Compliance and Ethics Officer - Society of Corporate Compliance and ...

2015

Compliance and Ethics Officer

Salary Survey

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The Society of Corporate Compliance and Ethics (SCCE)® is pleased to be able to provide you with the 2015 Compliance and Ethics Officer Salary Survey report. As you will see, we have included data on compensation for both the chief compliance and ethics officer as well as for the compliance staff, giving a fuller picture of the compliance profession in one document. The survey results will equip SCCE members and their employers with the data they need to understand and evaluate elements of compliance professionals’ compensation packages. The results of this survey are based on data from compliance professionals in many industries and around the world. Ours is a fast-growing profession, and this data reflects its increasing expansiveness and SCCE’s commitment to meet our members’ needs. We hope you find the data from this survey to be useful. Sincerely,

Adam Turteltaub, CCEP, CHC Vice President of Membership Development Society of Corporate Compliance and Ethics

CONFIDENTIALITY ASSURANCE The 2015 Compliance and Ethics Officer Salary Survey is based on a strictly confidential survey conducted of individuals working in the compliance profession. Upon receipt, all survey responses are assigned a confidential code number by Industry Insights, Inc., and any name or company identification is removed. Survey processing is then conducted on an absolutely anonymous basis. No SCCE staff member nor any industry company or individual, nor anyone else other than a select few Industry Insights, Inc. associates ever see any individual’s results.

Table of Contents

Cross Industry Compliance Officer Salary Survey CrossChief Industry Chief Compliance Officer Salary Survey Introduction .............................................................................................................................................................................................. 4 About This Report .................................................................................................................................................................................. 4 Survey Methodology .............................................................................................................................................................................. 5 Definitions .............................................................................................................................................................................................. 5 Respondent Profile .................................................................................................................................................................................. 6 Percentage of Company’s Legal and Regulatory Risk That You are Involved in ................................................................................... 7 Annual Compliance Budget Managed.................................................................................................................................................... 7 Number of Employees in Organization as a Whole................................................................................................................................ 8 Number of Employees in Organization that CCO Runs Compliance for ................................................................................................ 8 Annual Revenues of the Organization as a Whole................................................................................................................................. 9 Annual Revenues of the Organization that CCO Runs compliance for .................................................................................................. 9 Number of Countries in Which Compliance is Managed ...................................................................................................................... 10 Number of Years Managing the Compliance Department.................................................................................................................... 10 Certifications ........................................................................................................................................................................................ 11 Type of Organization ............................................................................................................................................................................ 11 Geographic Region .............................................................................................................................................................................. 12 Type of Industry ................................................................................................................................................................................... 12 Executive Summary ............................................................................................................................................................................... 13 Average Total Compensation by Percentage of Company’s Legal and Regulatory Risk Areas CCO Involved in ............................... 14 Average Total Compensation+ by Number of Employees in the Compliance and Ethics Group Managed .......................................... 14 Average Total Compensation by Annual Compliance Budget Managed.............................................................................................. 15 Average Total Compensation+ by Number of Employees that CCO Runs Compliance for .................................................................. 15 Average Total Compensation by Revenue that CCO Runs Compliance for ........................................................................................ 16 Average Total Compensation+ by Number of Years Managing the Compliance Department .............................................................. 16 Average Total Compensation by Type of Organization........................................................................................................................ 17 Average Total Compensation+ and Average Base Salary by Geographic Region ............................................................................... 17 Average Total Compensation by Certification ...................................................................................................................................... 18 Average Total Compensation by Industry ............................................................................................................................................ 18 Amount of Bonus Eligible ..................................................................................................................................................................... 19 Do you have a Contract? ..................................................................................................................................................................... 20 Salary Data.............................................................................................................................................................................................. 21 Detailed Results ..................................................................................................................................................................................... 25 By All Respondents and Annual Compliance Budget .......................................................................................................................... 26 By Number of Employees in Organization as a Whole ........................................................................................................................ 33

2015 Cross Industry Chief Compliance Officer Salary Survey 1

Table of Contents Cross Industry Compliance StaffStaff Salary Survey Cross Industry Compliance Salary Survey Introduction ............................................................................................................................................................................................ 42 About This Report ................................................................................................................................................................................ 42 Survey Methodology ............................................................................................................................................................................ 43 Definitions ............................................................................................................................................................................................ 43 Respondent Profile ................................................................................................................................................................................ 44 Title/Level............................................................................................................................................................................................. 45 Number of Employees in Organization as a Whole.............................................................................................................................. 45 Number of Employees in the Portion of the Organization that the Compliance Program Oversees .................................................... 46 Annual Revenues of the Organization as a Whole............................................................................................................................... 46 Annual Revenues of the Portion of the Organization that the Compliance Program Oversees ........................................................... 47 Number of Countries in Which Compliance is Managed ...................................................................................................................... 47 Number of Years in the Compliance Department................................................................................................................................. 48 Type of Organization ............................................................................................................................................................................ 48 Type of Industry ................................................................................................................................................................................... 49 Geographic Region .............................................................................................................................................................................. 49 Percentage indicating the elements of the compliance program that they are primarily involved in: ................................................... 50 How many people report up through to the individual? ........................................................................................................................ 50 How much of your company's legal and regulatory risk areas would you estimate the compliance department is responsible for managing? ............................................................................................................................................................ 51 Percentage holding the following certifications: ................................................................................................................................... 51 Highest education level attained .......................................................................................................................................................... 52 Do you have a contract? ...................................................................................................................................................................... 52 Executive Summary ............................................................................................................................................................................... 53 Average Total Compensation by Title/Level ........................................................................................................................................ 54 Average Total Compensation+ by Title/Level and Annual Compliance Budget .................................................................................... 54 Average Total Compensation by Annual Revenues in the Portion of the Organization that the Individual Works in Compliance for .............................................................................................................................................................................. 55 Average Total Compensation+ by Number of Employees in the Portion of the Organization that the Individual Works in Compliance for ............................................................................................................................................................... 55 Average Total Compensation by Number of People that Report up through to Individual ................................................................... 56 Average Total Compensation+ by Title/Level and Type of Organization .............................................................................................. 56 Average Total Compensation by Title/Level and Certifications Held ................................................................................................... 57 Average Total Compensation+ by Title/Level and Number of Elements of a Compliance Program the Individual is Involved in ..................................................................................................................................................................................... 57 Average Total Compensation+ by Title/Level and Whether the Individual has a Contract ................................................................... 58 Average Total Compensation+ by Title/Level and Geographic Region ................................................................................................ 58 Amount of bonus eligible: ..................................................................................................................................................................... 59 Salary Data.............................................................................................................................................................................................. 60 Detailed Results ..................................................................................................................................................................................... 74 By All Respondents and Title/Level ..................................................................................................................................................... 75 By Annual Compliance Budget ............................................................................................................................................................ 82


Cross Industry Chief Compliance Officer Salary Survey

Introduction


Introduction

Introduction

About This Report The 2015 Cross Industry Chief Compliance Officers Salary Survey is another important service provided by the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA). The information contained in this report represents complete and accurate compensation data on individuals working in the compliance profession. The report is designed to allow organizations and individuals to compare their salary to their peers. The salary data have been aggregated in the following groupings so organizations and individuals can compare their own data to the results of similar operations. These aggregations include: • • • • • • • • • • • • •

All Respondents Percentage of Company’s Legal and Regulatory Risk Areas the Chief Compliance Officer (CCO) is Involved in Number of Employees in the compliance and Ethics Group Managed Annual Compliance Budget Managed Number of Employees in Portion of the Organization that CCO runs Compliance for Annual Revenues in Portion of the Organization that CCO Runs Compliance for Type of Industry Number of Countries in Which Compliance is Managed Number of Years Managing the Compliance Department Certifications Held Type of Organization Number of Compliance Program Elements the CCO is Involved in Geographic Region

Because the goal of this survey was to determine salaries for Chief Compliance Officers for an organization or division within it, and not for leaders of specialized areas of compliance, individuals who indicated they were responsible for less than 26% of an organization’s legal and regulatory risk were eliminated. These individuals accounted for 15.3% of all respondents. As an organization or individual compares their salary information to that of the profession, it is important to remember that the statistics published in this report should be regarded as “guidelines” rather than “absolute standards.” Since organizations will differ, depending upon their location, size, and other factors, any two organizations may offer their employees a reasonably attractive compensation package and yet be very different. For example, duration of employment and nature of prior experience will obviously influence the compensation offering for a particular individual. Thus, a deviation between any one organization’s figures and a number appearing on a table in this report is not necessarily good or bad; it is merely an indication that additional scrutiny may be warranted. A minimum of five responses was required to show data. This study was conducted for HCCA/SCCE by Industry Insights, Inc., an independent professional survey research firm located in Dublin, Ohio. The company specializes in conducting industry operating surveys, compensation and benefits studies, and member attitude surveys for trade and professional associations. The HCCA/SCCE is proud to present the enclosed insights into the salary levels in the compliance industry. We wish to thank the professionals who submitted data for the study. Your support was essential in making this study a success.


Introduction

Survey Methodology In June 2015, an email invitation was sent to approximately 45,000 individuals. In total, 1,646 completed online submissions were received by late July. Of the 1,646 responses, 647 were selected for this report based on the following criteria: • •

The Chief Compliance Officer worked for a non-health care provider The Chief Compliance Officer was responsible for at least 26% of an organization’s legal and regulatory risk

This report is based solely on this group. Upon receipt, all submissions were assigned a confidential identification number. All data were checked both manually and by a specially designed computer editing procedure. Strict confidence of survey responses was maintained throughout the course of the project. Final results were tabulated by Industry Insights, Inc., and the report was completed in October 2015.

Definitions Average (mean): the arithmetic average obtained by adding the individual values for all responses to a particular question and dividing by the total number answering; a measure of central value that can be distorted by extreme high or low values. Median: a measure of central value that is not affected by extreme values; calculated by arranging all responses in numerical order and selecting the value that falls exactly in the middle, with half higher and half lower. 25th Percentile: when responses are ordered from lowest to highest, the lower quartile is the response 25% from the bottom. In other words, 75% of the responses are higher than this measure. 75th Percentile: when responses are ordered from the lowest to highest, the upper quartile is the response 25% from the top. In other words, 25% of the responses are higher than this measure.


Respondent Profile


Respondent Profile

Percentage of Company’s Legal and Regulatory Risk That You are Involved in More than one-third of the respondents indicated they were involved in at least 76% of the company’s legal and regulatory risk. 76%-100%, 41%

51%-75%, 34% 26%-50%, 26%

Annual Compliance Budget Managed The typical compliance officer managed an annual compliance budget of approximately $500,000. More than 10% of the Chief Compliance Officers reported managing an annual compliance budget of over $2 million. $1 Million to $2 Million, 10% $2 Million or More, 13%

$500,000 to $999,000, 14%

$250,000 to $499,999, 9%

Less than $100,000, 16% $100,000 to $249,999, 8%


Respondent Profile

Number of Employees in Organization as a Whole The size of organizations represented in this study varied greatly. Nineteen percent worked for organizations with less than 250 total employees while 21% worked for companies employing more than 15,000.

3,000 to 7,499, 15%

7,500 to 14,999, 10%

15,000 to 29,999, 8% 30,000 or More, 13%

1,000 to 2,999, 16% Less than 250, 19% 250 to 999, 20%

Number of Employees in Organization that CCO Runs Compliance for The chart below looks at only the number of employees in the portion of the organization that the Chief Compliance Officer runs compliance for. 7,500 to 14,999, 5,000 to 7,499, 7%

6% 3,000 to 4,999, 6%

15,000 or More, 11%

Less than 100, 15%

2,000 to 2,999, 7%

1,000 to 1,999, 12%

500 to 999, 11%

100 to 249, 12%

250 to 499, 12%


Respondent Profile

Annual Revenues of the Organization as a Whole The size of organizations’ annual revenue also varied greatly. Nearly a one-third of the respondents reported annual revenue of entire organization of less than $50 million, while another quarter of the respondents reported annual revenue of over $3 billion. More than $3 Billion, 25%

Less than $5 Million, 6% $5 to $15 Million, 9% $15 to $30 Million, 6%

$1 to $3 Billion, 15%

$500 Million to $1 Billion, 10%

$30 to $50 Million, 7%

$100 to $500 Million, 14%

$50 to $100 Million, 8%

Annual Revenues of the Organization that CCO Runs compliance for The chart below looks at only the annual revenues of the portion of the organization that the Chief Compliance Officer runs compliance for. More than $3 Billion, 16%

$1 to $3 Billion, 13%

Less than $5 Million, 10%

$500 Million to $1 Billion, 11%

$5 to $15 Million, 9% $15 to $30 Million, 7%

$100 to $500 Million, 17% $50 to $100 Million, 9%

$30 to $50 Million, 8%


Respondent Profile

Number of Countries in Which Compliance is Managed More than one-third of the responding Chief Compliance Officers manage compliance in more than one country. 2 to 10, 18% 11 or More, 17%

One, 65%

Number of Years Managing the Compliance Department The typical Chief Compliance Officer has managed their compliance department for five years. Just over 8% have managed the department for 16 or more years.

6 to 10, 24%

11 to 15, 14%

16 or More, 8% 5, 11% 1, 12% 4, 7% 3, 11%

2, 13%


Respondent Profile

Certifications Nearly one-quarter of the survey respondents (23%) held a Certified Compliance and Ethics Professional (CCEP) certification. A significant percentage (19%) also held a Certified in Healthcare Compliance (CHC) certification. No other certification reached the 10% level. More than one-third of the respondents reported having no certification. Certified Compliance and Ethics Professional (CCEP) Certified in Healthcare Compliance (CHC) Certified in Compliance and Ethics Professional-International (CCEP-I)

23% 19% 5%

Certified Public Accountant

4%

Certified in Healthcare Privacy Compliance (CHPC)

4%

Certified Fraud Examiner (CFE)

3%

Certified Internal Auditor (CIA)

3%

Certified in Healthcare Research Compliance (CHRC)

1%

No Certifications

38%

Type of Organization A large percentage of Chief Compliance Officers responding to the survey worked at privately held (33%) or publicly traded (31%) organizations. Twenty percent of the respondents indicated that they worked at a non-profit. Publicly Traded, 31%

Governmental, 7% Academic, 6% Other, 2%

Non-Profit, 20% Privately Held, 33%


Respondent Profile

Geographic Region The highest concentration of respondents were from the South Atlantic, East North Central, Middle Atlantic and Pacific regions. The lowest concentration of respondents were from the East South Central region.

