Compliance Officer Financial Services

Compliance Officer Job Description

Compliance officers need a strong working knowledge of federal and state regulatory guidelines and standards. Monitoring accounting and regulatory guidelines as they relate to financial reporting and documentation also is essential and requires compliance officers to have excellent analytical, project-management, communication and organizational skills. Compliance officers should possess knowledge of compliance standards and policies, audit techniques, regulatory issues, operations, and procedures as they relate to the organization. Candidates need a minimum of three years of experience in regulatory compliance. A bachelor’s degree in accounting, business, finance or a related field is required, and an MBA or certification such as the CPA is preferred.

Typical compliance officer duties:

Developing, implementing and managing an organization’s corporate-wide compliance with internal policies and government regulationsAssessing financial risk and developing preventive measures to address potential issuesProviding regular reports on the effectiveness of preventive measuresAdvising company executives regarding potential changes in compliance programCoordinating with federal and state regulatorsCreating and coordinating proper reporting channels for compliance issuesWriting and disseminating company compliance communicationCoordinating and scheduling required compliance training for employees

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Salary for Compliance Officer Financial Services
95000 - 140250
25th percentile
95000
New to the role, with little or no experience; requires more than casual instruction or supervision to perform day-to-day duties
50th percentile
128000
Has the experience to consistently perform core responsibilities without direct supervision; very comfortable with processes and subject matter associated with the role
75th percentile
140250
Value to the organization goes far beyond the ability to perform normal job duties; has rare qualifications that enable consistent contribution in unique ways; ready for next career level when available
Projected salaries for related positions Position title 25th percentile 50th percentile 75th percentile Chief Compliance Officer – Financial Services 164750 190500 222750 Compliance Manager – Financial Services 85000 115500 136750 Compliance Analyst – Financial Services 76750 97250 109750 Anti-Money Laundering (AML) Specialist 71750 90250 104250 Fraud Investigator 62750 79000 91250 Regulatory Affairs Specialist 78500 97250 109750

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