Chief Compliance Officer – Financial Services

Chief Compliance Officer – Financial Services Job Description

The chief compliance officer (financial services) plays a pivotal role in ensuring the organization's adherence to complex financial services regulations. Chief compliance officers strategically develop and implement effective compliance programs, monitor and assess risks related to financial transactions, and collaborate with various departments to maintain compliance with industry regulations.

Typical chief compliance officer – financial services duties:

Oversee the development and implementation of comprehensive compliance programs tailored to specific financial services regulations (e.g., AML, Anti-Fraud). Monitor and assess risks associated with financial transactions, including money laundering and terrorist financing. Conduct due diligence on clients and transactions to identify potential red flags. Prepare and maintain detailed compliance reports for internal and regulatory purposes. Train and educate employees on relevant financial services regulations and compliance policies. Investigate potential compliance breaches and recommend appropriate corrective actions. Collaborate with internal audit, risk management, and other departments to ensure overall compliance across the organization. Stay up to date on evolving financial services regulations and industry best practices.

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Salary for Chief Compliance Officer – Financial Services
152750 - 232750
25th percentile
152750
The candidate is new to the role and building the needed skills, experience and autonomy.
50th percentile
190750
The candidate has the experience to perform core responsibilities without direct supervision and is comfortable with the role’s processes and subject matter.
75th percentile
232750
The candidate delivers value beyond the stated job duties, has advanced qualifications and experience, and is ready for the next career level.
Projected salaries for related positions Position title 25th percentile 50th percentile 75th percentile Controller – Financial Services 114500 135750 167000 Accountant, 5+ Years' Experience – Financial Services 95000 120250 128250 Accountant, 3-5 Years' Experience – Financial Services 81750 90000 100750 Accountant, 0-3 Years' Experience – Financial Services 62000 70000 79750 Financial Analyst – Financial Services 83500 97500 109750 Manager of Financial Planning & Analysis 109750 132000 154250 Manager of Internal Audit – Financial Services 109000 131250 144750 Internal Auditor, 3-5 Years' Experience – Financial Services 83750 97750 110500 Internal Auditor, 0-3 Years' Experience – Financial Services 72250 84000 97000 Manager of Regulatory Reporting 103750 122000 134500 Chief Risk Officer – Financial Services 203500 243500 272250 Manager of Market Risk Analysis – Financial Services 86500 101250 119250 Market Risk Analyst, 3-5 Years' Experience 71000 82750 95750 Manager of Credit Risk Analysis – Financial Services 92750 101750 114500 Credit Risk Analyst, 3-5 Years' Experience 72750 86250 98250 Manager of Operational Risk Analysis – Financial Services 96750 113750 130500 Operational Risk Analyst, 3-5 Years' Experience 80000 90250 103500 Compliance Manager – Financial Services 105000 121250 141000 Compliance Officer – Financial Services 95000 106500 122000 Compliance Analyst – Financial Services 77250 95750 117000 Anti-Money Laundering (AML) Specialist 62750 75000 85500 Fraud Investigator 54250 68500 78500 Hedge Fund Accountant 65250 78000 86250 Mutual Fund Accountant 55250 61250 71250 Fund Operations Specialist, 5+ Years' Experience 68750 82750 94500 Fund Operations Specialist, 3-5 Years' Experience 51500 63500 78500 Fund Operations Specialist, 0-3 Years' Experience 45750 48500 52250

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