West North Central, 8%

West South Central, 13%

Mountain, 5%

East South Central, 2%

Pacific, 14%

East North Centra, 17%

New England, 8%

Middle Atlantic, 15%

South Atlantic, 18% New England: NH, VT, ME, MA, RI, CT Mid-Atlantic: NJ, NY, PA South Atlantic: DE, MD, DC, WV, VA, NC, SC, GA, FL East North Central: WI, IL, IN, MI, OH East South Central: KY, TN, MS, AL

West North Central: ND, SD, NE, KS, MN, IA, MO West South Central: TX, OK, AR, LA Mountain: MT, ID, WY, NV, UT, CO, AZ, NM Pacific: WA, OR, CA, AK, HI

Type of Industry Insurance was the most represented industry, at 18%. Other well represented industries include higher education, pharma/medical device, and financial services, at 8% each. Insurance

18%

Higher Education

8%

Pharma/Medical Device

8%

Financial Services

8%

Manufacturing and…

6%

Government/Policy Energy

5% 3%

Retail/Wholesale

2%

Information Technology

2%

NOTE: No other industry represented more than 2% of the sample.


Executive Summary


Executive Summary

Average Total Compensation + by Percentage of Company’s Legal and Regulatory Risk Areas CCO Involved in Chief Compliance Officer compensation showed very little correlation to the percentage of the company’s legal and regulatory risk areas the CCO is involved in.

26%-50%

$176,349

51%-75%

$181,406

76%-100%

$180,554

Average Total Compensation+ by Number of Employees in the Compliance and Ethics Group Managed Ccompensation of Chief Compliance Officers showed a positive correlation to the number of employees in the compliance and ethics group managed. Chief Compliance Officers managing one employee earned average total cash compensation of $132,818 while those managing more than 30 employees earned $238,140. 1

$132,818

2 to 5

$175,457

6 to 10

$198,540

11 to 30

$248,458

More Than 30

+

$238,140

Total compensation is the sum of base salary and cash bonus.


Executive Summary

Average Total Compensation + by Annual Compliance Budget Managed A direct correlation also existed between CCO total cash compensation and the annual compliance budget managed. Chief Compliance Officers managing an annual compliance budget of less than $100,000 earned $116,568 while those managing budgets of $2 million or more earned $286,216. Less Than $100,000

$116,568

$100,000 to $249,999

$156,924

$250,000 to $499,999

$161,919

$500,000 to $999,999

$205,151

$1 Million to $2 Million

$226,227

$2 Million or More

$286,216

Average Total Compensation+ by Number of Employees that CCO Runs Compliance for Chief Compliance Officer compensation tended to increase as the size of the organization increased. It should be noted that CCOs at organizations with less than 100 employees may have had a higher executive level position or more than one position, which led to a higher average salary, than those working at organization with 100 to 499 employees. Less Than 100

$151,627

100-249

$132,493

250-499

$140,707

500-999

$162,763

1,000-1,999

$168,976

2,000-2,999

$185,663

3,000-4,999

$216,302

5,000-7,499

$230,778

7,500-14,999

$243,933

15,000-29,999

$237,751

30,000 or More

+

$269,325



Executive Summary

Average Total Compensation + by Revenue that CCO Runs Compliance for A correlation existed between CCO compensation and annual revenue of the organizational unit that the CCO was responsible for. Less Than $5 Million

$145,400

$5 to $15 Million

$116,822

$15 to $30 Million

$130,050

$30 to $50 Million

$136,279

$50 to $100 Million

$152,566

$100 to $500 Million

$182,081

$500 Million to $1 Billion

$178,935

$1 to $3 Billion

$223,793

More than $3 Billion

$272,002

Average Total Compensation+ by Number of Years Managing the Compliance Department The number of years managing the compliance department tends to make a difference in Chief Compliance Officer compensation. Chief Compliance Officers with one year of experience managing the compliance department earned less than $144,078 in compensation, on average. Those managing the compliance department for 16 or more years earned an average compensation of $195,790. 1

$144,078

2

$160,592

3

$163,055

4

$191,957

5

$168,582

6 to 10

$195,647

11 to 15

$208,052

16 or More

+

$195,790



Executive Summary

Average Total Compensation + by Type of Organization Chief Compliance Officers working for publicly traded companies earned the highest average total cash compensation at $230,811, followed by CCOs working at privately held companies at $176,159. Those working at governmental organizations earned the lowest average compensation at $122,479. Non-Profit

$134,060

Privately Held

$176,159

Publicly Traded

$230,811

Governmental

$122,479

Academic

$148,684

Average Total Compensation+ and Average Base Salary by Geographic Region Respondents located in the West South Central and New England regions averaged the highest average total compensation at over $200,000. The West South Central and New England regions also earned the highest cash bonus compensation. Those located in the Mountain region earned the least, at $135,114 in total compensation. New England

$166,821

$179,309 $152,198

Middle Atlantic South Atlantic

$159,494

$195,692

$182,174 $150,749

East North Central

$140,750 $134,250

East South Central

$174,402 $149,265

West North Central West South Central

$158,037 $135,114 $117,376

Mountain

$164,941 $143,217

Pacific Average Total Compensation

+

$202,552

Average Base Salary



$205,087

Executive Summary

Average Total Compensation + by Certification Chief Compliance Officers with a Certified Public Accountant (CPA), Certified Fraud Examiner (CFE) or a Certified Internal Auditor (CIA) certification earned more than those without a certification. Certified Public Accountant (CPA)

$260,564


$206,600


$195,300

Certified Compliance And Ethics Professional (CCEP) Certified Compliance and Ethics ProfessionalInternational (CCEP-I)

$192,268 $186,690


$157,651

Certified In Healthcare Compliance (CHC)

$151,416

No Certifications Held

$194,226

Average Total Compensation+ by Industry Respondents working in the Utilities, Aerospace/Aviation/Defense, Energy, Retail/Wholesale, Manufacturing/Production and Financial Services earned average total compensation over $200,000. Those working in Government/Policy and Education/Training/Library earned the lowest average compensation. Utilities Aerospace/Aviation/Defense

$236,500

Energy

$236,438

Retail/Wholesale

$235,508

Manufacturing and Production

$231,241

Financial Services

$227,490

Information Technology

$194,583

Consulting Services

$191,429

Pharma/Medical Device

$191,165

Biotechnical and Pharmaceutical

$188,375

Insurance Higher Education

+

$286,333

$173,881 $140,304

Government/Policy

$117,397

Education/Training/Library

$112,980



Executive Summary

Amount of Bonus Eligible More than two-thirds (69%) of the responding Chief Compliance Officers are eligible for a bonus. Onethird reported being bonus-eligible up to 20% of their salary while 38% reported being bonus eligible for 21% or more of their salary. 21% to 30% of Salary, 15.8% 31% or More of Salary, 21.7% 11% to 20% of Salary, 17.7%

0% to 10% of Salary, 14.3%

None, 30.5%


Executive Summary

Do you have a Contract? Only 18% of the responding Chief Compliance Officers have a contract.

No, 81.7%

Yes, 18.3%


Salary Data


Salary Data

Chief Compliance Officer 75th Percentile $189,250

Average $179,753

Total Compensation 25th Median Percentile $155,000 $107,000

$110,000 $96,000 $103,000

$185,750 $200,000 $181,500

$176,349 $181,406 $180,554

$165,500 $150,000 $155,000

$117,250 $100,000 $110,000

$225,000 $230,000 $216,000

$185,000

$127,000

$242,250

$260,564

$210,500

$140,750

$348,750

$158,150

$150,000

$108,000

$200,000

$192,268

$172,000

$124,000

$225,500

26 101

$161,346 $133,651

$157,500 $130,000

$110,000 $101,702

$200,000 $152,000

$186,690 $151,416

$180,500 $141,000

$130,000 $108,000

$225,000 $175,000

20 15 15 202

$142,385 $161,933 $148,533 $160,073

$135,000 $170,000 $157,000 $150,000

$117,000 $143,000 $86,000 $100,000

$150,000 $185,000 $205,000 $200,000

$157,651 $206,600 $195,300 $194,226

$153,500 $188,000 $188,000 $165,000

$125,250 $147,500 $87,250 $106,775

$175,000 $239,500 $244,500 $254,500

127 223 101 48 31

$116,166 $147,175 $164,374 $192,240 $202,346

$105,000 $134,000 $155,000 $190,000 $200,000

$77,500 $108,600 $115,000 $153,750 $122,500

$150,000 $175,000 $200,000 $227,500 $250,000

$132,818 $175,457 $198,540 $248,458 $238,140

$118,000 $150,000 $167,000 $225,000 $240,000

$81,416 $113,500 $125,500 $170,000 $135,013

$172,500 $219,375 $256,000 $275,000 $307,500

Annual Compliance Budget Managed Less Than $100,000 $100,000 to $249,999 $250,000 to $499,999 $500,000 to $999,999 $1 to $2 Million $2 Million or More

83 44 48 76 55 64

$104,927 $129,392 $144,152 $162,826 $182,215 $223,375

$99,000 $119,000 $143,500 $159,000 $185,000 $218,500

$70,000 $96,475 $108,750 $130,000 $126,000 $169,500

$130,000 $150,250 $170,750 $192,750 $221,500 $267,500

$116,568 $156,924 $161,919 $205,151 $226,227 $286,216

$106,700 $132,250 $160,000 $190,000 $215,000 $261,000

$72,000 $102,050 $114,500 $140,750 $142,200 $193,250

$140,000 $208,750 $185,000 $241,750 $290,000 $390,000

Number of Employees in Organization Less Than 100 100-249 250-499 500-999 1,000-1,999 2,000-2,999 3,000-4,999 5,000-7,499 7,500-14,999 15,000-29,999 30,000-74,999 75,000 or More

51 49 55 49 55 32 37 42 53 42 35 30

$112,450 $111,589 $120,138 $140,194 $151,555 $147,113 $154,935 $173,646 $182,918 $176,646 $176,057 $187,354

$103,000 $110,000 $115,000 $135,000 $135,000 $139,000 $143,500 $166,500 $175,000 $171,500 $175,000 $166,000

$66,500 $91,000 $85,000 $108,000 $94,000 $106,000 $110,000 $106,250 $131,000 $150,000 $120,000 $125,250

$132,000 $130,000 $151,000 $167,000 $195,000 $185,000 $200,000 $207,500 $222,000 $200,000 $211,000 $219,902

$139,235 $128,307 $134,915 $157,515 $174,531 $176,722 $191,564 $209,035 $216,270 $225,796 $226,829 $226,854

$110,000 $116,000 $118,000 $150,000 $147,000 $160,000 $163,500 $175,000 $195,000 $200,000 $203,000 $200,000

$66,500 $99,200 $85,000 $115,000 $96,850 $112,750 $116,000 $118,740 $145,000 $165,250 $140,500 $133,250

$170,000 $148,000 $162,000 $191,600 $219,000 $242,500 $260,070 $276,250 $256,000 $250,000 $267,500 $275,000

All Respondents Percentage of Company’s Legal and Regulatory Risk Areas CCO Involved in 26%-50% 51%-75% 76%-100% Certifications Certified Public Accountant (CPA) Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional-International (CCEP-I) Certified in Healthcare Compliance (CHC) Certified in Healthcare Privacy Compliance (CHPC) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) No Certifications Number of Employees in the Compliance and Ethics Group Managed 1 2 to 5 6 to 10 11 to 30 More Than 30

# of Resp. 532

Average $150,207

Base Salary 25th Median Percentile $140,000 $100,000

138 181 213

$151,000 $149,828 $150,015

$145,000 $132,000 $135,000

22

$188,700

127


75th Percentile $225,000

Salary Data

# of Resp.

Average

Base Salary 25th Median Percentile

75th Percentile

Average

Total Compensation 25th Median Percentile

75th Percentile

Number of Employees that CCO Runs Compliance for Less Than 100 100-249 250-499 500-999 1,000-1,999 2,000-2,999 3,000-4,999 5,000-7,499 7,500-14,999 15,000-29,999 30,000 or More

79 66 64 58 66 35 30 31 40 28 28

$124,649 $113,307 $123,658 $143,224 $143,556 $151,491 $173,793 $185,765 $200,517 $190,858 $218,593

$119,000 $110,000 $115,000 $135,000 $133,400 $151,000 $146,750 $175,000 $187,500 $173,500 $218,303

$82,916 $86,250 $85,000 $108,375 $98,250 $109,000 $111,750 $127,500 $152,750 $159,250 $155,000

$152,500 $139,750 $160,000 $175,000 $181,750 $185,000 $249,250 $210,000 $244,750 $228,750 $256,250

$151,627 $132,493 $140,707 $162,763 $168,976 $185,663 $216,302 $230,778 $243,933 $237,751 $269,325

$130,000 $118,000 $130,000 $147,000 $145,000 $170,000 $178,402 $184,000 $221,000 $202,500 $245,000

$85,000 $91,375 $88,750 $116,000 $98,250 $119,500 $121,750 $130,000 $170,500 $172,250 $169,500

$190,000 $159,900 $176,625 $202,250 $219,500 $250,000 $283,750 $302,500 $301,363 $275,000 $378,250

Annual Revenues of the Organization Less Than $5 Million $5 to $15 Million $15 to $30 Million $30 to $50 Million $50 to $100 Million $100 to $500 Million $500 Million to $1 Billion $1 to $3 Billion More than $3 Billion

