Compliance Manager Financial Services

Compliance Manager Job Description

Compliance managers need solid statistical, analytics and organizational skills. Candidates should possess the ability to collaborate and build partnerships with multiple business units within a financial services institution. A bachelor’s degree in business or accounting is expected; an advanced degree is preferred. A least two to four years of related experience and systems proficiency are required. A professional certification in auditing or compliance, such as a certified internal auditor (CIA) or certified regulatory compliance manager (CRCM) designation, is preferred.

Typical compliance manager duties:

Creating and reviewing regulatory compliance documentationCoordinating the creation, review and implementation of policies and procedures resulting from new laws and regulationsApplying and interpreting audit and compliance requirements for various departmentsWorking closely with the compliance director and other senior executivesDesigning and coordinating the preparation and ongoing review of policies, procedures, training materials and other communication tools to ensure departments meet compliance requirementsCoordinating regulatory exams and internal business unit auditsInteracting with external auditors on matters related to audits of the organization’s internal controlsEstablishing self-audit and compliance monitoring programsReviewing and assessing potential fraud activity and developing fraud detection toolsFiling regulatory reports and other documentationCoordinating rollout and training of new or updated policies and directives when required

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ADP - Financial Services
About Time
Accounting Functions
Accounting Software Systems
Banking Operation
Budget Processes
CRM
Compliance
Credit
Customer Service
Salary for Compliance Manager Financial Services
85000 - 136750
25th percentile
85000
New to the role, with little or no experience; requires more than casual instruction or supervision to perform day-to-day duties
50th percentile
115500
Has the experience to consistently perform core responsibilities without direct supervision; very comfortable with processes and subject matter associated with the role
75th percentile
136750
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 Officer – Financial Services 95000 128000 140250 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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