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 conductProviding 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 complianceCoordinating with the human resources department to develop an effective compliance training program, including appropriate introductory training for new employees and ongoing training for existing staffInstituting 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 requiredMonitoring possible areas of compliance risk and implementing corrective action plans for the resolution of current and potential problems

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3M
ADP - Financial Services
Accounting Functions
Accounting Software Systems
Auditing
Budget Processes
C-Suite
CRM
CapEx
Capital Management
Salary for Chief Compliance Officer Financial Services
164750 - 222750
25th percentile
164750
New to the role, with little or no experience; requires more than casual instruction or supervision to perform day-to-day duties
50th percentile
190500
Has the experience to consistently perform core responsibilities without direct supervision; very comfortable with processes and subject matter associated with the role
75th percentile
222750
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 Compliance Officer – Financial Services 95000 128000 140250 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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