33 48 30 34 43 73 51 77 124

$122,005 $96,769 $109,007 $120,079 $124,703 $149,668 $160,759 $168,268 $193,623

$110,000 $86,250 $92,500 $110,000 $125,000 $135,000 $150,000 $170,000 $177,500

$77,000 $55,000 $66,250 $90,475 $80,916 $120,000 $115,000 $120,000 $147,750

$150,000 $120,000 $135,000 $142,875 $151,500 $175,000 $209,900 $200,000 $237,750

$144,155 $114,629 $122,957 $131,969 $141,936 $177,076 $180,163 $205,596 $246,845

$125,000 $92,850 $98,000 $116,500 $130,000 $150,000 $162,000 $180,000 $220,000

$82,000 $57,450 $66,250 $94,351 $83,916 $125,000 $116,500 $131,000 $163,750

$178,000 $138,500 $139,250 $160,875 $182,500 $210,000 $239,000 $247,000 $300,000

53 47 34 38 48 83 53 68 79

$122,215 $101,372 $110,947 $121,629 $132,734 $152,349 $157,622 $178,656 $213,272

$106,000 $85,000 $102,500 $118,000 $125,000 $148,600 $150,000 $178,000 $200,000

$74,000 $61,000 $70,500 $100,400 $90,000 $120,000 $116,000 $138,750 $157,500

$150,000 $130,000 $133,000 $148,375 $160,300 $182,500 $200,000 $201,000 $254,000

$145,400 $116,822 $130,050 $136,279 $152,566 $182,081 $178,935 $223,793 $272,002

$115,000 $95,700 $107,350 $136,000 $141,000 $163,000 $170,000 $189,000 $256,000

$78,157 $69,250 $70,500 $103,400 $96,750 $125,000 $120,000 $150,750 $193,000

$178,000 $140,000 $153,000 $160,875 $194,738 $218,375 $229,500 $262,500 $337,200

346 95 84

$129,935 $156,600 $227,710

$124,000 $155,000 $217,500

$90,250 $120,000 $172,250

$160,000 $191,000 $276,250

$151,502 $195,942 $281,025

$133,250 $180,000 $258,500

$92,875 $127,000 $201,750

$184,500 $245,000 $342,800

8 8 7 5 16 34 27 44 12 97 30 43 13 6

$211,625 $160,038 $165,714 $110,880 $164,875 $168,424 $108,378 $139,356 $162,917 $144,684 $178,124 $154,821 $182,431 $221,167

$200,000 $145,000 $150,000 $91,900 $162,500 $145,500 $106,000 $133,000 $152,500 $134,000 $180,000 $135,000 $200,000 $228,500

$183,000 $132,325 $145,500 $88,500 $121,500 $125,250 $81,000 $102,250 $138,750 $110,000 $108,990 $104,500 $160,000 $205,000

$200,000 $158,250 $171,000 $110,000 $214,750 $218,750 $134,500 $173,100 $178,750 $161,200 $225,000 $200,000 $210,000 $241,500

$236,500 $188,375 $191,429 $112,980 $236,438 $227,490 $117,397 $140,304 $194,583 $173,881 $231,241 $191,165 $235,508 $286,333

$220,000 $162,500 $175,000 $98,000 $192,500 $180,000 $106,000 $133,500 $183,000 $145,000 $208,500 $168,000 $220,000 $295,500

$195,500 $146,750 $166,500 $91,900 $129,750 $140,875 $83,500 $102,675 $149,250 $115,000 $144,000 $116,500 $207,000 $227,000

$248,750 $187,250 $212,500 $110,000 $299,750 $255,250 $141,000 $174,750 $207,750 $192,000 $269,750 $268,500 $275,000 $348,250

Annual Revenues that CCO Runs Compliance for Less Than $5 Million $5 to $15 Million $15 to $30 Million $30 to $50 Million $50 to $100 Million $100 to $500 Million $500 Million to $1 Billion $1 to $3 Billion More than $3 Billion Number of Countries in Which Compliance is Managed 1 2 to 10 11 or More Type of Industry Aerospace/Aviation/Defense Biotechnical and Pharmaceutical Consulting Services Education/Training/Library Energy Financial Services Government/Policy Higher Education Information Technology Insurance Manufacturing and Production Pharma/Medical Device Retail/Wholesale Utilities


Salary Data

# of Resp.

Average


75th Percentile

Average


75th Percentile

Number of Years Managing the Compliance Department 1 2 3 4 5 6 to 10 11 to 15 16 or More

63 69 59 35 60 129 72 43

$129,699 $140,174 $134,282 $167,337 $137,892 $160,281 $170,682 $156,483

$120,000 $120,000 $130,000 $160,000 $128,400 $149,000 $150,000 $150,000

$83,500 $87,000 $82,000 $104,500 $95,750 $114,000 $124,250 $118,500

$164,000 $180,000 $165,600 $205,000 $164,000 $200,000 $200,000 $196,000

$144,078 $160,592 $163,055 $191,957 $168,582 $195,647 $208,052 $195,790

$124,200 $137,000 $143,000 $172,000 $148,500 $165,000 $175,500 $173,000

$89,800 $88,000 $85,000 $115,500 $103,201 $125,000 $135,500 $123,500

$182,500 $207,000 $204,000 $233,500 $201,750 $240,000 $256,250 $244,500

Type of Organization Non-Profit Privately Held Publicly Traded Governmental Academic Other

109 174 165 37 34 9

$122,353 $145,357 $181,241 $116,168 $147,031 $129,200

$117,000 $130,000 $170,000 $105,000 $156,000 $109,200

$81,000 $100,000 $131,800 $70,000 $98,000 $90,000

$153,000 $180,000 $220,000 $139,000 $182,250 $162,000

$134,060 $176,159 $230,811 $122,479 $148,684 $167,444

$125,000 $149,450 $205,000 $105,000 $156,000 $145,200

$81,000 $106,175 $150,000 $70,000 $101,000 $92,500

$167,000 $213,750 $285,000 $143,000 $182,850 $190,000

Number of Compliance Program Elements the CCO is Involved in 5 or More Elements 6 or More Elements 7 or More Elements 8 or More Elements 9 or More Elements All Elements

509 479 436 375 317 212

$151,994 $153,848 $156,547 $159,644 $161,321 $163,677

$140,000 $141,000 $148,800 $150,000 $150,000 $150,000

$101,600 $103,660 $108,900 $110,000 $112,000 $110,000

$190,000 $194,000 $195,000 $200,000 $200,000 $200,750

$182,602 $185,682 $189,662 $192,941 $195,564 $199,880

$158,000 $162,000 $165,000 $170,000 $170,000 $170,000

$110,000 $114,500 $117,830 $121,000 $122,000 $119,750

$228,000 $233,000 $235,750 $240,000 $250,000 $255,250

28 58 69 64 8 31 50 21 54

$166,821 $152,198 $159,494 $150,749 $134,250 $149,265 $158,037 $117,376 $143,217

$154,000 $151,500 $157,000 $130,500 $133,000 $122,000 $145,000 $110,000 $132,900

$120,000 $86,250 $108,000 $99,500 $109,000 $107,100 $107,000 $91,900 $95,250

$200,000 $180,000 $200,000 $196,250 $168,500 $169,000 $203,750 $150,000 $161,500

$202,552 $179,309 $195,692 $182,174 $140,750 $174,402 $205,087 $135,114 $164,941

$195,000 $170,000 $170,000 $141,000 $141,500 $144,000 $171,500 $123,000 $150,000

$139,750 $94,375 $125,000 $103,450 $109,000 $115,000 $110,000 $98,000 $105,275

$230,750 $214,500 $247,000 $242,500 $174,750 $195,000 $247,000 $181,500 $190,450

Geographic Region New England Middle Atlantic South Atlantic East North Central East South Central West North Central West South Central Mountain Pacific


Detailed Results


Detailed Results

By All Respondents and Annual Compliance Budget

Annual Compliance Budget $100,000 $250,000 $500,000 All Less than to to to $1 to $2 Respondents $100,000 $249,999 $499,999 $999,999 Million

Are you the Chief Compliance Officer for: Responses Your organization as a whole A division or operating unit of the organization

$2 Million or More

547 68%

86 66%

46 74%

48 71%

76 62%

56 75%

69 72%

32%

34%

26%

29%

38%

25%

28%

Percentage indicating involvement in the following compliance program elements: Responses Compliance/auditing/monitoring Compliance education Compliance investigations Hot line/anonymous reporting Reporting to the board Compliance risk assessments Compliance discipline/incentives Code of conduct Policies and procedures Measuring program effectiveness

547 89% 95% 88% 74% 74% 92% 64% 81% 96% 80%

86 88% 95% 85% 62% 67% 90% 55% 70% 99% 70%

46 85% 93% 80% 70% 70% 89% 65% 83% 93% 74%

48 92% 90% 79% 83% 90% 90% 52% 85% 92% 83%

76 88% 97% 89% 78% 72% 92% 67% 93% 95% 87%

56 91% 96% 95% 86% 82% 93% 77% 82% 96% 84%

69 88% 99% 91% 80% 78% 96% 77% 84% 99% 91%

How much of your company's legal and regulatory risk areas are you responsible for managing? Responses 0-25% 26%-50% 51%-75% 76%-100%

547 0% 26% 34% 41%

86 0% 19% 37% 44%

46 0% 28% 28% 43%

48 0% 17% 38% 46%

76 0% 43% 20% 37%

56 0% 30% 46% 23%

69 0% 26% 39% 35%

How many employees, including yourself, are there in the compliance and ethics group you manage? Responses 1 2 to 5 6 to 10 11 to 15 16 to 20 21 to 30 31 to 40 41 to 50 More than 50

545 24% 42% 19% 4% 2% 3% 1% 1% 3%

85 47% 42% 6% 0% 0% 0% 0% 0% 5%

46 37% 46% 13% 2% 0% 0% 2% 0% 0%

47 19% 66% 9% 2% 2% 0% 2% 0% 0%

76 12% 55% 29% 0% 1% 1% 1% 0% 0%

56 5% 36% 38% 9% 5% 5% 0% 2% 0%

69 6% 10% 22% 14% 12% 14% 3% 7% 12%

56

69

Annual compliance budget managed: Responses Average Median 25th percentile 75th percentile

381 $2,267,617 $500,000 $100,000 $1,000,000

86

46

48

76

$24,263 $15,000 $0 $50,000

$146,587 $145,000 $100,000 $200,000

$306,354 $300,000 $250,000 $350,000

$615,263 $600,000 $500,000 $732,500


$1,201,339 $10,527,428 $1,000,000 $3,200,000 $1,000,000 $2,000,000 $1,500,000 $11,000,000

Detailed Results


$2 Million or More

Approximately how many employees work in your organization as a whole? Responses Less than 100 100 - 249 250 - 499 500 - 999 1,000 - 1,999 2,000 - 2,999 3,000 - 4,999 5,000 - 7,499 7,500 - 9,999 10,000 - 14,999 15,000 - 19,999 20,000 - 29,999 30,000 - 49,999 50,000 - 74,999 75,000 - 99,999 100,000 +

544 10% 9% 10% 10% 10% 6% 7% 8% 2% 8% 4% 4% 4% 3% 1% 5%

85 20% 15% 16% 9% 13% 5% 2% 2% 2% 5% 0% 2% 2% 0% 0% 5%

46 17% 13% 9% 9% 13% 7% 7% 9% 0% 2% 2% 4% 2% 0% 0% 7%

48 8% 13% 15% 4% 6% 6% 6% 13% 0% 15% 4% 4% 4% 0% 0% 2%

76 5% 8% 7% 13% 12% 5% 4% 7% 7% 12% 7% 3% 4% 4% 1% 3%

56 0% 0% 9% 9% 11% 7% 9% 14% 0% 5% 4% 9% 7% 9% 4% 4%

69 1% 1% 1% 10% 7% 7% 9% 9% 4% 16% 9% 3% 4% 9% 1% 7%

Approximately how many employees work in the portion of your organization that you run compliance for? Responses Less than 100 100 - 249 250 - 499 500 - 999 1,000 - 1,999 2,000 - 2,999 3,000 - 4,999 5,000 - 7,499 7,500 - 9,999 10,000 - 14,999 15,000 - 19,999 20,000 - 29,999 30,000 - 49,999 50,000 - 74,999 75,000 - 99,999 100,000 +

539 15% 12% 12% 11% 12% 6% 6% 6% 2% 6% 3% 2% 2% 1% 1% 2%

84 26% 20% 18% 10% 13% 2% 2% 4% 2% 0% 0% 1% 0% 1% 0% 0%

46 26% 13% 4% 9% 15% 13% 2% 9% 0% 0% 0% 2% 0% 0% 2% 4%

47 13% 13% 19% 9% 9% 6% 4% 6% 0% 9% 4% 4% 4% 0% 0% 0%

75 7% 11% 9% 20% 17% 5% 4% 9% 3% 7% 4% 1% 0% 0% 0% 3%

56 5% 4% 9% 9% 14% 7% 7% 13% 2% 5% 5% 4% 5% 5% 4% 2%

69 6% 6% 4% 9% 12% 9% 10% 4% 3% 14% 6% 3% 4% 4% 1% 4%

What are the annual revenues of the organization you work for? Responses Less than $5 million $5 to $15 million $15 to $30 million $30 to $50 million $50 to $100 million $100 to $500 million $500 million to $1 billion $1 to $3 billion More than $3 billion

