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Dealer Compliance Jobs (NOW HIRING)

FalconX

Chief Compliance Officer, Swap Dealer

New York, NY · On-site

$191K - $252K/yr

Hybrid-Based (New York City, NY or San Mateo, CA) Chief Compliance Officer, U.S. Swap Dealer FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit ...

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Dealer Compliance information

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$31.5K

$98.9K

$207.5K

How much do dealer compliance jobs pay per year?

As of Aug 31, 2026, the average yearly pay for dealer compliance 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 is dealer compliance?

Dealer compliance refers to the process of ensuring that automotive dealerships follow all relevant federal, state, and local laws and regulations. This includes areas such as consumer protection, advertising, sales practices, financing, and environmental standards. Compliance officers or managers within dealerships are responsible for creating policies, conducting training, performing audits, and addressing any violations. Staying compliant helps dealerships avoid costly fines, legal issues, and damage to their reputation.

What are some common challenges faced by dealer compliance professionals and how can they be managed effectively?

Dealer Compliance professionals often navigate complex regulatory environments, staying up-to-date with evolving laws and ensuring that dealership operations align with all relevant guidelines. A common challenge is balancing compliance enforcement with maintaining positive relationships across sales, finance, and management teams. To manage these challenges, it's important to foster clear communication, provide regular staff training, and implement robust monitoring systems. Staying proactive with audits and collaborating closely with legal counsel can also help address issues before they become significant risks.

What are the key skills and qualifications needed to thrive as a dealer compliance professional, and why are they important?

To thrive as a Dealer Compliance professional, you need a solid understanding of regulatory requirements, risk assessment, and dealership operations, typically supported by a bachelor's degree in business, finance, or a related field. Familiarity with compliance management systems, auditing tools, and relevant certifications such as Certified Regulatory Compliance Manager (CRCM) is often required. Strong attention to detail, ethical judgment, and effective communication skills help navigate complex regulations and foster a culture of compliance. These skills are crucial for minimizing legal risks, maintaining dealership credibility, and ensuring adherence to industry standards.

What is the difference between Dealer Compliance vs Dealer Licensing Specialist?

AspectDealer ComplianceDealer Licensing Specialist
Required CredentialsKnowledge of regulations, certifications vary by stateLicensing exams, state-specific licenses
Work EnvironmentDealerships, regulatory agenciesDealerships, licensing offices
Industry UsageEnsures dealership adherence to lawsHandles licensing processes for dealerships

Dealer Compliance focuses on ensuring dealerships follow legal and regulatory standards, while Dealer Licensing Specialists handle the licensing process to obtain and renew dealership licenses. Both roles require knowledge of industry regulations but differ in daily responsibilities and focus areas.

Is working in dealer compliance a good career?

Dealer compliance involves ensuring automotive dealerships follow legal and regulatory requirements, often requiring knowledge of laws, policies, and documentation. It can offer stable employment with opportunities for advancement and requires attention to detail, analytical skills, and sometimes certifications. The career can be rewarding for those interested in legal and regulatory aspects of the automotive industry.
More about Dealer Compliance jobs

What cities are hiring for Dealer Compliance jobs?

Cities with the most Dealer Compliance job openings:

What states have the most Dealer Compliance jobs?

States with the most job openings for Dealer Compliance jobs include:

What job categories do people searching Dealer Compliance jobs look for?

The top searched job categories for Dealer Compliance jobs are:

Dealer Compliance jobs near you
Infographic showing various Dealer Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 12% Part Time, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Broker Dealer Compliance Officer

The O'Neil Search Group

Ardsley, NY • On-site

Full-time

Posted 12 days ago

Job description

An established broker/dealer firm is seeking a Compliance Officer to work out of their NY, CA or SC office.

5+ years of broker dealer compliance experience required.



Responsibilities:


* Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading.

* Manage the Firm's Trade Monitoring & Surveillance

* Assist with regulatory reporting management (CAT/606/CAIS)

* Conducting or assisting in preparing information and responses to regulatory exams and inquiries

* Reviewing electronic correspondence and firm's marketing material

* Review of the Firm's employee code of ethics requirements (Personal trading, OBA and private securities transactions)

* Establish and maintain open and effective relationships with regulators such as FINRA and the SEC

* Trading desk liaison

* Continuing education management

* Restricted 144 and Legal Sales

* Best Execution Committee Manager

* Wall crossing chaperoning and restricted list management

* Complete clients AML/KYC annual questionnaires

* Branch and department audits

* Assist with onboarding of new clients, such as AML, KYC, and CIP issues.




Qualifications:

* Bachelor's Degree with advanced degree preferred

* 5+ years of broker dealer compliance experience required.

* Institutional broker-dealer experience preferred

* Series 7, 63 and 57. Requirements for additional qualifications may be necessary based on responsibilities

* Trade monitoring and surveillance experience

* CAT, CAIS and 606 Reporting experience

* Strong knowledge of securities industry rules and regulations

* Ability to work with Senior Management and make time sensitive decisions

* Strong knowledge of FINRA and Nasdaq systems including ACT Workstation, CAT, Gateway, TRACE

and CRD

* Working knowledge with FlexTrade and other OMS/EMS platforms

* Proficient in MS Word and Excel

* Organizational awareness with an understanding of how to engage the organization to get things done

* Strong problem-solving skills; comfortable tackling complex problems and breaking these down into

manageable pieces

* Self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept

challenging assignments

* Conceptual and practical thinking and implementation skills

* Excellent communication skills



ONeil Search Group logo

About ONeil Search Group

Sourced by ZipRecruiter

Since 1989, The ONeil Search Group has been trusted by the nation’s top tier law firms, financial corporations, mid-sized and specialty boutiques to provide capable, professional employees. With over 50 years of combined experience, our search consultants bring an abundance of connections, intelligence and acumen to their jobs. Furthermore, at The ONeil Search Group, we use a team approach. We share resources and advice so that our clients and our applicants get the best of everything we have to offer. Our dedication and commitment to your satisfaction has earned us an excellent reputation in the recruiting, legal and financial communities. Whether you are an applicant or a client, the ONeil Search team is devoted to fulfilling your unique, specific needs.

Industry

Recruiting and staffing services

Company size

1 - 10 Employees

Headquarters location

NY, US

Year founded

1989

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