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Compliance Principal Jobs (NOW HIRING)

L3HHCM20

Principal, Government Compliance

Ashburn, VA · On-site

Principal, Govt Compliance Job Code: 40843 Job Location: Amityville, NY, Ashburn, VA, Melbourne, FL, Mason, OH, Yorba Linda, CA Job Schedule: 9/80 Are you ready to ensure our compliance and ...

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Compliance Principal information

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$36.5K

$109.4K

$182K

How much do compliance principal jobs pay per year?

As of Aug 12, 2026, the average yearly pay for compliance principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

How does a Compliance Principal typically collaborate with other departments to ensure regulatory adherence?

A Compliance Principal frequently works cross-functionally, partnering with departments such as Legal, Risk, Operations, and Internal Audit. This collaboration ensures that policies and processes across the organization align with current regulations and industry standards. They may lead training sessions, coordinate compliance audits, and provide guidance on new regulatory requirements. Effective communication and relationship-building skills are essential in this role, as the Compliance Principal often acts as a bridge between compliance and business units to proactively address potential risks.

What is a Compliance Principal?

A Compliance Principal is a senior professional responsible for ensuring that an organization adheres to relevant laws, regulations, and internal policies. They typically oversee compliance programs, assess risks, and implement procedures to mitigate non-compliance. In financial and securities industries, a Compliance Principal may also supervise registered representatives and ensure the firm meets regulatory standards. This role often involves interacting with regulatory bodies, conducting internal audits, and providing compliance training to staff.

What are the key skills and qualifications needed to thrive as a Compliance Principal?

To thrive as a Compliance Principal, you need deep knowledge of regulatory requirements, risk management, and compliance frameworks, typically supported by a bachelor's or master's degree in law, finance, or a related field. Experience with compliance management systems, audit tools, and relevant certifications such as CRCM or CCEP is highly valuable. Strong leadership, analytical thinking, and excellent communication skills help you effectively guide teams and communicate regulatory expectations. These skills ensure robust compliance programs, minimize organizational risk, and foster a culture of ethical conduct.

What is the difference between Compliance Principal vs Compliance Officer?

AspectCompliance PrincipalCompliance Officer
Required CredentialsCertifications like CCEP, CRCM, or CCEP-I; relevant degreesSimilar certifications; often entry to mid-level certifications
Work EnvironmentStrategic, policy development, senior advisory rolesOperational, monitoring, and enforcement activities
Employer & Industry UsageFinancial institutions, healthcare, large corporationsFinancial services, banking, healthcare, regulated industries

The Compliance Principal typically focuses on developing policies and providing strategic oversight, requiring advanced certifications and experience. In contrast, Compliance Officers handle day-to-day compliance monitoring and enforcement. Both roles are vital in regulated industries, but the Compliance Principal operates at a higher strategic level, while Compliance Officers focus on operational compliance tasks.

What job categories do people searching Compliance Principal jobs look for? The top searched job categories for Compliance Principal jobs are:
Compliance Principal jobs near you
Infographic showing various Compliance Principal job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Compliance & Ethics Principal / Senior Compliance & Ethics Principal

