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Compliance Testing Officer Jobs (NOW HIRING)

Landing Point

Compliance Officer

Manhattan, NY · On-site

Compliance Officer (New York, NY): Our client is a well-established alternative asset management ... Conduct compliance monitoring and testing * Manage day-to-day relationships and activities ...

Five Star Bank

Senior Compliance Tester

Warsaw, NY · On-site

$65K - $85K/yr

Communicate testing results, observations, and recommendations effectively to Compliance Officers, Legal Counsel, business leaders, and other stakeholders. * Exhibit exceptional time management ...

Five Star Bank

Senior Compliance Tester

Rochester, NY · On-site

$65K - $85K/yr

Communicate testing results, observations, and recommendations effectively to Compliance Officers, Legal Counsel, business leaders, and other stakeholders. * Exhibit exceptional time management ...

Five Star Bank

Senior Compliance Tester

Buffalo, NY · On-site

$65K - $85K/yr

Communicate testing results, observations, and recommendations effectively to Compliance Officers, Legal Counsel, business leaders, and other stakeholders. * Exhibit exceptional time management ...

Five Star Bank

Senior Compliance Tester

Buffalo, NY · On-site

$60 - $80/hr

Communicate testing results, observations, and recommendations effectively to Compliance Officers, Legal Counsel, business leaders, and other stakeholders. * Exhibit exceptional time management ...

Five Star Bank

Senior Compliance Tester

Rochester, NY · On-site

$60 - $80/hr

Communicate testing results, observations, and recommendations effectively to Compliance Officers, Legal Counsel, business leaders, and other stakeholders. * Exhibit exceptional time management ...

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Compliance Testing Officer information

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$31.5K

$98.9K

$207.5K

How much do compliance testing officer jobs pay per year?

As of Sep 9, 2026, the average yearly pay for compliance testing officer in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What does a Compliance Testing Officer do?

A Compliance Testing Officer is responsible for ensuring that an organization adheres to regulatory requirements and internal policies by conducting tests, reviews, and assessments of business processes. They identify areas where the company may be at risk of non-compliance and recommend corrective actions. Their work involves evaluating documentation, interviewing staff, and reporting findings to management to help maintain compliance with laws and industry standards.

How does a Compliance Testing Officer typically interact with other departments to ensure adherence to regulatory requirements?

As a Compliance Testing Officer, you will work closely with various departments such as operations, legal, and internal audit to conduct reviews and assess compliance with internal policies and external regulations. Regular collaboration is required to gather documentation, clarify processes, and communicate findings or recommendations. Building strong relationships with stakeholders is key, as you will need their cooperation to implement corrective actions and drive continuous improvement in compliance practices.

What are the key skills and qualifications needed to thrive as a Compliance Testing Officer, and why are they important?

To thrive as a Compliance Testing Officer, you need a solid understanding of regulatory requirements, risk management, and audit methodologies, usually backed by a degree in finance, law, or a related field. Familiarity with compliance management systems, audit software, and certifications like CRCM or CISA is highly valued. Strong analytical thinking, attention to detail, and effective communication skills help in identifying compliance gaps and reporting findings. These abilities are crucial for ensuring organizational adherence to laws and regulations, reducing risk, and maintaining a strong compliance culture.

What is the difference between Compliance Testing Officer vs Compliance Auditor?

AspectCompliance Testing OfficerCompliance Auditor
CertificationsISO certifications, internal compliance trainingCPA, CIA, or ISO auditor certifications
Work EnvironmentRegulatory agencies, corporate compliance departmentsAudit firms, internal audit teams
Primary FocusTesting compliance with regulations and standardsEvaluating overall compliance systems and processes

Both roles involve ensuring organizations meet regulatory standards, but Compliance Testing Officers focus on specific testing and verification, while Compliance Auditors assess broader compliance systems. They often work together to maintain regulatory adherence within organizations.

What cities are hiring for Compliance Testing Officer jobs?

Cities with the most Compliance Testing Officer job openings:

What are popular job titles related to Compliance Testing Officer jobs?

For Compliance Testing Officer jobs, the most frequently searched job titles are:

Compliance Testing Officer jobs near you
Infographic showing various Compliance Testing Officer job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief Compliance Officer

Waukesha, WI • On-site

Drake and Associates
See more jobs at Drake and Associatesexternal

Full-time

Posted 7 days ago

Job description

Drake & Associates is seeking an experienced Chief Compliance Officer (CCO) to lead and manage the firm's compliance program. As our primary compliance professional and a member of the Leadership Team, the CCO will serve as both a hands-on compliance expert and strategic business partner.


The Chief Compliance Officerwill own the day-to-day execution of the compliance function, including regulatory filings and examinations, compliance testing and monitoring, audits and risk assessments, policies and procedures, advertising and marketing review, employee compliance, and regulatory training.


We are looking for someone who can independently manage a comprehensive compliance program while partnering with leadership to identify risk, strengthen processes, and develop practical solutions that protect the firm and support continued growth.


What You'll Do

  • Own and manage the firm's compliance program and maintain policies, procedures, controls, and required regulatory records.
  • Develop and execute compliance testing and monitoring, annual reviews, internal audits, and ongoing risk assessments.
  • Identify compliance gaps and areas of risk, implement corrective actions, and track remediation.
  • Manage required SEC and regulatory filings and lead preparation for regulatory examinations, inquiries, and audits.
  • Review and approve advertising and marketing materials for compliance with applicable SEC requirements.
  • Oversee employee compliance requirements, including licensing and registrations, Code of Ethics, personal securities trading, disclosures, conflicts of interest, and outside business activities.
  • Monitor regulatory developments and implement necessary changes to firm policies and business practices.
  • Develop and deliver compliance training and serve as the primary compliance resource for employees and advisors.
  • Serve as an active member of the Leadership Team, advising on regulatory risk, business initiatives, operational changes, technology, and firm growth.
  • Partner across the organization to strengthen and scale compliance processes while balancing regulatory requirements with practical business needs.


What We're Looking For

  • Bachelor's degree in Business, Finance, Accounting, Legal Studies, Political Science, or a related field.
  • 7+ years of progressive compliance, supervision, or regulatory experience within financial services.
  • Significant experience working within or supporting a Registered Investment Adviser (RIA).
  • Strong knowledge of SEC regulations applicable to investment advisers.
  • Hands-on experience with compliance testing and monitoring, audits, risk assessments, regulatory filings and examinations, and policies and procedures.
  • Experience with advertising and marketing compliance, Code of Ethics administration, personal securities transactions, and employee disclosures.
  • Strong judgment and the ability to interpret complex regulatory requirements and translate them into practical business solutions.
  • Ability to work independently, manage competing priorities, and take ownership of the compliance function.
  • Strong communication and relationship-management skills with the confidence to advise and appropriately challenge senior leadership.


Preferred

  • Previous experience as a CCO, Deputy CCO, Compliance Director, Chief Supervision Officer, Senior Compliance Officer, or similar role.
  • 10+ years of progressive financial services compliance and/or supervision experience.
  • Experience within a growing RIA or wealth management firm.
  • Relevant securities registrations, such as Series 7, 24, 9/10, 63, 65, and/or 66.

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