIA) regulated by the SEC. The CCO will report directly to the Managing Partner. Sandhill seeks a candidate with extensive compliance experience in the securities industry that would like to...
Wellesley Investment Advisors is a rapidly growing Registered Investment Advisory firm with assets under management of over $2 billion. We are located in Wellesley, Massachusetts. We have been rated one of the Top 100 Independent Financial Advisors by Barron's for four consecutive years. We serve Registered Investment Advisors, pensions, wire houses, independent broker-dealers, and high net worth...
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 ...
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...
The Chief Compliance Officer (“CCO”) is a consumer advocate with the primary focus of protecting the end consumer and customer. The CCO will ensure the development and maintenance of a strong compliance program through strict adherence with applicable consumer protection laws, regulations, Congressional directives and best practices that govern the Company and its products and services. The CCO wi...
Bankstaff in Denver, Co is currently recruiting for the following position...Please note this position is located near Havre, MT. General Summary The Chief Compliance Officer is responsible for providing oversight of short-term consumer lending regulatory compliance. This role will create, maintain, and update proprietary policies and appropriate monitoring processes of the company compliance po...
Position Description for Chief Compliance Officer Thoroughbred Mortgage Bank, LLC (TMB) The Chief Compliance Officer will be responsible for the enterprise-wide Mortgage Compliance and Quality Control functions for TMB. These responsibilities will encompass the mortgage production function from origination through post-closing and includes State, Federal and investor specific guidelines. Regula...
Chief Compliance Officer (CCO) A large-sized Annapolis area independent RIA firm is seeking a Chief Compliance Officer (CCO) Our firm is a dual registered OSJ and RIA managing the accounts of individual retail clients. We use equities, mutual funds, annuities, REIT’s, and ETF’s to construct our clients’ portfolios. Compliance experience with these produces is necessary. Duties and Responsibilit...
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 start-up brokerage firm that provides traditional brokerage services to international clientele seeks to hire a CCO with 10+ years of experience to be responsible for executing the firm’s business plan, submitting the FINRA new membership application, and managing the firm’s compliance program. Specific responsibilities may include, but are not limited to the following: · Develop project plan f...
The Chief Compliance Officer ("CCO") is responsible for managing all aspects of compliance for KLS Professional Adivsors Group, LLC ("KLS" or "the Company") in accordance with the relevant laws, including the Investment Advisers Act of 1940 (the "Advisers Act"), Sarbanes-Oxley and others. In order to properly administer the Company’s compliance program, the CCO should: · be fully aware of KLS op...
BENEFITS: 401k Plan Medical, Dental and Vision Benefits Term Life Insurance Long Term Disability Vacation, Personal, Holiday and Sick Time Off Employee Loan Discount Program SALARY: Based on amount of work experience. Job Description Summary: The Compliance Officer will be responsible for all aspects of the Bank’s compliance program including developing the program, ensuring the developm...
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...
GE Capital Norwalk, Chicago, IL
Role Summary/Purpose This position will lead the compliance program for [PLATFORM]. The Compliance Leader will be responsible for creating, implementing and maintaining the Business segment strategy on compliance and regulatory requirements The Compliance Leader will also create and implement policies and procedures to assure consistency across the businesses. Essential Responsibilities Leading...
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...
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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
Monitors possible internal violations and recommend corrective action.
Provides training and guidance to employees, as needed, on key legal, regulatory and policy requirements.
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