528 6% 9% 6% 7% 8% 14% 10% 15% 25%

80 13% 15% 13% 9% 14% 13% 6% 9% 10%

45 9% 11% 2% 9% 13% 18% 18% 7% 13%

46 2% 4% 4% 11% 7% 22% 4% 28% 17%

75 4% 1% 4% 7% 12% 17% 11% 16% 28%

56 2% 2% 2% 4% 5% 9% 18% 21% 38%

69 1% 3% 1% 1% 1% 16% 4% 19% 52%


Detailed Results


$2 Million or More

What are the annual revenues for the portion of the organization that your part of the compliance and ethics program oversees? Responses Less than $5 million $5 to $15 million $15 to $30 million $30 to $50 million $50 to $100 million $100 to $500 million $500 million to $1 billion $1 to $3 billion More than $3 billion

518 10% 9% 7% 8% 9% 17% 11% 13% 16%

81 21% 14% 12% 9% 16% 16% 5% 2% 5%

46 15% 11% 7% 7% 15% 17% 17% 7% 4%

43 9% 5% 7% 9% 9% 21% 5% 26% 9%

75 8% 1% 7% 11% 9% 21% 16% 12% 15%

55 2% 2% 2% 5% 5% 15% 22% 22% 25%

69 4% 4% 1% 1% 4% 13% 6% 16% 49%

For how many countries do you manage compliance? Responses 1 2 to 5 6 to 10 11 or more

540 65% 14% 4% 17%

85 82% 13% 0% 5%

46 74% 15% 4% 7%

47 68% 11% 6% 15%

75 61% 20% 0% 19%

56 39% 18% 11% 32%

69 46% 14% 1% 38%

Highest level of education attained: Responses Some college Bachelor's degree MBA Master's degree (non-MBA) JD PhD

543 5% 21% 13% 21% 38% 3%

85 7% 19% 11% 33% 27% 4%

46 0% 15% 15% 22% 48% 0%

48 4% 25% 17% 25% 29% 0%

76 3% 20% 18% 18% 39% 1%

56 2% 18% 13% 14% 50% 4%

69 1% 17% 9% 16% 49% 7%

Where do you work? Responses United States North America (outside US) South America Europe Asia Africa Australia

526 88% 2% 2% 3% 2% 3% 0%

82 83% 1% 2% 2% 1% 9% 1%

46 87% 2% 0% 0% 9% 2% 0%

46 87% 0% 2% 7% 2% 2% 0%

75 92% 3% 0% 4% 1% 0% 0%

54 89% 2% 2% 4% 2% 2% 0%

63 89% 6% 2% 2% 0% 0% 2%


Detailed Results

Annual Compliance Budget $100,000 $250,000 $500,000 All Less than to to to $1 to $2 Respondents $100,000 $249,999 $499,999 $999,999 Million Percentage holding the following certifications: Responses Leading Professional in Ethics & Compliance (LPEC) Certified Public Accountant (CPA) Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional International (CCEP-I) Certified in Healthcare Compliance (CHC) Certified in Healthcare Research Compliance (CHRC) Certified in Healthcare Privacy Compliance (CHPC) Advanced Practitioner in Ethics and Compliance Certification (APEX) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Information Privacy Professional (CIPP) Professional in Human Resources (PHR) Senior Professionals in Human Resources (SPHR) Health Ethics Trust Certified Compliance Professional (CCP) Health Ethics Trust Certified Compliance Executive (CCE) Accredited Healthcare Fraud Investigator (AHFI) Other

$2 Million or More

547

86

46

48

76

56

69

1% 4%

1% 5%

2% 0%

0% 2%

1% 5%

4% 7%

4% 7%

23%

24%

33%

29%

30%

25%

25%

5% 18%

3% 17%

4% 20%

8% 21%

5% 25%

4% 16%

6% 14%

1%

0%

0%

0%

1%

5%

4%

4%

3%

2%

6%

3%

4%

3%

0% 3% 3%

0% 2% 2%

0% 0% 0%

0% 2% 4%

0% 5% 1%

0% 2% 7%

1% 3% 3%

2% 1%

0% 0%

2% 2%

0% 0%

3% 0%

7% 0%

3% 1%

1%

0%

2%

2%

1%

0%

3%

1%

1%

2%

0%

0%

0%

1%

1%

0%

0%

2%

0%

0%

3%

1% 18%

0% 22%

0% 22%

2% 13%

0% 14%

2% 23%

1% 16%


Detailed Results

Annual Compliance Budget $100,000 $250,000 $500,000 All Less than to to to $1 to $2 Respondents $100,000 $249,999 $499,999 $999,999 Million Industry: Responses Accounting/auditing Administrative and support services Advertising/marketing Public relations Aerospace/aviation/defense Agriculture Airlines Architectural services Arts/entertainment/media Automotive/motor vehicles/parts Banking Biotechnical and pharmaceutical Chemical/polymers/fibers Computer hardware Computer services Computer software Construction Consulting services Consumer products Customer service/call center Education/training/library Electronics Energy Engineering Environmental services Finance/economics Financial services Forest products Government/policy Health care provider Higher education Hospitality/tourism Human resources/recruiting Information technology Installation/maintenance/repair Insurance Internet/e-commerce Law enforcement/security services Legal Manufacturing and production Military Mining Operations management Personal care and service Pharma/medical device Publishing/printing Purchasing Real estate/mortgage Research & development Restaurant and food service Retail/wholesale

534 0% 0% 0% 0% 2% 0% 0% 0% 1% 1% 2% 2% 1% 0% 1% 1% 2% 1% 0% 0% 1% 1% 3% 2% 0% 0% 8% 0% 5% 0% 8% 0% 0% 2% 0% 18% 0% 0% 2% 6% 0% 0% 0% 1% 8% 0% 0% 1% 2% 1% 2%

84 0% 1% 0% 0% 0% 0% 0% 0% 0% 1% 4% 0% 0% 0% 1% 0% 1% 0% 0% 1% 1% 0% 2% 2% 0% 0% 10% 0% 10% 0% 12% 0% 0% 2% 0% 10% 0% 0% 0% 4% 0% 0% 0% 2% 12% 0% 0% 0% 2% 0% 1%

46 0% 0% 2% 0% 2% 0% 2% 0% 0% 0% 0% 0% 0% 0% 0% 2% 4% 2% 0% 0% 4% 2% 4% 0% 0% 0% 4% 0% 0% 0% 7% 0% 0% 4% 0% 13% 2% 0% 0% 7% 0% 0% 0% 0% 11% 0% 0% 0% 0% 2% 4%

47 0% 0% 0% 0% 2% 0% 0% 0% 4% 2% 4% 0% 4% 0% 0% 2% 0% 4% 0% 0% 4% 0% 2% 0% 0% 0% 2% 0% 2% 0% 17% 0% 0% 0% 0% 26% 0% 0% 0% 4% 0% 0% 0% 0% 2% 0% 0% 0% 2% 0% 0%


76 0% 0% 0% 0% 1% 1% 0% 0% 1% 0% 1% 3% 0% 1% 0% 3% 1% 1% 0% 0% 0% 0% 1% 0% 0% 0% 7% 0% 8% 0% 11% 0% 1% 1% 0% 17% 0% 0% 3% 3% 0% 0% 0% 0% 12% 0% 0% 5% 3% 0% 3%

55 0% 0% 0% 0% 2% 0% 0% 2% 0% 2% 0% 0% 0% 0% 0% 0% 2% 0% 2% 0% 0% 0% 7% 7% 0% 0% 5% 0% 2% 0% 7% 0% 0% 4% 0% 18% 0% 0% 4% 7% 0% 0% 0% 0% 7% 0% 0% 0% 2% 2% 5%

$2 Million or More 67 1% 0% 0% 0% 4% 1% 0% 0% 0% 0% 0% 1% 1% 0% 0% 0% 0% 0% 1% 0% 0% 0% 6% 1% 0% 0% 10% 0% 3% 0% 6% 0% 0% 3% 0% 25% 0% 0% 1% 4% 0% 1% 0% 0% 4% 1% 0% 1% 0% 1% 1%

Detailed Results


$2 Million or More

Industry: (continued) Science Sports and recreation/fitness Supply chain/logistics Telecommunications Textiles Tobacco Transportation/warehousing Veterinary services Utilities Waste management services Other

0% 0% 1% 1% 0% 0% 1% 0% 1% 0% 12%

0% 0% 0% 1% 0% 0% 2% 0% 0% 0% 17%

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 20%

0% 0% 0% 0% 2% 2% 0% 0% 0% 0% 11%

0% 0% 1% 0% 0% 0% 3% 0% 1% 0% 7%

0% 0% 2% 2% 0% 0% 4% 0% 2% 0% 4%

0% 0% 0% 1% 0% 0% 1% 0% 6% 0% 6%

How many years have you managed a compliance department? Responses 1 2 3 4 5 6 to 10 11 to 15 16 or more

545 12% 13% 11% 7% 11% 24% 14% 8%

85 12% 18% 14% 9% 16% 19% 6% 6%

46 17% 13% 17% 2% 20% 20% 9% 2%

48 8% 10% 15% 6% 10% 27% 8% 15%

75 8% 11% 11% 7% 9% 31% 17% 7%

56 9% 14% 9% 13% 7% 30% 11% 7%

69 6% 13% 4% 7% 9% 20% 29% 12%

Type of organization: Responses Non-profit Privately held Publicly traded Governmental Academic Other

543 20% 33% 31% 7% 6% 2%

85 21% 42% 16% 12% 8% 0%

45 24% 42% 27% 2% 4% 0%

48 19% 35% 27% 2% 17% 0%

76 16% 32% 37% 9% 5% 1%

56 18% 36% 34% 4% 5% 4%

68 16% 18% 53% 6% 6% 1%

Amount of bonus eligible: Responses None 0-10% of salary 11%-20% of salary 21%-30% of salary 31%-40% of salary 41% or more of salary

531 31% 14% 18% 16% 22% 0%

85 51% 13% 24% 7% 6% 0%

46 28% 9% 24% 13% 26% 0%

48 31% 19% 25% 19% 6% 0%

76 22% 12% 12% 30% 24% 0%

54 26% 15% 20% 11% 28% 0%

68 7% 10% 6% 22% 54% 0%

Do you have a contract? Responses Yes No

541 18% 82%

86 17% 83%

46 20% 80%

48 21% 79%

75 16% 84%

54 17% 83%

69 22% 78%

99 44% 45%

15 20% 67%

9 44% 44%

10 30% 70%

12 42% 25%

9 33% 67%

15 60% 33%

If "yes,” Do you have a severance clause in your contract? Responses Yes No


Detailed Results


I

If "yes," what percent of your salary is it equivalent to? Responses Average Median 25th percentile 75th percentile

22 101.8% 100.0% 50.0% 100.0%

0 * * * *

2 * * * *

3 * * * *


2 * * * *

2 * * * *

$2 Million or More

5 112.0% 100.0% 100.0% 150.0%

Detailed Results

By Number of Employees in Organization as a Whole

Less than 250 Are you the Chief Compliance Officer for: Responses Your organization as a whole A division or operating unit of the organization

Number of Employees in Organization as a Whole 250 to 1,000 to 3,000 to 7,500 to 15,000 to 30,000 or 999 2,999 7,499 14,999 29,999 More

104 87%

107 80%

88 75%

79 56%

53 58%

43 53%

70 44%

13%

20%

25%

44%

42%

47%

56%

Percentage indicating involvement in the following compliance program elements: Responses Compliance/auditing/monitoring Compliance education Compliance investigations Hot line/anonymous reporting Reporting to the board Compliance risk assessments Compliance discipline/incentives Code of conduct Policies and procedures Measuring program effectiveness

104 88% 96% 85% 58% 80% 88% 57% 78% 98% 74%

107 93% 94% 91% 78% 79% 91% 64% 76% 93% 81%

88 89% 95% 92% 78% 77% 94% 65% 83% 98% 83%

79 87% 94% 85% 75% 70% 90% 59% 81% 94% 77%

53 87% 94% 89% 83% 64% 96% 66% 85% 96% 81%

43 86% 93% 93% 77% 67% 91% 74% 88% 93% 88%

70 89% 97% 86% 81% 74% 96% 69% 87% 100% 84%

How much of your company's legal and regulatory risk areas are you responsible for managing? Responses 0-25% 26%-50% 51%-75% 76%-100%

104 0% 12% 32% 57%

107 0% 21% 36% 44%

88 0% 33% 32% 35%

79 0% 30% 44% 25%

53 0% 32% 34% 34%

43 0% 26% 35% 40%

70 0% 36% 26% 39%


102 48% 39% 10% 0% 0% 1% 1% 0% 1%

107 22% 47% 17% 3% 1% 7% 2% 0% 3%

88 24% 45% 23% 3% 1% 2% 1% 0% 0%

79 9% 48% 24% 8% 1% 3% 1% 4% 3%

53 15% 36% 25% 6% 6% 2% 2% 2% 8%

43 19% 35% 26% 5% 5% 2% 2% 0% 7%

70 17% 34% 17% 7% 7% 4% 1% 4% 7%

66

72

63

53

45

31

50

Annual compliance budget managed: Responses Average Median 25th percentile 75th percentile

$432,197 $1,438,229 $2,496,471 $3,811,717 $2,633,644 $3,015,161 $3,212,040 $100,000 $287,500 $500,000 $750,000 $630,000 $750,000 $1,000,000 $11,250 $70,000 $100,000 $300,000 $350,000 $325,000 $368,750 $293,750 $925,000 $1,000,000 $1,600,000 $2,100,000 $1,750,000 $2,000,000


Detailed Results

Less than 250



104 52% 48% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

107 0% 0% 51% 49% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

88 0% 0% 0% 0% 64% 36% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

79 0% 0% 0% 0% 0% 0% 47% 53% 0% 0% 0% 0% 0% 0% 0% 0%

53 0% 0% 0% 0% 0% 0% 0% 0% 23% 77% 0% 0% 0% 0% 0% 0%

43 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 47% 53% 0% 0% 0% 0%

70 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 31% 24% 7% 37%

Approximately how many employees work in the portion of your organization that you run compliance for? Responses Less than 100 100 - 249 250 - 499 500 - 999 1,000 - 1,999 2,000 - 2,999 3,000 - 4,999 5,000 - 7,499 7,500 - 9,999 10,000 - 14,999 15,000 - 19,999 20,000 - 29,999 30,000 - 49,999 50,000 - 74,999 75,000 - 99,999 100,000 +

