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Financial Compliance Officer Jobs (NOW HIRING)

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site

The Compliance Officer responsibilities may include providing investment advisory support ... financial future of individuals, businesses and communities. With an extensive portfolio of ...

tastytrade

Compliance Officer

Chicago, IL · On-site

Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days ... Built from the ground up by a team with decades of experience in the financial industry, we're a ...

TNBANK

Compliance Officer

Oak Ridge, TN · On-site

Reports illegal financial activities to proper authorities to protect the reputation of our Bank ... Experienced Banking Compliance Officer with compliance certification(s) preferred. * Extensive ...

TNBANK

Compliance Officer

Oak Ridge, TN · On-site

Reports illegal financial activities to proper authorities to protect the reputation of our Bank ... Experienced Banking Compliance Officer with compliance certification(s) preferred. * Extensive ...

TNBANK

Compliance Officer

Oak Ridge, TN · On-site

Reports illegal financial activities to proper authorities to protect the reputation of our Bank ... Experienced Banking Compliance Officer with compliance certification(s) preferred. * Extensive ...

Uinta Bank

BSA/Compliance Officer

Jackson, WY · Remote

$90K - $105K/yr

Finance FLSA Status: Exempt Position Type: Full-Time Work Location: Remote (must reside locally ... Position Summary The BSA/Compliance Officer is responsible for administering and overseeing the ...

UC Health

Assistant Compliance Officer

Cincinnati, OH · On-site

When requested, helps the Chief Privacy and Compliance Officer inform the UC Health CEO, CAO, CFO, UC Health Audit and Compliance Committee, and Board of Trustees about such matters. * Consults with ...

tastylive

Compliance Officer

Chicago, IL · On-site

$100K - $140K/yr

Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days ... Built from the ground up by a team with decades of experience in the financial industry, we're a ...

UC Health

Assistant Compliance Officer

Cincinnati, OH · On-site

When requested, helps the Chief Privacy and Compliance Officer inform the UC Health CEO, CAO, CFO, UC Health Audit and Compliance Committee, and Board of Trustees about such matters. * Consults with ...

Flow Traders

Compliance Officer

New York, NY · On-site

$95K - $130K/yr

This Compliance Officer will play a central role in the Know Your Customer ("KYC") / Anti-Money ... Undergraduate degree in Finance, Economics, or Business * Mature, professional, and of ...

Kalshi Inc

Compliance, Financial Crimes

New York, NY · On-site

Role Roadmap As part of Kalshi's Compliance team, you will help build and own a critical part of our financial crime compliance program. You will be responsible for establishing a robust transaction ...

Moffitt

CHIEF COMPLIANCE OFFICER

Chicago, IL · On-site

This position is responsible for the core compliance areas of Billing Integrity, Research Financial ... The Chief Compliance Officer (CCO) is a transformational leader who redefines compliance in a ...

Vise

Compliance Officer

New York, NY · On-site

$110K - $130K/yr

We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will ... Bachelor's Degree (finance, accounting, economics, legal preferred, but not required) * 2-4 years ...

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Financial Compliance Officer information

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$56.5K

$83.9K

$136K

How much do financial compliance officer jobs pay per year?

As of Sep 4, 2026, the average yearly pay for financial compliance officer in the United States is $83,908.00, according to ZipRecruiter salary data. Most workers in this role earn between $62,000.00 and $104,000.00 per year, depending on experience, location, and employer.

What are some common challenges a financial compliance officer faces when implementing new regulatory requirements?

Financial Compliance Officers frequently encounter challenges when interpreting and integrating new or updated regulatory requirements into existing company policies and procedures. Navigating complex, often rapidly changing regulations can require extensive collaboration with legal teams and business units to ensure full compliance without disrupting operations. Additionally, training staff and maintaining clear communication across departments is crucial to minimize the risk of non-compliance. Staying organized and proactive in monitoring regulatory updates is key to overcoming these challenges effectively.

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

To thrive as a Financial Compliance Officer, you need a strong understanding of regulatory frameworks, risk assessment, and finance, typically supported by a bachelor's degree in finance, accounting, or a related field. Familiarity with compliance management systems, anti-money laundering (AML) software, and certifications like Certified Regulatory Compliance Manager (CRCM) are often required. Attention to detail, integrity, and effective communication are crucial soft skills for ensuring regulatory adherence and building trust within an organization. These competencies are vital because they help safeguard financial institutions from legal risks and maintain operational transparency.

What is the difference between Financial Compliance Officer vs Financial Analyst?

AspectFinancial Compliance OfficerFinancial Analyst
Required CredentialsCertifications like CAMS, CPA, or CFA often preferredCertifications like CFA or CPA beneficial but less common
Work EnvironmentRegulatory agencies, financial institutions, compliance departmentsInvestment firms, banks, corporate finance teams
Employer & Industry UsageFocuses on regulatory adherence within financial sectorsAnalyzes financial data to guide investment and business decisions

The Financial Compliance Officer primarily ensures that financial institutions adhere to laws and regulations, focusing on compliance and risk management. In contrast, a Financial Analyst evaluates financial data to support investment and business strategies. While both roles require financial knowledge and certifications, their daily tasks and work environments differ significantly.

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Financial Compliance Officer jobs near you
Infographic showing various Financial Compliance Officer 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 $83,908 per year, or $40.3 per hour.

Compliance Officer

Hilltop Holdings

Dallas, TX • On-site

Full-time

Re-posted 7 days ago

Job description


HilltopSecurities is looking to hire a Compliance Officer who will support both broker-dealer and registered investment adviser compliance functions. The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing investment advisory support, compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support advertising and marketing, customer complaints, and regulatory requests and examinations and other departmental projects as assigned by management staff.
Responsibilities
  • Support the administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program.
  • Assist with the preparation, maintenance, and annual updating of Form ADV Parts 1, 2A, and 2B.
  • Support the annual compliance review required under Rule 206(4)-7 of the Investment Advisers Act.
  • Prepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner.
  • Detect and resolve issues which may present a failure to comply with rules or regulations.
  • Assist with the education of Firm associates with respect to regulatory issues.
  • Assist with the annual CEO Certification process.
  • Provide assistance with tasks related to the review and updating of written supervisory policies.
  • Assist Compliance Management personnel with other duties as assigned.
  • Out of town travel for this position is estimated at 25-30 percent.

Qualifications
  • Bachelor's degree, preferably in business, or equivalent 3-5 years of compliance experience within the broker-dealer and/or registered investment advisor.
  • Series 7 required, or adequate experience working at an investment advisor
  • Series 24, 65, 66 preferred
  • Experience supporting Investment Adviser Representatives (IARs) and advisory programs.
  • Knowledge of compliance and supervision surveillance issues.
  • Effective communication skills, both oral and written.
  • Ability to comprehend complex functions and procedures and disseminate that information in a clear and professional manner to others.
  • Moderate computer skills with an emphasis on Microsoft Office Word, Excel, PowerPoint, Outlook; knowledge of SQL preferred.

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.
About Us
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

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