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 regulations

Assessing financial risk and developing preventive measures to address potential issues

Providing regular reports on the effectiveness of preventive measures

Advising company executives regarding potential changes in compliance program

Coordinating with federal and state regulators

Creating and coordinating proper reporting channels for compliance issues

Writing and disseminating company compliance communication

Coordinating and scheduling required compliance training for employees

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Salary for Compliance Officer Financial Services

97750 - 144500

25th percentile

97750

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

50th percentile

131750

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

144500

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

Chief Compliance Officer – Financial Services

169750

196250

229500