103 50% 49% 1% 0% 0% 0% 0% 1% 0% 0% 0% 0% 0% 0% 0% 0%

107 10% 4% 44% 42% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

86 5% 1% 2% 7% 56% 28% 0% 0% 0% 1% 0% 0% 0% 0% 0% 0%

78 9% 4% 9% 4% 8% 4% 32% 29% 0% 1% 0% 0% 0% 0% 0% 0%

52 4% 6% 2% 6% 8% 10% 6% 2% 13% 44% 0% 0% 0% 0% 0% 0%

43 5% 7% 5% 0% 7% 2% 0% 5% 2% 7% 35% 26% 0% 0% 0% 0%

69 7% 3% 6% 4% 9% 3% 3% 9% 1% 4% 3% 1% 16% 12% 6% 13%


102 15% 31% 9% 16% 11% 12% 4% 1% 2%

102 12% 9% 11% 10% 16% 22% 12% 3% 7%

83 2% 5% 6% 5% 11% 28% 22% 16% 6%

76 0% 3% 4% 5% 5% 8% 18% 33% 24%

52 2% 2% 0% 2% 4% 8% 2% 37% 44%

42 5% 0% 5% 0% 2% 12% 0% 21% 55%

70 1% 0% 1% 1% 0% 6% 4% 11% 74%


Detailed Results

Less than 250



99 21% 27% 9% 14% 11% 11% 5% 0% 1%

104 17% 9% 12% 9% 15% 21% 10% 4% 4%

83 5% 5% 6% 5% 13% 29% 20% 13% 4%

75 1% 8% 5% 7% 4% 13% 12% 31% 19%

50 6% 0% 0% 4% 10% 4% 16% 24% 36%

39 8% 0% 5% 3% 3% 13% 5% 31% 33%

67 4% 3% 4% 6% 1% 18% 6% 10% 46%

For how many countries do you manage compliance? Responses 1 2 to 5 6 to 10 11 or more

103 85% 12% 1% 2%

107 83% 9% 1% 7%

86 69% 13% 2% 16%

78 54% 21% 6% 19%

52 42% 15% 6% 37%

42 45% 12% 7% 36%

70 46% 23% 6% 26%


104 12% 28% 14% 20% 26% 0%

106 4% 18% 15% 32% 28% 3%

87 5% 23% 13% 21% 38% 1%

78 0% 17% 17% 21% 41% 5%

53 2% 19% 9% 13% 53% 4%

43 7% 26% 9% 9% 49% 0%

70 1% 16% 13% 17% 47% 6%


102 91% 2% 2% 0% 1% 4% 0%

104 93% 1% 0% 2% 1% 3% 0%

86 90% 0% 1% 5% 2% 2% 0%

73 90% 1% 0% 3% 3% 0% 3%

51 84% 8% 0% 2% 4% 2% 0%

42 90% 2% 0% 2% 2% 2% 0%

66 76% 5% 8% 8% 2% 3% 0%


Detailed Results

Less than 250 Percentage holding the following certifications: Responses Leading Professional in Ethics & Compliance (LPEC) Certified Public Accountant (CPA) Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional International (CCEP-I) Certified in Healthcare Compliance (CHC) Certified in Healthcare Research Compliance (CHRC) Certified in Healthcare Privacy Compliance (CHPC) Advanced Practitioner in Ethics and Compliance Certification (APEX) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Information Privacy Professional (CIPP) Professional in Human Resources (PHR) Senior Professionals in Human Resources (SPHR) Health Ethics Trust Certified Compliance Professional (CCP) Health Ethics Trust Certified Compliance Executive (CCE) Accredited Healthcare Fraud Investigator (AHFI) Other


104

107

88

79

53

43

70

0% 5%

1% 3%

3% 2%

0% 5%

2% 4%

2% 2%

3% 9%

13%

22%

24%

25%

28%

35%

26%

1% 23%

4% 19%

2% 23%

6% 14%

8% 17%

7% 9%

13% 19%

2%

0%

0%

1%

2%

2%

4%

7%

2%

6%

3%

2%

2%

3%

0% 1% 2%

0% 4% 3%

0% 2% 2%

0% 1% 4%

0% 4% 4%

0% 2% 2%

1% 6% 3%

1% 1%

2% 1%

1% 0%

3% 0%

2% 0%

5% 2%

3% 3%

0%

0%

2%

1%

2%

0%

6%

0%

1%

1%

0%

0%

0%

1%

0%

0%

0%

1%

0%

0%

3%

0% 25%

2% 21%

0% 18%

0% 9%

0% 21%

0% 16%

1% 17%


Detailed Results

Less than 250 Industry: Responses Accounting/auditing Administrative and support services Advertising/marketing Public relations Aerospace/aviation/defense Agriculture Airlines Architectural services Arts/entertainment/media Automotive/motor vehicles/parts Banking Biotechnical and pharmaceutical Chemical/polymers/fibers Computer hardware Computer services Computer software Construction Consulting services Consumer products Customer service/call center Education/training/library Electronics Energy Engineering Environmental services Finance/economics Financial services Forest products Government/policy Health care provider Higher education Hospitality/tourism Human resources/recruiting Information technology Installation/maintenance/repair Insurance Internet/e-commerce Law enforcement/security services Legal Manufacturing and production Military Mining Operations management Personal care and service Pharma/medical device Publishing/printing Purchasing Real estate/mortgage Research & development Restaurant and food service Retail/wholesale Science

100 0% 1% 1% 0% 0% 0% 1% 0% 0% 0% 4% 1% 1% 0% 3% 1% 1% 1% 0% 1% 0% 0% 1% 0% 0% 1% 18% 0% 2% 0% 2% 0% 0% 1% 0% 22% 0% 0% 1% 2% 0% 0% 0% 1% 7% 0% 0% 1% 1% 0% 0% 0%

Number of Employees in Organization as a Whole 250 to 1,000 to 3,000 to 7,500 to 15,000 to 30,000 or 999 2,999 7,499 14,999 29,999 More 105 0% 1% 0% 0% 1% 0% 0% 1% 1% 0% 3% 3% 0% 0% 0% 3% 1% 3% 0% 0% 2% 1% 1% 1% 0% 0% 9% 0% 5% 0% 7% 0% 0% 3% 0% 21% 0% 0% 2% 2% 0% 0% 0% 2% 6% 0% 0% 2% 1% 0% 0% 1%

85 0% 0% 0% 0% 1% 0% 0% 0% 1% 0% 2% 0% 1% 0% 0% 1% 5% 1% 0% 0% 0% 0% 1% 0% 0% 0% 2% 0% 8% 0% 11% 0% 0% 2% 0% 19% 1% 0% 0% 5% 0% 0% 0% 0% 16% 0% 0% 0% 0% 0% 2% 0%

77 0% 0% 0% 0% 0% 0% 0% 0% 1% 0% 0% 1% 0% 0% 0% 0% 1% 3% 3% 0% 3% 1% 8% 1% 0% 0% 1% 0% 8% 0% 3% 0% 1% 1% 0% 27% 0% 0% 1% 12% 0% 1% 0% 0% 1% 0% 1% 0% 5% 1% 0% 0%


52 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 2% 2% 0% 0% 0% 0% 0% 0% 0% 0% 2% 2% 0% 0% 12% 0% 6% 0% 21% 0% 0% 6% 0% 10% 0% 0% 2% 8% 0% 0% 0% 0% 13% 0% 0% 4% 0% 0% 4% 0%

43 0% 0% 0% 0% 7% 2% 0% 0% 0% 2% 0% 5% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 5% 2% 0% 0% 7% 0% 7% 0% 16% 0% 0% 5% 0% 2% 0% 0% 2% 16% 0% 0% 0% 0% 2% 0% 0% 2% 0% 0% 2% 0%

70 1% 0% 0% 0% 6% 1% 0% 0% 0% 4% 0% 0% 0% 0% 0% 1% 1% 0% 0% 0% 1% 1% 6% 6% 0% 0% 1% 0% 1% 0% 9% 0% 0% 0% 0% 16% 0% 0% 4% 4% 0% 0% 0% 0% 10% 1% 0% 0% 3% 3% 11% 0%

Detailed Results

Less than 250 Industry: (continued) Sports and recreation/fitness Supply chain/logistics Telecommunications Textiles Tobacco Transportation/warehousing Veterinary services Utilities Waste management services Other


0% 0% 0% 0% 0% 0% 0% 0% 0% 24%

0% 0% 0% 1% 0% 1% 0% 2% 0% 16%

0% 0% 2% 2% 0% 1% 0% 1% 0% 12%

0% 0% 1% 0% 0% 1% 0% 3% 0% 8%

0% 0% 0% 0% 2% 2% 0% 2% 0% 2%

0% 0% 2% 0% 0% 7% 0% 0% 0% 5%

1% 0% 0% 1% 0% 0% 0% 0% 0% 3%

102 17% 14% 14% 4% 14% 17% 10% 12%

107 11% 13% 5% 7% 11% 29% 14% 10%

88 7% 17% 15% 10% 11% 22% 14% 5%

79 14% 15% 11% 6% 15% 24% 6% 8%

53 9% 6% 13% 9% 6% 28% 23% 6%

43 12% 14% 14% 2% 7% 28% 19% 5%

70 10% 9% 7% 9% 10% 24% 21% 10%


104 25% 60% 4% 9% 0% 3%

106 27% 42% 18% 5% 4% 4%

88 28% 28% 30% 8% 6% 0%

79 23% 22% 41% 9% 4% 3%

52 10% 8% 63% 6% 13% 0%

43 2% 33% 37% 9% 19% 0%

68 7% 19% 57% 6% 9% 1%


102 37% 20% 21% 8% 15% 0%

103 38% 15% 16% 17% 15% 0%

85 29% 13% 19% 22% 16% 0%

76 29% 18% 13% 12% 28% 0%

52 27% 10% 19% 19% 25% 0%

42 26% 12% 19% 19% 24% 0%

68 18% 9% 18% 18% 38% 0%


103 11% 89%

107 17% 83%

86 21% 79%

78 15% 85%

53 19% 81%

43 19% 81%

68 31% 69%

11 45% 45%

18 56% 39%

18 56% 28%

12 67% 33%

10 30% 60%

8 13% 75%

21 33% 52%

How many years have you managed a compliance department? Responses 1 2 3 4 5 6 to 10 11 to 15 16 or more

If "yes,” Do you have a severance clause in your contract? Responses Yes No


Detailed Results

Less than 250 If "yes," what percent of your salary is it equivalent to? Responses Average Median 25th percentile 75th percentile

0 * * * *


5 92.0% 50.0% 50.0% 100.0%

6 71.7% 65.0% 50.0% 95.0%

6 140.0% 125.0% 100.0% 187.5%


2 * * * *

0 * * * *

3 * * * *

Cross Industry Compliance Staff Salary Survey

Introduction

2015 Cross Industry Staff Salary Survey 41

Introduction

Introduction

About This Report The 2015 Cross Industry Staff Salary Survey is another important service provided by the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA). The information contained in this report represents complete and accurate compensation data on individuals working in the compliance profession. The report is designed to allow organizations and individuals to compare their salary to their peers. The salary data have been aggregated in the following groupings so organizations and individuals can compare their own data to the results of similar operations. These aggregations include: • • • • • • • • • • • •

Title/Level Compliance Responsibilities Number of People that Report up through to Individual Annual Compliance Budget for the Organization Number of Employees in Portion of the Organization that Person Works in Compliance for Annual Revenues in Portion of the Organization that Person Works in Compliance for Number of Countries the Individual Works in Type of Industry Number of Years Working in the Compliance Department Type of Organization Certifications Held Advanced Degrees

As an organization or individual compares their salary information to that of the profession, it is important to remember that the statistics published in this report should be regarded as “guidelines” rather than “absolute standards.” Since organizations will differ, depending upon their location, size, and other factors, any two organizations may offer their employees a reasonably attractive compensation package and yet be very different. For example, duration of employment and nature of prior experience will obviously influence the compensation offering for a particular individual. Thus, a deviation between any one individual’s figures and a number appearing on a table in this report is not necessarily good or bad; it is merely an indication that additional scrutiny may be warranted. A minimum of five responses was required to show data. This study was conducted for HCCA/SCCE by Industry Insights, Inc., an independent professional survey research firm located in Dublin, Ohio. The company specializes in conducting industry operating surveys, compensation and benefits studies, and member attitude surveys for trade and professional associations. The HCCA/SCCE is proud to present the enclosed insights into the salary levels in the compliance industry. We wish to thank the professionals who submitted data for the study. Your support was essential in making this study a success.


Introduction

Survey Methodology In June 2015, an email invitation was sent to approximately 27,000 individuals. In total, 1,489 completed online submissions were received by mid-August. Of the 1,489 responses, 831 worked for a non-healthcare provider organization. This report is based solely on this group. Upon receipt, all submissions were assigned a confidential identification number. All data were checked both manually and by a specially designed computer editing procedure. Strict confidence of survey responses was maintained throughout the course of the project. Final results were tabulated by Industry Insights, Inc., and the report was completed in October 2015.

Definitions Average (mean): the arithmetic average obtained by adding the individual values for all responses to a particular question and dividing by the total number answering; a measure of central value that can be distorted by extreme high or low values. Median: a measure of central value that is not affected by extreme values; calculated by arranging all responses in numerical order and selecting the value that falls exactly in the middle, with half higher and half lower. 25th Percentile: when responses are ordered from lowest to highest, the lower quartile is the response 25% from the bottom. In other words, 75% of the responses are higher than this measure. 75th Percentile: when responses are ordered from the lowest to highest, the upper quartile is the response 25% from the top. In other words, 25% of the responses are higher than this measure.


