Compliance officer (financial)

A financial compliance officer ensures a financial institution follows the laws and regulations governing the industry. They develop and enforce compliance policies, monitor activities for violations, conduct reviews and training, investigate issues, report to regulators, and protect the firm from the legal, financial, and reputational damage of breaking the many rules that govern finance.

The role blends knowledge of complex financial regulations with vigilance and enforcement, increasingly important given heavy regulation. Compliance officers work at banks, investment firms, and insurers.

The job suits detail-oriented, principled, knowledgeable people who can master complex rules, are comfortable enforcing standards, and want an in-demand role keeping financial institutions on the right side of an ever-growing body of regulation.