PPL Corporation

Providence, RI • On-site

Full-time

Re-posted 11 days ago

PPL rating

6.8

Company rating: 6.8 out of 10

Based on 46 frontline employees who took The Breakroom Quiz

44th of 53 rated energy and utility

Job description

Company Summary Statement
As one of the largest investor-owned utility companies in the United States, PPL Corporation (NYSE: PPL), is committed to creating long-term, sustainable value for our 3.5 million customers, our shareowners and the communities we serve. Our high-performing regulated utilities - PPL Electric Utilities, Louisville Gas and Electric, Kentucky Utilities and Rhode Island Energy - provide an outstanding experience for our customers, consistently ranking among the best utilities in the nation. PPL's companies are also addressing challenges head-on by investing in new infrastructure and technology that is creating a smarter, more reliable and resilient energy grid. We are committed to doing our part to advance a cleaner energy future and drive innovation that enables us to achieve net-zero carbon emissions by 2050 while maintaining energy reliability and affordability for the customers and communities we serve. PPL is a positive force in the cities and towns where we do business, providing support for programs and organizations that empower the success of future generations by helping to build and maintain strong, diverse communities today.
Overview
NOTE: This role is hybrid requiring 3 days a week on-site at our Providence, RI office. #LI-Hybrid
Principal Compliance and Ethics:
The Principal Compliance and Ethics is responsible for managing activities associated with the compliance and ethics program, including compliance risk assessments, policy development, regulatory monitoring, investigations, communications and internal controls. The role oversees compliance programs, including monitoring, investigations, and reporting activities. The role works with cross-functional teams, including legal, HR, and business teams to proactively identify and mitigate risks, resolve compliance issues, support development of policies, facilitate training, and develop communications to promote ethical behavior. The role supports a strong culture of integrity and compliance across the organization.
Senior Principal Compliance and Ethics:
The Senior Principal Compliance and Ethics is responsible for providing strategic leadership for compliance and ethics programs for assigned subsidiaries, business units and/or locations in order to prevent illegal, unethical or improper conduct. The role is responsible for driving continuous improvement, strong compliance performance, and for leading assigned compliance and ethics initiatives, which may include setting direction for compliance risk assessments, policy development, and internal controls in order to ensure adherence to regulatory and company requirements. The role has local administrative responsibility for the PPL Corporation Standards of Integrity, Ethics Helpline, and investigations process and serves as a point of contact for employees to report issues or seek guidance regarding the compliance and ethics program. The role is responsible for maintaining relationships with leadership, including business line President and COO, to ensure collaboration and support for compliance and ethics initiatives, and works with internal teams and business lines to strengthen compliance practices. The role is responsible for monitoring compliance and ethics culture and working with leadership to promote and sustain a strong compliance and ethics culture. The role has adequate resources and authority, including appropriate access to information within the business lines, to fulfill the role and is required to think independently and exercise that independence, when necessary, to comply with the requirements of the position. This employee is recognized as an internal and external expert/thought leader in the compliance and ethics profession. #LI-Hybrid #INDRIE
Responsibilities
Principal Compliance and Ethics:
  • Oversee compliance and ethics programs, including specialized regulatory programs, ensuring policies, procedures, and controls are implemented across business units and aligned with requirements.
  • Manage compliance monitoring activities, including audits, assessments, litigation support and reporting processes, to ensure timely identification and resolution of compliance issues.
  • Integrate compliance processes and systems across functions to improve coordination, visibility, and consistency in compliance and ethics activities.
  • Optimize compliance performance by monitoring key metrics, identifying trends, and implementing improvements to strengthen risk management and program effectiveness.
  • Develop and standardize compliance policies, procedures, and training materials to ensure understanding and application across the organization.
  • Expand collaboration with internal teams and external stakeholders to resolve compliance issues and enhance overall program effectiveness.
  • Support compliance communication and training programs that enhance awareness, engagement, and understanding of compliance and ethics requirements and expectations.
  • Lead enterprise-wide compliance initiatives to strengthen regulatory adherence and organizational culture.
  • Oversee preparation and consolidation of compliance and ethics reports, including investigations and key risk indicators, for review by senior leadership.
  • Manage the investigation process to respond to alleged violations of law, regulations, policies, and procedures, including conducting investigations as appropriate.
  • Identify potential areas of compliance and ethics vulnerability and risk and assist with program updates to rank the relative compliance risks faced by assigned area.
  • Assist with the development and presentation of internal compliance and ethics updates.
  • Hybrid work schedule with at least three days per week in-person in the office with periodic remote work and travel.
  • Other duties as assigned.

Senior Principal Compliance and Ethics:
  • Strategize the enterprise compliance and ethics vision by aligning regulatory requirements, corporate values, and operational practices to strengthen organizational integrity.
  • Function as the compliance program lead for assigned subsidiaries, business units and/or locations with respect to all PPL compliance and ethics efforts.
  • Support the compliance and ethics programs by developing, maintaining, and communicating compliance policies, controls, and governance frameworks that prevent illegal, unethical and improper conduct and ensure adherence across business units.
  • Sponsor and lead enterprise-wide compliance initiatives to strengthen regulatory adherence and organizational culture.
  • Develop and support compliance communication and training programs that enhance awareness, engagement, and understanding of compliance and ethics regulatory requirements and expectations.
  • Integrate data governance, reporting systems, and performance metrics to improve visibility, accountability, and program effectiveness.
  • Maintain expertise in compliance and ethics programs and support the development, periodic review and update of the corporate compliance and ethics program to ensure continuing currency and relevance in providing guidance to management and employees.
  • Collaborate with senior leadership to maintain and nurture culture of compliance and ethics.
  • Manage the investigation process to respond to alleged violations of law, regulations, policies, and procedures, including conducting investigations as appropriate.
  • Monitor, and as necessary, coordinate compliance and ethics activities of other departments to remain abreast of the status of relevant compliance and ethics activities.
  • Identify potential areas of compliance and ethics vulnerability and risk and assist with program updates to rank the relative compliance risks faced by assigned subsidiaries/business lines.
  • Assist with the development and presentation of compliance and ethics updates to senior leadership and the Audit Committee, including risk exposures, investigation outcomes, and program effectiveness insights.
  • Hybrid work schedule with at least three days per week in-person in the office with periodic remote work and travel.
  • Other duties as assigned

Qualifications
Principal Compliance and Ethics:
  • Bachelor's Degree is required.
  • 15 years of experience with regulatory or legal issues
  • Ability to engage and influence
  • Strong written and verbal communication skills
  • Master's or Law Degree is preferred
  • Experience with internal investigations
  • Experience in compliance programs

Senior Principal Compliance and Ethics:
  • Bachelor's Degree and 20 years of experience are required
  • Extensive experience in regulatory or legal issues
  • Ability to engage and influence
  • Strong written and verbal communication skills
  • Master's or Law Degree is preferred
  • Experience with internal investigations preferred
  • Experience in compliance programs preferred

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