Respondent Profile


Respondent Profile

Title/Level Of the 831 respondents included in this study, more than two-thirds identified themselves as an Assistant/Specialist (40%) or Manager (36%). Directors (21%) also made up a significant percentage of the respondents. The remaining 3% were Vice Presidents. Assistant/Specialist, 40%

Vice President, 3%

Manager, 36% Director, 21%

Number of Employees in Organization as a Whole The size of organizations represented in this study varied greatly. Fifteen percent worked for organizations with less than 500 total employees while 22% worked for companies employing more than 30,000. 15,000 - 29,999, 11%

30,000 - 74,999, 10%

7,500 - 14,999, 14% 75,000 or More, 12%

5,000 - 7,499, 10%

Less than 100, 4% 100 - 249, 6%

3,000 - 4,999, 7% 2,000 - 2,999, 5% 1,000 - 1,999, 8%

250 - 499, 5% 500 - 999, 8%


Respondent Profile

Number of Employees in the Portion of the Organization that the Compliance Program Oversees The chart below looks at only the number of employees in the portion of the organization that the compliance program oversees. One fifth (21%) of the respondents reported that there were less than 100 employees in the portion of the organization that the compliance program oversees, while another one fifth (19%) reported over 15,000 employees. 7,500 - 14,999, 12% 5,000 - 7,499, 9%

15,000 - 29,999, 7%

3,000 - 4,999, 6%

30,000 or More, 12%

2,000 - 2,999, 4%

1,000 - 1,999, 10% Less than 100, 21% 250 - 999, 9% 100 - 249, 10%

Annual Revenues of the Organization as a Whole The size of organizations responding by annual revenue also varied greatly. Eighteen percent of the respondents reported annual revenue of entire organization of less than $30 million, while more than one-third of the respondents reported annual revenue of over $3 billion. More than $3 billion, 36% Less than $5 million, 6% $5 to $15 million, 6% $15 to $30 million, 6% $1 billion to $3 billion, 18%

$30 to $50 million, 4% $50 to $100 million, 7%

$500 million to $1 billion, 7%

$100 to $500 million, 10%


Respondent Profile

Annual Revenues of the Portion of the Organization that the Compliance Program Oversees The chart below looks at only the annual revenues of the portion of the organization that the compliance program oversees. More than $3 billion, 26% Less than $5 million, 15%

$1 billion to $3 billion, 15%

$5 to $15 million, 7% $15 to $30 million, 5%

$500 million to $1 billion, 7% $100 to $500 million,

$30 to $100 million, 12%

11%

Number of Countries in Which Compliance is Managed About one-third of the respondents work in compliance in more than one country.

6 to 10, 6%

11 or more, 18%

2 to 5, 13%

1, 63%


Respondent Profile

Number of Years in the Compliance Department The typical respondent has worked in their compliance department for four years. Only 3% have worked in the department for 16 or more years.

1, 19%

2, 16%

16 or More, 3% 11 to 15, 9%

3, 13%

4, 6% 6 to 10, 23%

5, 10%

Type of Organization Nearly half (43%) of the respondents worked at publicly traded companies. Privately held and nonprofit organizations made up 25% and 18% of the respondents, respectively.

Publicly traded, 43% Governmental, 5% Academic, 6% Other, 2%

Non-profit, 18%

Privately held, 25%


Respondent Profile

Type of Industry The most represented industry participating in the survey was insurance (22%), followed by pharma/medical devices (10%), financial services (6%), higher education (5%), energy (5%) and utilities (5%). Financial Services, 6% Energy, 5% Aerospace/Aviation/Defense, 4%

Higher Education, 5% Insurance, 22%

Manufacturing and Production, 4% Pharma/Medical Device, 10% Other, 40% Utilities, 5%

Geographic Region The largest percentage of respondents to the survey were from the Pacific, South Atlantic, Middle Atlantic and East North Central regions. Middle Atlantic, 16% South Atlantic, 17% New England, 4%

Pacific, 17% East North Central, 15%

Mountain, 5% West South Central, 12%

New England: NH, VT, ME, MA, RI, CT Mid-Atlantic: NJ, NY, PA South Atlantic: DE, MD, DC, WV, VA, NC, SC, GA, FL East North Central: WI, IL, IN, MI, OH East South Central: KY, TN, MS, AL

East South Central, 3% West North Central, 10%

West North Central: ND, SD, NE, KS, MN, IA, MO West South Central: TX, OK, AR, LA Mountain: MT, ID, WY, NV, UT, CO, AZ, NM Pacific: WA, OR, CA, AK, HI


Respondent Profile

Percentage indicating the elements of the compliance program that they are primarily involved in: A large percentage of respondents indicated that they were primarily involved in policies and procedures, compliance education and compliance/auditing/monitoring. Vice President

Director

Manager

Assistant/ Specialist

Compliance/auditing/monitoring

78%

73%

73%

68%

Compliance education

74%

86%

79%

67%

Compliance investigations

78%

70%

56%

57%

Hot line/anonymous reporting

57%

52%

42%

35%

Reporting to the board

61%

44%

32%

21%

Compliance risk assessments

83%

80%

67%

51%

Compliance discipline/incentives

52%

43%

32%

20%

Code of conduct

52%

62%

53%

42%

Policies and procedures

87%

83%

87%

77%

Measuring program effectiveness

61%

73%

60%

39%

How many people report up through to the individual? The number of people reporting up through to the respondent varied widely by title/level. More than one-third (35%) of the Vice Presidents reported that six or more people reported to them, while only 6% of the responding Managers reported six or more people reporting to them. Vice President

Director

Manager


0

26%

29%

53%

88%

1 to 2

22%

29%

27%

7%

3 to 5

17%

22%

14%

3%

6 to 10

22%

13%

4%

0%

11 or more

13%

8%

2%

2%


Respondent Profile

How much of your company's legal and regulatory risk areas would you estimate the compliance department is responsible for managing? Approximately one-third of the respondents indicated that their compliance department is responsible for managing 76% to 100% of the company’s legal and regulatory risk. Vice President

Director

Manager


5%

20%

18%

17%

26%-50%

32%

17%

21%

21%

51%-75%

36%

33%

29%

27%

76%-100%

27%

31%

33%

36%

0-25%

Percentage holding the following certifications: Across all levels, the Certified Compliance and Ethics Professional (CCEP) designation was held by at least one-fifth of all survey respondents, and for most levels was held by at least one-quarter. Vice President

Director

Manager


Certified Public Accountant (CPA)

22%

5%

5%

2%

Certified Compliance and Ethics Professional (CCEP)

26%

28%

28%

22%

Certified Compliance and Ethics Professional International (CCEP-I)

9%

2%

5%

3%

Certified in Healthcare Compliance (CHC)

4%

16%

13%

9%

Certified in Healthcare Research Compliance (CHRC)

0%

2%

1%

1%


4%

3%

2%

1%

Advanced Practitioner in Ethics and Compliance Certification (APEX)

0%

1%

0%

0%


0%

6%

3%

3%


9%

4%

4%

3%

13%

6%

1%

0%

Professional in Human Resources (PHR)

0%

1%

1%

1%

Senior Professionals in Human Resources (SPHR)

0%

1%

0%

0%

0%

0%

1%

0%

0%

0%

0%

0%

0%

1%

0%

0%

Certified Information Privacy Professional (CIPP)

Health Ethics Trust Certified Compliance Professional (CCP) Health Ethics Trust Certified Compliance Executive (CCE) Accredited Healthcare Fraud Investigator (AHFI)


Respondent Profile

Highest education level attained The vast majority of all respondents have at least a bachelor’s degree. More than half of vice presidents, directors, and managers have an advanced degree. Vice President Some college

Director

Manager


9%

3%

8%

18%

17%

32%

36%

45%

MBA

9%

16%

17%

6%

Master's degree (non-MBA)

9%

20%

21%

18%

57%

26%

17%

13%

0%

3%

1%

1%

Bachelor's degree

JD PhD

Do you have a contract? The vast majority of respondents do not have an employment contract. Vice President

Director

Manager


Yes

4%

12%

16%

13%

No

96%

88%

84%

87%


Executive Summary


Executive Summary

Average Total Compensation + by Title/Level Average compensation ranged from $179,552 for Vice Presidents to $72,421 for Assistant/Specialists. $179,552 $157,175 $104,598 $72,421

Vice President

Director

Manager

Assistant/Specialist

Average Total Compensation+ by Title/Level and Annual Compliance Budget In general, compensation showed a correlation to the size of the annual compliance budget. The larger the annual compliance budget, the larger the total compensation for all for job titles/levels. Vice President

Director

Manager


Less than $100,000

*

*

*

$59,889

$100,000 to $249,999

*

*

*

*

$250,000 to $499,999

*

*

$99,629

$66,888

$500,000 to $999,999

*

$182,625

$109,654

$78,879

$1 Million or More

*

$184,114

$128,027

$67,814

*Insufficient Data

NOTE: Only 13% of the respondents were able to provide the annual compliance budget of their organization.

+



Executive Summary

Average Total Compensation + by Annual Revenues in the Portion of the Organization that the Individual Works in Compliance for Compliance professionals working at larger organizations tend to earn higher average total compensation than those working at smaller organizations. Vice President

Director

Manager


Less than $5 Million

*

$108,530

$95,994

$67,266

$5 to $15 Million

*

$143,657

$87,049

$66,428

$15 to $30 Million

*

$98,250

$73,784

$60,874

$30 to $100 Million

*

$126,081

$91,106

$71,916

$128,367

$152,052

$99,363

$70,296

$500 Million to $1 Billion

*

$146,375

$96,961

$72,974

$1 Billion to $3 Billion

*

$172,410

$108,559

$74,072

$270,400

$191,367

$125,970

$81,956

$100 to $500 Million

More than $3 Billion *Insufficient Data

Average Total Compensation+ by Number of Employees in the Portion of the Organization that the Individual Works in Compliance for Similarly, the compensation results by number of employees in the portion of the organization that the individual works in compliance for showed that large organizations tended to pay higher compensation. Vice President

Director

Manager


Less than 100

*

$113,502

$96,433

$71,404

100-249

*

$186,529

$97,311

$70,858

250-999

*

$117,048

$88,656

$73,975

1,000-1,999

*

$145,611

$110,758

$68,387

2,000-2,999

*

$153,571

$105,140

$70,445

3,000-4,999

*

$197,450

$99,560

$74,604

5,000-7,499

*

$171,637

$113,570

$71,263

7,500-14,999

*

$167,191

$108,454

$72,409

15,000-29,999

*

$147,889

$119,665

$78,558

30,000 or more

*

$191,521

$112,909

$83,976

*Insufficient Data

+



Executive Summary

Average Total Compensation + by Number of People that Report up through to Individual While there appeared to be a positive correlation between compensation and the number of people that report up through to the individual, the correlation wasn’t consistent. Vice President

Director

Manager


0

$151,333

$150,361

$101,122

$71,324

1 to 2

$161,300

$162,756

$108,995

$82,809

3 to 5

*

$148,995

$108,250

$85,500

$225,200

$163,110

$97,992

*

*

$176,577

$132,000

$68,871

6 to 10 11 or more *Insufficient Data

Average Total Compensation+ by Title/Level and Type of Organization When looking at type of organization, publicly traded companies paid the highest average compensation. Academic organizations tended to pay the lowest compensation. Vice President

Director

Manager


*

$137,668

$92,937

$69,871

Privately Held

$186,714

$139,070

$93,279

$71,535

Publicly Traded

$185,708

$180,956

$118,795

$78,164

Governmental

*

$103,000

$82,022

$70,967

Academic

*

$83,700

$81,718

$57,964

Non-Profit

*Insufficient Data

+



Executive Summary

Average Total Compensation + by Title/Level and Certifications Held Respondents with a certification earned more than those without one. Those with a Certified Compliance and Ethics Professional (CCEP), Certified Fraud Examiner (CFE), Certified Internal Auditor (CIA), and Certified Public Accountant (CPA) designation earned the highest compensation. Vice President

Director

Manager


$229,500

$181,548

$118,111

$86,735

Certified Compliance and Ethics ProfessionalInternational (CCEP-I)

*

*

$123,821

$80,568

Certified In Healthcare Compliance (CHC)

*

$138,668

$103,466

$69,716

Certified In Healthcare Privacy Compliance (CHPC)

*

$143,500

$83,333

$72,200


*

$168,468

$121,648

$82,010


*

$184,951

$117,773

$77,738

Certified Public Accountant (CPA)

$190,200

$198,523

$108,810

$74,557

No Certifications

$137,870

$149,717

$92,275

$67,055

Certified Compliance and Ethics Professional (CCEP)

*Insufficient Data

Average Total Compensation+ by Title/Level and Number of Elements of a Compliance Program the Individual is Involved in No clear correlation existed between compensation and the number of elements of the compliance program the individual is involved in. Vice President

Director

Manager


1 to 3

$162,333

$169,487

$107,271

$71,312

4 to 6

*

$145,518

$107,335

$71,761

7 to 9

$190,429

$161,558

$97,966

$76,004

All 10

$206,143

$162,382

$103,907

$73,838

*Insufficient Data

+



Executive Summary

Average Total Compensation+ by Title/Level and Whether the Individual has a Contract All job titles without a contract earned higher compensation than those with one.

