Chief Compliance Officer Financial Services

Chief Compliance Officer Job Description

Chief compliance officers (CCOs) should have strong analytical, communication, collaboration and long-term strategic-planning skills. Candidates must possess knowledge of federal and state government regulatory ethics and compliance issues. Depending on company size, CCOs typically have at least 10 years of compliance experience, and public companies may require experience with SEC reporting. Many organizations also prefer applicants with demonstrated experience in Sarbanes-Oxley compliance. Candidates often have held positions of progressive responsibility in public accounting or within a law firm or corporate finance department. CCOs work closely with the general counsel and, particularly in highly regulated industries such as financial services and healthcare, also may report to the CEO or chief operations officer.

Typical chief compliance officer duties:

Developing and communicating policies and procedures for the company’s standard of legal and ethical conduct

Providing reports on a regular basis to keep the board and senior management informed of the progress and status of the compliance program and advising them of new developments in ethics and regulatory compliance

Coordinating with the human resources department to develop an effective compliance training program, including appropriate introductory training for new employees and ongoing training for existing staff

Instituting a standard reporting mechanism within the company for the reporting of compliance issues for investigation and resolution, including confidentiality measures for reporting employees and violations to outside authorities as appropriate or required

Monitoring possible areas of compliance risk and implementing corrective action plans for the resolution of current and potential problems

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Salary for Chief Compliance Officer Financial Services

169750 - 229500

25th percentile

169750

The candidate is new to the role and building the needed skills, experience and autonomy.

50th percentile

196250

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

229500

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

Compliance Officer – Financial Services

97750

131750

144500