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Career as a Compliance Officer

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About Career as a Compliance Officer

Branch compliance managers are the on-site representatives of the firm’s compliance department, and typically have similar training. In firms with a strong compliance function, the branch compliance manager will have a solid-line (primary) reporting relationship to the central compliance department, and a dotted-line (secondary) one to the branch manager. That is, the branch compliance manager’s principal allegiance is to the compliance function rather than to the sales function

A branch compliance manager has responsibility for insuring that financial advisors, sales assistants and other branch office staff adhere to applicable laws, regulations and firm policies regarding the discharge of their duties. Suspected violations are supposed to be referred to the proper channels within the firm for further investigation and, if necessary, disciplinary action.

Career Prospects of Career as a Compliance Officer

A branch compliance manager is the subordinate of a branch manager who is delegated responsibility for legal and regulatory matters.Branch compliance managers are paid salary and bonus. To avoid conflicts of interest, their bonuses should not be related to branch results.

Skills & Education Required for Career as a Compliance Officer

For compliance there are three types of qualifications one has to have depending upon the nature of work assigned.Either a law degree if one is part of a law firm. If part of a financial firm the job requires internal audit so non lawyers or chartered accountants play this role well.If part of a huge organisation in tax departments the latest govening tax rules and regulations are a important requirement for your role.

Comments/ Reviews on Career as a Compliance Officer

  • I want to do compliace officer courses so how to get addmission for compliance officer course and what is Fee structure please help me and provide detail information on my email ID or contact me. Posted By : vaibhav Patil, on 09-02-2012 16:35:50 Report Abuse

  • Hi am MCA 2011 passed out student fresher. am interested to work in your company in IT section. Posted By : vipinraj, on 06-02-2012 22:53:21 Report Abuse

  • sir may 12 th pass hu or this time DSA(Loan) hai pl mujhe ek aachi job chahiey Posted By : shailender agharwal, on 02-11-2011 13:42:07 Report Abuse

  • Hi, I am MBA post graduate with 5 years exp in telecom and isurance industry. I want know that is i am eligible to do as compliance officer job. If yes what is the process? and how get the information on time bing opening. pls suggest Posted By : SUDIP DAS, on 12-10-2011 20:56:12 Report Abuse

  • i'm precticing advocate at commercial laws. i'm prepering for complience officer modual. I wat to work as a complience officer in mnc. can ncfm module will be helpful for to get me the job? Posted By : minaxi, on 07-08-2011 15:06:26 Report Abuse

  • hi i would like to kknow oif there are any courses offered in mumbai for insurance management or risk and insurance and also would like to know the career opportunities in the same Posted By : Aarthi, on 24-05-2011 20:13:17 Report Abuse

  • hi, i am soumik bhattacharjee from kolkata.i have completed mcom and have passed capital market.now i want to appaer for compliance officer(corporate)module.please tell me where i can get the study materials for this? Posted By : soumik bhattacharjee, on 16-04-2011 14:20:02 Report Abuse

  • hi, i am soumik bhattacharjee from kolkata.i have completed mcom and have passed capital market.now i want to appaer for compliance officer(corporate)module.please tell me where i can get the study materials for this? Posted By : soumik bhattacharjee, on 16-04-2011 14:19:23 Report Abuse

  • education qualification required and work experience relevance Posted By : malancha, on 05-04-2011 00:26:57 Report Abuse

  • Hi, I am Raju kumar BSc. graduate with two years experience in stock market as stock dealer and relationship manager. I have passed NCFM certification courses like CAPITAL MARKET, DERIVATIVE, COMMODITY , DEPOSITORY , AMFI , AND COMMPLIANCE OFFICER MODULE ALSO , I m intrested to work as compliance officer in bank , corporate, sectors or in stock market . Pls tell us how should i try and where ? and How should i prepare to get the job? what it requires to have this type of jobs? Posted By : raju kumar, on 01-03-2011 08:26:25 Report Abuse

  • Hi , I am B.E garduate with over all 3 years experience in IT Service Industry. I am very much keen into taking up Compliance in to IT organization as my long term future career growth. I am not sure how do i start. What certifications required? How will i be eligible for an suitable opening. Posted By : Antara Guha Choudhary, on 08-02-2011 23:16:12 Report Abuse

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