ZipRecruiter

Log In

1

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 ...

next page

Showing results 1-20

All JobsDealer Compliance Jobs

Dealer Compliance information

See salary details

$31.5K

$98.9K

$207.5K

How much do dealer compliance jobs pay per year?

As of Aug 10, 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 does dealer compliance mean?

Dealer compliance refers to ensuring that a vehicle dealer follows all applicable laws, regulations, and industry standards. It involves maintaining proper documentation, adhering to licensing requirements, and implementing policies to prevent fraud and protect consumer rights. Compliance officers often review processes and may require training or certifications to ensure ongoing adherence.

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 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 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 and certification in compliance standards. The role is essential in the automotive industry and can be a steady career path for those interested in legal and regulatory work.
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

Lead Compliance, Broker / Dealer

Mutual of America Financial Group

Manhattan, NY • On-site

$97K - $146K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 10 days ago

Job description

Mutual of America Financial Group
Job Title: Lead Compliance, Broker / Dealer 
Location: Boca Raton, FL (hybrid) or New York, NY (hybrid)

Who We Are:

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals. We work diligently to understand the needs of our customers so we can help them achieve their retirement savings goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

Role Summary:

Mutual of America's Compliance Department is seeking a Lead, Compliance with direct or related experience in broker/dealer compliance to assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary. In this role, you will contribute to the success of the compliance program and will have the opportunity to work closely with the management of the broker/dealer.

Responsibilities:

  • Work with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
  • Assist the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
  • Manage and conduct branch office inspections, including implementation of remediation plans.
  • Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
  • Assist with the review of employee-related compliance requests, and escalate to department leadership, as necessary
  • Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
  • Assist with drafting annual training materials and provide in-person or virtual live training to registered personnel on relevant topics
  • Assist with regulatory inquiries and help prepare responses under tight deadlines
  • Manage the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
  • Perform reviews of registered representatives' electronic communications, maintain the electronic communications supervision system’s configuration, and perform efficacy reviews of the system’s supervision rules on a quarterly basis, suggesting improvements and refinements
  • Actively promote compliance awareness among sales and service personnel

Required Qualifications:

  • Bachelor’s degree
  • Knowledge of FINRA and SEC rules applicable to broker/dealers
  • FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
  • 3-5 years of experience in broker/dealer compliance or a related role
  • Meticulous attention to detail
  • Highly motivated self-starter with a desire to work in a faced -aced environment
  • Strong written and oral communication skills
  • Strong interpersonal skills with the ability to collaborate with various business units at all levels
  • Ability to organize and prioritize workflow and assignments
  • Ability to exercise discretion and maintain the highest level of confidentiality
  • Advanced proficiency in Microsoft Excel, Word, and PowerPoint.

What we offer you:

  • Competitive base salary
  • Annual Bonus
  • Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment
  • 401(k) Match: 100% Employer Match on up to 6% of employee contributions (Salary and Incentive Comp)
  • Parental Leave: 8 weeks fully paid
  • Paid time off: 20 days plus two floating personal holidays 

The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.

Base Salary Range:

Boca Raton, FL: $97,900 - $146,800

New York, NY: $113,300 - $170,000

Visit www.mutualofamerica.com/careers for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica

Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.

Apply