Has Contract No Contract

Vice President

Director

Manager


*

$134,210

$100,862

$68,570

$182,941

$160,119

$105,264

$72,938

*Insufficient Data

Average Total Compensation+ by Title/Level and Geographic Region Respondents in the Pacific region tended to earn more than those in other parts of the country. Vice President

Director

Manager


*

*

$105,840

$66,600

$155,333

$117,360

$115,762

$68,238

*

$153,528

$110,499

$66,957

East North Central

$201,033

$138,655

$90,368

$66,632

East South Central

*

*

$99,714

$92,300

West North Central

*

$153,846

$102,266

$73,012

West South Central

*

$177,487

$90,577

$68,636

Mountain

*

*

$93,500

$68,959

Pacific

*

$195,757

$120,331

$84,013

New England Middle Atlantic South Atlantic

*Insufficient Data


Executive Summary

Amount of bonus eligible: More than half of the respondents indicated that they were bonus eligible. Vice Presidents and Directors reported higher percentage of their salaries as being bonus eligible. Vice President None

Director

Manager


0%

17%

27%

40%

0-10% of salary

30%

7%

29%

42%

11%-20% of salary

26%

33%

34%

16%

21%-30% of salary

26%

29%

6%

2%

31%-40% of salary

13%

8%

3%

0%

4%

7%

1%

1%

41% or more of salary


Salary Data


Salary Data

Vice President

All Respondents Compliance Responsibilities Broad (Wide Range of ComplianceRelated Risks) Focused on a Particular Risk Area

# of Resp.

Average


75th Percentile

Average


75th Percentile

23 $155,748 $158,000

$112,500

$187,500 $179,552 $175,000

$120,500

$222,500

22 $153,327 $156,500 1

$111,250

$180,000 $173,850 $175,000

$117,750

$213,250

$102,500 $105,000

$165,500 $151,333 $145,000 $180,000 $161,300 $180,000

$107,500 $115,000

$205,750 $186,000

$135,000

$220,000 $225,200 $257,000

$148,000

$290,000

$105,000

$139,650 $128,367 $131,500

$107,500

$155,500

$209,000

$225,000 $270,400 $290,000

$257,000

$305,000

Risk Areas Focused On Privacy IT Occupational Health and Safety Other

1 0 0 0

Number of People that Report up Through to Individual 0 1 to 2 3 to 5 6 to 10 11 or More

6 $130,333 $132,500 5 $148,400 $177,000 4 5 $183,800 $209,000 3

Annual Compliance Budget for the Organization Less Than $100,000 $100,000 to $249,999 $250,000 to $499,999 $500,000 to $999,999 $1 Million or More

0 0 0 2 4

Number of Employees in the Portion of the Organization that Person Works in Compliance for Less Than 100 100-249 250-999 1,000-1,999 2,000-2,999 3,000-4,999 5,000-7,499 7,500-14,999 15,000-29,999 30,000 or More

2 3 2 4 0 0 3 2 2 4

Annual Revenues in the Portion of the Organization that Person Works in Compliance for Less Than $5 Million $5 to $15 Million $15 to $30 Million $30 to $100 Million $100 to $500 Million $500 Million to $1 Billion $1 to $3 Billion More Than $3 Billion

0 0 1 4 6 $118,700 $120,000 1 4 5 $209,800 $220,000


Salary Data

Vice President (continued) # of Resp.

Average


Number of Countries the Individual Works in 1 2 to 5 6 to 10 11 or More

9 $125,244 $110,000 6 $170,333 $156,000 4 4

Type of Industry Aerospace/Aviation/ Defense Energy Financial Services Higher Education Insurance Manufacturing and Production Pharma/Medical Device Utilities

0 0 6 $137,367 $125,600 0 6 $132,833 $132,500 1 1 0

Number of Years Working in the Compliance Department 1 2 3 4 5 6 to 10 11 to 15 16 or More

2 3 3 1 3 5 $148,800 $130,000 4 2


2 7 $161,714 $177,000 13 $158,477 $158,000 0 0 1

Certifications Held Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional-International (CCEP-I) Certified In Healthcare Compliance (CHC) Certified In Healthcare Privacy Compliance (CHPC) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Public Accountant (CPA) No Certifications

1 0 2 5 $162,200 $169,000 10 $129,720 $110,000

Highest Level of Education Some College Bachelor’s Degree MBA Master’s Degree (non-MBA) JD PhD

2 4 2 2 13 $167,077 $175,000 0

6 $191,667 $200,000

75th Percentile

Average


75th Percentile

$100,000 $131,250

$158,000 $135,744 $115,000 $213,000 $197,833 $167,000

$105,000 $145,750

$176,200 $239,250

$106,250

$153,800 $162,950 $136,500

$115,000

$171,650

$118,750

$160,500 $155,333 $146,500

$130,750

$199,000

$115,000

$205,000 $173,900 $145,000

$126,000

$205,000

$125,000 $110,000

$187,500 $186,714 $180,000 $205,000 $185,708 $176,200

$137,000 $115,000

$211,500 $229,000

$180,000

$216,250 $229,500 $221,000

$182,500

$276,750

$155,000 $101,250

$177,000 $190,200 $186,000 $153,800 $137,870 $120,500

$175,000 $105,000

$216,000 $171,650

$115,000

$209,000 $194,962 $175,000

$126,000

$257,000

2 1


Salary Data

Vice President (continued) # of Resp.

Number of Elements of a Compliance Program the Individual is Involved in 1 to 3 4 to 6 7 to 9 All 10 Do You Have A Contract? Yes No

Average


6 $154,667 $166,500 3 7 $158,857 $180,000 7 $173,000 $169,000 1 22 $158,055 $163,500

75th Percentile

Average


75th Percentile

$122,000

$178,750 $162,333 $166,500

$125,750

$197,500

$120,000 $142,500

$202,000 $190,429 $180,000 $201,000 $206,143 $186,000

$126,500 $160,000

$263,500 $243,000

$118,750

$191,250 $182,941 $175,600

$130,750

$225,750


Salary Data

Director

All Respondents

# of Resp.

Average


75th Percentile

Average


75th Percentile

169 $132,268 $130,000

$106,000

$160,000 $157,175 $152,000

$114,000

$193,000

142 $133,351 $131,000 27 $126,574 $120,000

$107,250 $104,000

$164,727 $159,492 $153,750 $143,000 $144,992 $145,000

$114,000 $114,000

$201,500 $172,890


3 3 1 15 $127,667 $120,000

$106,250

$136,250 $148,667 $131,000

$115,250

$175,000


49 48 38 21 13

$119,000 $137,500 $128,750 $131,300 $132,000

$104,000 $104,250 $102,250 $124,000 $120,000

$160,000 $165,775 $149,837 $155,000 $179,000

$132,600 $165,000 $146,377 $155,000 $165,000

$107,000 $114,000 $102,250 $128,000 $136,000

$184,000 $205,250 $186,500 $177,100 $205,500


2 4 2 8 $146,736 $139,145 22 $141,750 $139,500

$127,375 $120,000

$171,575 $182,625 $172,895 $165,000 $184,114 $168,000

$140,000 $133,750

$235,655 $205,375


29 8 8 14 7 10 18 23 9 28

$104,234 $155,404 $101,013 $123,329 $132,714 $168,200 $142,240 $135,300 $132,333 $151,207

$107,000 $165,391 $108,300 $127,500 $130,000 $160,000 $146,159 $130,000 $135,000 $140,000

$84,000 $123,363 $83,750 $102,750 $117,000 $144,750 $106,250 $109,500 $120,000 $127,500

$124,000 $184,250 $116,625 $148,250 $149,500 $199,500 $176,500 $165,000 $156,000 $179,250

$113,502 $186,529 $117,048 $145,611 $153,571 $197,450 $171,637 $167,191 $147,889 $191,521

$113,299 $204,500 $117,000 $152,500 $145,000 $187,500 $167,659 $165,000 $151,000 $171,050

$84,000 $123,363 $88,000 $106,500 $126,000 $167,000 $121,250 $122,500 $136,000 $137,375

$137,000 $234,250 $142,145 $178,750 $169,500 $208,875 $215,000 $190,645 $165,000 $245,000


15 8 6 17 18 8 29 53

$101,590 $126,813 $92,667 $106,611 $132,901 $124,625 $142,672 $151,413

$107,000 $124,500 $79,000 $100,000 $132,500 $135,500 $147,000 $142,317

$77,500 $120,000 $63,250 $87,000 $111,250 $99,000 $120,000 $125,000

$123,500 $146,250 $107,500 $112,600 $154,675 $143,250 $170,000 $180,000

$108,530 $143,657 $98,250 $126,081 $152,052 $146,375 $172,410 $191,367

$107,000 $147,877 $79,100 $113,000 $144,000 $170,500 $165,000 $175,000

$77,500 $120,750 $63,300 $94,000 $120,000 $99,000 $132,000 $150,000

$124,000 $172,750 $107,500 $145,000 $170,585 $181,000 $222,000 $223,000

Compliance Responsibilities Broad (Wide Range of ComplianceRelated Risks) Focused on a Particular Risk Area

$129,326 $136,525 $124,734 $140,633 $136,154


$150,361 $162,756 $148,995 $163,110 $176,577

Salary Data

Director (continued) Base Salary 25th Median Percentile

# of Resp.

Average


96 26 9 36

$118,660 $145,596 $159,976 $152,492

$115,000 $135,000 $150,782 $151,500


7 8 10 6 30 5 20 9

$160,500 $157,963 $112,045 $98,500 $119,493 $148,800 $156,005 $157,921


25 24 11 9 13 47 26 11


22 44 84 5 5 6

Certifications Held Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional-International (CCEP-I) Certified In Healthcare Compliance (CHC) Certified In Healthcare Privacy Compliance (CHPC) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Public Accountant (CPA) No Certifications Highest Level of Education Some College Bachelor’s Degree MBA Master’s Degree (non-MBA) JD PhD


75th Percentile

Average

75th Percentile

$91,750 $120,500 $132,000 $138,250

$141,000 $176,750 $185,000 $170,000

$137,865 $168,709 $204,492 $189,269

$127,250 $167,890 $180,000 $171,659

$99,500 $128,000 $154,500 $150,750

$171,250 $205,000 $236,150 $208,013

$165,000 $165,500 $114,225 $98,500 $120,000 $156,000 $159,455 $147,290

$150,000 $143,750 $55,000 $80,500 $102,000 $145,000 $132,250 $130,000

$176,750 $168,575 $133,750 $112,750 $131,000 $159,000 $181,000 $185,000

$206,729 $209,101 $131,545 $98,733 $137,233 $166,600 $188,904 $201,699

$189,600 $215,500 $127,500 $99,200 $128,500 $170,000 $200,500 $191,290

$177,000 $180,250 $74,613 $80,850 $107,750 $160,000 $155,000 $166,000

$226,750 $231,802 $171,250 $112,750 $163,750 $171,000 $222,250 $245,000

$126,264 $115,333 $122,199 $119,611 $140,445 $134,409 $148,101 $131,405

$125,000 $108,750 $141,000 $128,000 $135,000 $130,000 $150,000 $118,450

$110,000 $97,750 $92,500 $90,000 $122,000 $111,500 $120,000 $101,000

$143,000 $133,500 $157,346 $133,000 $170,000 $162,500 $177,500 $158,000

$144,448 $130,771 $152,057 $146,976 $170,753 $162,463 $179,212 $145,309

$138,500 $118,000 $166,000 $128,000 $170,000 $160,000 $174,709 $120,000

$113,299 $97,750 $92,500 $100,000 $140,000 $127,250 $127,500 $101,000

$152,000 $146,625 $206,175 $163,000 $205,000 $201,000 $205,125 $179,500

$120,773 $123,285 $146,044 $103,000 $83,700 $120,267

$116,000 $127,750 $142,659 $108,000 $79,500 $116,300

$100,250 $91,500 $120,000 $90,000 $74,500 $104,650

$145,250 $151,337 $170,750 $116,000 $85,000 $137,250

$137,668 $139,070 $180,956 $103,000 $83,700 $146,667

$127,500 $142,750 $173,659 $108,000 $79,500 $126,300

$100,250 $98,000 $136,750 $90,000 $74,500 $115,500

$174,750 $170,195 $210,000 $116,000 $85,000 $140,400

49 $148,312 $153,000

$119,000

$170,000 $181,548 $178,000

$137,000

$205,000

4 28 $123,357 $125,000

$91,500

$151,250 $138,668 $137,250

$98,000

$177,250

6 11 7 9 53

$127,833 $137,355 $140,473 $158,678 $125,330

$116,000 $131,300 $131,300 $165,000 $125,000

$102,000 $119,500 $120,000 $130,000 $101,000

$145,000 $156,850 $164,455 $168,100 $155,000

$143,500 $168,468 $184,951 $198,523 $149,717

$137,000 $175,000 $177,100 $200,000 $140,500

$114,000 $131,500 $165,000 $152,000 $104,000

$182,500 $177,550 $219,175 $231,000 $204,000

6 55 26 34 43 5

$124,167 $133,086 $126,311 $120,448 $147,123 $116,600

$115,000 $130,000 $126,250 $120,000 $150,000 $103,000

$92,250 $104,500 $110,000 $90,500 $125,000 $94,000

$146,750 $167,000 $143,750 $143,000 $180,000 $141,000

$136,392 $156,087 $152,601 $143,994 $177,502 $132,680

$124,000 $147,754 $159,500 $140,750 $166,000 $103,000

$100,500 $115,000 $121,875 $94,000 $128,000 $95,400

$151,250 $203,000 $186,250 $176,579 $215,500 $175,000


Salary Data

Director (continued)


# of Resp.

Average

18 56 77 18

$140,601 $123,391 $134,994 $139,894


75th Percentile

Average

$169,487 $145,518 $161,558 $162,382


75th Percentile

$141,659 $123,500 $132,000 $130,500

$118,250 $91,750 $108,000 $113,325

$169,500 $155,250 $160,000 $163,500

$173,659 $131,500 $160,000 $155,000

$127,500 $100,000 $114,000 $120,000

$206,888 $177,250 $190,000 $202,000

18 $113,700 $116,000 148 $134,694 $130,000

$79,075 $108,000

$143,750 $134,210 $125,500 $164,182 $160,119 $155,000

$79,425 $115,000

$167,500 $197,750


Salary Data

Manager

All Respondents

# of Resp.

Average


75th Percentile

Average


75th Percentile

296

$93,979

$91,617

$75,000

$108,250 $104,598

$97,350

$80,150

$121,000

239 55

$93,206 $95,875

$90,000 $92,500

$74,900 $79,250

$108,500 $103,875 $97,000 $106,000 $106,059 $100,562

$80,000 $82,500

$120,500 $120,500

8 2 0 41

$81,645

$81,800

$71,250

$84,800

$71,250

$97,141

$98,633

$96,000

$80,000

$116,000 $110,380 $104,000

$89,409

$125,000


155 $91,268 $90,000 82 $98,142 $95,000 40 $94,794 $90,507 12 $92,742 $98,000 5 $109,400 $120,000

