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Senior Compliance Manager Jobs (NOW HIRING)

Western Alliance Bank

Senior Compliance Manager

Phoenix, AZ · On-site

$149K - $184K/yr

Senior Compliance Manager Location: CityScape What you'll do: As a Senior Compliance Manager, you'll uphold the company's values and serve as a hands-on leader responsible for both managing a team ...

Western Alliance Bank

Senior Compliance Manager

Irvine, CA · On-site

$149K - $184K/yr

Senior Compliance Manager Location: CityScape What you'll do: As a Senior Compliance Manager, you'll uphold the company's values and serve as a hands-on leader responsible for both managing a team ...

Cerapedics Inc

Senior Compliance Manager

Westminster, CO · On-site

$146K - $211K/yr

As a Senior Compliance Manager working on the Legal team, you will be empowered through meaningful work and career development to manage all aspects of the Compliance function's reporting ...

WellSky

Sr. Compliance Manager

Overland Park, KS · On-site

$2.5K/yr

The Sr. Compliance Manager is responsible for partnering with organizational leaders to provide direction and guidance related to WellSky's compliance programs. The scope of this job includes ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

We are looking for a Senior Compliance Manager who will be responsible for leading the broker-dealer registrations and licensing compliance program for the firm. This role includes managing adherence ...

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Senior Compliance Manager information

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How much do senior compliance manager jobs pay per year?

As of Jul 26, 2026, the average yearly pay for senior compliance manager in the United States is $95,103.00, according to ZipRecruiter salary data. Most workers in this role earn between $70,000.00 and $116,500.00 per year, depending on experience, location, and employer.

What does a senior compliance manager do?

A senior compliance manager oversees an organization’s adherence to legal regulations, industry standards, and internal policies. They develop, implement, and monitor compliance programs, conduct audits, and provide training to ensure ongoing regulatory adherence, often requiring strong knowledge of relevant laws and certifications such as CCEP or CRCM.

What is the salary of a senior compliance officer?

The salary of a senior compliance manager typically ranges from $80,000 to $150,000 annually, depending on experience, industry, and location. They often hold certifications such as CRCM or CAMS and work in regulated environments requiring strong knowledge of laws and regulations.

What is the difference between Senior Compliance Manager vs Compliance Officer?

AspectSenior Compliance ManagerCompliance Officer
CredentialsTypically requires advanced certifications like CCEP, CRC, or equivalent, along with several years of experienceOften requires basic compliance certifications or relevant degree, with less experience needed
Work EnvironmentLeads teams, develops policies, and oversees compliance programs at a strategic levelPerforms day-to-day compliance monitoring, audits, and reporting tasks
Employer & Industry UsageCommon in financial services, healthcare, and large corporationsFound across various industries, including retail, manufacturing, and smaller organizations

The main difference is that a Senior Compliance Manager focuses on strategic oversight and leadership, while a Compliance Officer handles operational compliance tasks. Both roles require relevant certifications, but the Senior Compliance Manager typically has more experience and responsibilities.

Will compliance be replaced by AI?

As a Senior Compliance Manager, AI can assist in automating routine tasks such as data analysis and monitoring, but it is unlikely to fully replace the need for human judgment, oversight, and understanding of complex regulations. Compliance roles will evolve to incorporate AI tools, requiring skills in technology and regulatory knowledge to interpret and manage AI outputs effectively.

What are the common challenges faced by Senior Compliance Managers when implementing new regulatory requirements across an organization?

Senior Compliance Managers often encounter challenges such as ensuring consistent understanding of complex regulations across departments, overcoming resistance to process changes, and aligning compliance initiatives with business objectives. Effective communication, ongoing training, and building strong relationships with stakeholders are essential to address these challenges. Additionally, Senior Compliance Managers must stay current with evolving regulations and ensure that compliance frameworks are updated promptly to mitigate risks.

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

To thrive as a Senior Compliance Manager, you need expertise in regulatory requirements, risk management, and policy development, often supported by a degree in law, finance, or business and relevant certifications such as CRCM or CAMS. Familiarity with compliance management systems, risk assessment tools, and reporting software is typically required. Outstanding analytical thinking, leadership, and strong communication skills help in effectively guiding teams and collaborating with stakeholders. These skills ensure the organization maintains regulatory integrity, mitigates risk, and builds a culture of compliance.

How much do compliance managers earn?

Compliance managers typically earn between $70,000 and $130,000 annually, depending on experience, industry, and location. Senior compliance managers with specialized certifications and extensive experience can earn higher salaries, often exceeding $150,000 in some regions.
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Senior Compliance Manager jobs near you
Infographic showing various Senior Compliance Manager job openings in the United States as of July 2026, with employment types broken down into 80% Full Time, and 20% Contract. Highlights an 100% In-person job distribution, with an average salary of $95,103 per year, or $45.7 per hour.
SENIOR COMPLIANCE MANAGER

SENIOR COMPLIANCE MANAGER

THE PACIFIC FINANCIAL GROUP INC

Nashville, TN • On-site

$150K - $175K/yr

Full-time

Retirement

Posted 8 days ago

Job description

The Pacific Financial Group (TPFG) is a turnkey asset management platform (TAMP) provider and pioneer in Self-Directed Brokerage Account Management for 401(k), 403(b), and 457 participants through their advisors, providing innovative strategies for portfolio management, including model portfolios consisting of proprietary mutual funds managed by an affiliate. In addition, TPFG provides comprehensive support, including SDBA navigation, asset management integration, and digital onboarding.

Position Summary

The Senior Compliance Manager will develop and manage control systems to ensure compliance with regulatory and internal policies. The role includes enhancing the efficiency of the Compliance Department by overseeing strategic planning and technology initiatives to streamline processes. Acting as a liaison between Compliance and other departments, the Senior Compliance Manager ensures alignment with Company goals. This position reports to the Chief Legal/Compliance Officer.

Key Responsibilities

The type of activities expected to perform include but are not limited to:

  • Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC obligations.
  • Overseeing periodic testing and monitoring of key compliance areas, including advertising & marketing, portfolio management/trading oversight, privacy/security controls, personal trading/ Code of Ethics, and record keeping.
  • Supervising the review of client communications, marketing materials, website content, and social media posts to ensure compliance with SEC advertising rules and Company standards.
  • Preparing and updating regulatory filings and disclosures (e.g. Form ADV and other SEC/State filings).
  • Reviewing annual training content and tracking employee training and attestations
  • Overseeing due diligence and oversight of vendors and referring advisors.
  • Serving as an expert resource for preparation of SEC examinations, mock audits, and internal compliance reviews.
  • Developing and overseeing control systems to prevent or rectify violations of regulatory guidelines and internal policies.
  • Facilitating cross-functional departmental collaboration, ensuring regulatory considerations are integrated into strategies and projects.
  • Leading initiatives for ethical conduct within the Company, promoting a culture of integrity and accountability.
  • Assessing future ventures to identify possible regulatory risks.
  • Supporting compliance obligations of an investment advisor to mutual funds.

Position Requirements

  • 8-12 years of experience in compliance, legal, or regulatory risk management.
  • Prior experience in the financial services industry either with a Registered Investment Advisor or Broker/Dealer.
  • Expertise in SEC regulations relevant to wealth management, asset management, mutual funds, and investment advisory firms.
  • Strong project management skills for cross-functional initiatives.

Preferred Experience

  • Professional certifications and licenses (IACCP, Series 65) a plus.

Education

  • Bachelor’s degree or industry experience required. J.D. or M.B.A. a plus.