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 documentation

Coordinating the creation, review and implementation of policies and procedures resulting from new laws and regulations

Applying and interpreting audit and compliance requirements for various departments

Working closely with the compliance director and other senior executives

Designing and coordinating the preparation and ongoing review of policies, procedures, training materials and other communication tools to ensure departments meet compliance requirements

Coordinating regulatory exams and internal business unit audits

Interacting with external auditors on matters related to audits of the organization’s internal controls

Establishing self-audit and compliance monitoring programs

Reviewing and assessing potential fraud activity and developing fraud detection tools

Filing regulatory reports and other documentation

Coordinating rollout and training of new or updated policies and directives when required

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Salary for Compliance Manager Financial Services

87500 - 140750

25th percentile

87500

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

50th percentile

119000

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

140750

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

Compliance Officer – Financial Services

97750

131750

144500

Compliance Analyst – Financial Services

79000

100250

113000

Anti-Money Laundering (AML) Specialist

71750

90250

104250

Fraud Investigator

63250

79750

92000

Regulatory Affairs Specialist

78500

97250

109750

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