$72,250 $80,400 $74,414 $79,875 $83,000

$102,500 $114,500 $107,000 $111,250 $139,000

$101,122 $96,400 $108,995 $103,000 $108,250 $92,757 $97,992 $98,000 $132,000 $138,000

$78,750 $88,250 $79,371 $86,550 $98,000

$120,000 $124,375 $121,470 $116,000 $139,000


3 3 7 $93,629 $91,500 8 $98,467 $101,867 14 $112,819 $117,000

$87,950 $87,500 $98,875

$106,500 $99,629 $91,500 $112,750 $109,654 $114,617 $130,000 $128,027 $134,250

$87,950 $89,250 $108,425

$111,250 $119,500 $150,500


47 $86,672 $83,000 30 $86,179 $84,500 28 $80,049 $76,635 33 $95,648 $91,014 10 $99,600 $95,500 15 $93,500 $95,000 20 $101,345 $96,450 35 $96,677 $90,400 18 $106,660 $101,000 35 $102,557 $96,500

$68,000 $69,250 $66,875 $82,000 $81,125 $80,850 $81,500 $77,500 $87,250 $85,500

$100,000 $95,875 $98,922 $109,000 $104,875 $106,500 $131,000 $112,000 $122,500 $120,000

$90,000 $89,705 $90,000 $94,500 $95,500 $101,000 $103,000 $101,200 $113,000 $102,000

$77,650 $76,250 $69,875 $85,900 $81,125 $87,250 $86,375 $82,500 $88,500 $92,500

$111,250 $113,175 $105,750 $119,960 $113,225 $111,250 $150,750 $120,500 $141,000 $135,500


33 $86,494 $81,600 22 $80,458 $74,900 11 $70,784 $77,000 27 $84,865 $90,000 32 $90,412 $87,950 27 $90,916 $96,000 39 $97,746 $96,000 75 $107,647 $102,000

$68,000 $59,000 $52,310 $76,750 $73,500 $76,750 $84,100 $86,250

$101,000 $95,994 $87,600 $96,000 $87,049 $78,400 $89,000 $73,784 $77,000 $95,750 $91,106 $92,500 $100,896 $99,363 $92,007 $112,000 $96,961 $97,200 $110,000 $108,559 $102,000 $130,000 $125,970 $120,000

$77,000 $65,500 $55,310 $82,118 $82,318 $76,750 $86,750 $93,300

$107,000 $96,475 $89,000 $100,000 $113,375 $122,000 $120,500 $151,000

Compliance Responsibilities Broad (Wide Range of ComplianceRelated Risks) Focused on a Particular Risk Area Risk Areas Focused On Privacy IT Occupational Health and Safety Other

$92,891


$85,208

$96,433 $97,311 $88,656 $110,758 $105,140 $99,560 $113,570 $108,454 $119,665 $112,909

Salary Data

Manager (continued) # of Resp.


Average


170 $89,689 $89,000 46 $94,838 $92,500 16 $102,125 $100,000 63 $102,510 $100,000

$71,100 $75,000 $80,750 $88,000

75th Percentile

Average


$101,000 $97,916 $90,932 $110,500 $108,800 $95,750 $113,750 $118,776 $100,000 $120,000 $115,778 $111,000

75th Percentile

$75,250 $83,000 $92,250 $98,500

$115,000 $128,750 $133,500 $137,500


9 8 21 15 65 15 42 9

$99,378 $95,000 $113,513 $108,000 $94,774 $93,000 $82,380 $88,500 $84,438 $86,500 $112,773 $102,000 $102,895 $96,000 $124,111 $116,000

$82,000 $86,500 $79,000 $64,000 $74,552 $89,500 $81,250 $115,000

$120,000 $142,750 $110,000 $95,750 $96,000 $130,000 $127,500 $135,000

$104,456 $130,513 $109,084 $82,380 $90,920 $128,151 $118,823 $146,611

$95,000 $125,500 $114,233 $88,500 $89,500 $122,000 $107,250 $142,000

$82,000 $99,250 $79,000 $64,000 $80,000 $95,835 $97,750 $133,000

$121,000 $163,250 $135,000 $95,750 $100,000 $155,500 $142,650 $165,000


42 $83,262 $84,100 43 $91,212 $92,500 37 $93,416 $92,000 21 $98,672 $95,000 41 $92,452 $90,000 79 $96,063 $91,500 27 $108,948 $106,000 4

$70,200 $74,900 $72,000 $80,000 $70,000 $76,635 $95,865

$97,225 $101,000 $110,000 $108,000 $103,000 $109,500 $130,000

$86,993 $85,000 $104,734 $96,500 $105,165 $100,000 $108,663 $95,700 $105,937 $94,500 $107,112 $100,000 $120,567 $124,000

$70,200 $82,950 $75,000 $87,600 $77,000 $85,700 $105,665

$99,375 $121,500 $120,000 $120,000 $128,000 $120,000 $140,500

Type of Organization Non-Profit Privately Held Publicly Traded Governmental Academic Other Certifications Held Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional-International (CCEP-I) Certified In Healthcare Compliance (CHC) Certified In Healthcare Privacy Compliance (CHPC) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Public Accountant (CPA) No Certifications Highest Level of Education Some College Bachelor’s Degree MBA Master’s Degree (non-MBA) JD PhD

46 $89,515 73 $84,529 140 $102,853 9 $82,022 20 $81,368 6 $97,833

$90,000 $85,000 $98,998 $77,000 $84,250 $97,000

$80,000 $69,000 $82,375 $66,000 $64,500 $77,750

$99,375 $92,937 $94,750 $98,562 $93,279 $94,500 $120,000 $118,795 $110,000 $100,000 $82,022 $77,000 $97,000 $81,718 $84,250 $123,000 $111,333 $113,000

$80,050 $70,000 $88,000 $66,000 $64,500 $83,250

$102,250 $110,000 $143,000 $100,000 $97,000 $148,000

85 $104,708

$99,996

$85,900

$120,000 $118,111 $108,329

$90,850

$138,000

15 39

$96,000 $91,014

$72,500 $83,000

$124,000 $123,821 $111,000 $107,000 $103,466 $97,200

$89,705 $83,750

$149,500 $117,000

6 $81,750 $84,500 9 $108,312 $115,000 11 $106,409 $106,000 13 $97,233 $100,000 98 $84,893 $82,000

$75,000 $86,700 $96,500 $88,500 $66,000

$89,500 $83,333 $86,750 $132,000 $121,648 $115,000 $113,500 $117,773 $115,000 $105,000 $108,810 $104,000 $99,641 $92,275 $85,500

$75,375 $101,200 $107,000 $100,000 $68,500

$94,000 $153,000 $118,000 $120,000 $107,125

$82,750 $74,776 $72,500 $69,000 $80,000

$102,250 $99,139 $96,000 $112,500 $110,837 $100,000 $112,500 $104,891 $100,000 $100,000 $96,895 $94,500 $100,750 $101,212 $98,250

$86,725 $82,250 $79,385 $70,800 $82,225

$116,000 $131,500 $123,750 $115,000 $117,125

24 107 51 61 50 2

$98,233 $95,612

$92,466 $96,447 $94,202 $89,134 $93,726

$90,500 $90,000 $96,000 $90,000 $94,000


Salary Data

Manager (continued) Average


75th Percentile

56 123 87 28

$93,732 $96,237 $90,216 $93,959

$95,000 $92,500 $88,000 $96,000

$74,750 $80,000 $72,000 $79,250

$116,500 $107,271 $98,750 $110,000 $107,335 $101,000 $100,000 $97,966 $92,000 $105,000 $103,907 $102,600

$83,725 $83,000 $75,000 $81,934

$132,900 $123,500 $104,750 $120,000

47 248

$89,457 $94,783

$92,000 $91,257

$70,000 $75,000

$100,500 $100,862 $100,000 $110,000 $105,264 $96,750

$76,900 $80,818

$114,250 $121,550

# of Resp.



Average


75th Percentile

Salary Data

Assistant/Specialist

All Respondents

# of Resp.

Average


$69,590

$55,000

$54,000 $55,000

$79,000 $80,000

$72,575 $71,965

$69,540 $71,500

$54,950 $55,000

$83,125 $82,625

$69,000

$49,750

$80,000

$67,931

$69,000

$52,000

$81,750

$72,321

$73,500

$57,056

$80,000

$76,500

$75,000

$61,250

$88,575

282 23 7 0 6

$67,604 $74,835 $81,214

$65,000 $75,000 $79,000

$53,355 $64,250 $73,000

$78,750 $82,500 $84,250

$71,324 $82,809 $85,500

$67,825 $75,500 $80,500

$54,711 $65,200 $73,000

$82,000 $95,500 $90,000

$58,829

$55,987

$45,250

$70,494

$68,871

$65,000

$45,250

$81,000

9 0 7 6 7

$57,144

$54,799

$47,000

$68,000

$59,889

$54,799

$47,000

$76,000

$63,760 $64,679 $62,257

$53,818 $63,550 $57,000

$51,000 $57,731 $47,500

$71,750 $74,525 $69,900

$66,888 $78,879 $67,814

$53,818 $74,150 $71,500

$51,000 $65,075 $50,500

$72,700 $106,250 $78,150


75 30 31 24 12 20 25 29 25 19

$67,726 $67,058 $67,468 $67,022 $61,845 $70,084 $67,408 $69,578 $74,174 $79,805

$65,000 $63,750 $65,000 $64,000 $56,924 $70,000 $69,500 $66,000 $72,000 $76,000

$53,600 $56,313 $56,000 $54,500 $54,950 $54,000 $54,000 $52,000 $57,000 $72,000

$75,500 $77,250 $75,000 $80,000 $63,500 $79,000 $75,000 $85,000 $92,000 $95,000

$71,404 $70,858 $73,975 $68,387 $70,445 $74,604 $71,263 $72,409 $78,558 $83,976

$68,100 $66,500 $68,700 $66,950 $62,500 $74,750 $72,000 $66,550 $76,000 $80,000

$54,734 $56,313 $60,500 $55,030 $54,950 $54,000 $54,000 $52,000 $57,490 $72,650

$81,750 $78,375 $75,800 $80,750 $69,823 $83,500 $81,000 $85,000 $97,000 $101,000


64 22 18 41 28 18 42 57

$63,894 $64,447 $59,451 $66,854 $65,980 $69,316 $70,483 $75,387

$61,000 $59,500 $55,000 $63,380 $63,500 $68,500 $70,000 $73,000

$53,022 $52,250 $48,125 $54,000 $51,375 $57,175 $57,750 $60,000

$72,040 $73,750 $72,000 $75,000 $75,250 $80,750 $81,875 $86,700

$67,266 $66,428 $60,874 $71,916 $70,296 $72,974 $74,072 $81,956

$62,250 $59,500 $55,250 $65,000 $67,050 $69,750 $72,850 $78,000

$54,325 $52,400 $49,850 $58,000 $51,950 $57,175 $62,000 $64,000

$75,000 $78,000 $73,750 $80,000 $76,688 $84,925 $84,875 $93,100

Number of People that Report up Through to Individual 0 1 to 2 3 to 5 6 to 10 11 or More Annual Compliance Budget for the Organization Less Than $100,000 $100,000 to $249,999 $250,000 to $499,999 $500,000 to $999,999 $1 Million or More

$65,500

$54,186

252 64

$68,182 $68,593

$65,750 $64,000

18 1 1 38

$66,320

75th Percentile

$72,421


$68,261

Average


$79,000

Compliance Responsibilities Broad (Wide Range of ComplianceRelated Risks) Focused on a Particular Risk Area

318

75th Percentile


$83,000

Salary Data

Assistant/Specialist (continued) # of Resp.

Average


229 32 14 38

$66,229 $69,673 $71,986 $77,831

$64,000 $66,500 $70,600 $75,500


13 20 15 22 79 8 20 18

$80,446 $77,165 $76,335 $61,035 $65,087 $74,313 $58,633 $77,085


77 63 53 20 25 59 16 4



Average


75th Percentile

$75,000 $82,000 $79,750 $93,583

$69,332 $76,053 $82,574 $84,200

$66,900 $71,075 $74,500 $80,000

$54,745 $58,925 $51,813 $70,125

$80,000 $86,250 $113,750 $97,883

$62,000 $64,125 $62,500 $51,950 $55,000 $71,800 $45,000 $65,500

$110,000 $91,900 $95,000 $68,500 $74,000 $80,000 $72,750 $86,925

$83,273 $86,287 $89,848 $61,258 $68,453 $84,863 $62,004 $85,792

$82,000 $83,760 $77,500 $59,375 $65,700 $82,500 $60,500 $75,000

$62,000 $65,663 $65,000 $51,950 $55,000 $74,025 $45,800 $70,125

$110,000 $103,550 $118,750 $68,500 $78,179 $85,500 $76,625 $94,325

$55,000 $68,700 $64,000 $69,000 $73,000 $68,000 $79,000

$47,000 $57,000 $55,000 $57,162 $60,000 $58,125 $67,000

$74,000 $80,750 $75,000 $85,500 $79,000 $80,500 $90,000

$61,632 $76,980 $69,433 $80,853 $74,353 $76,734 $89,311

$55,000 $70,000 $65,400 $75,000 $75,000 $72,000 $82,750

$48,000 $57,745 $55,500 $61,500 $60,000 $61,000 $73,000

$74,000 $85,500 $77,000 $93,500 $83,500 $85,000 $95,475

$66,857 $64,651 $74,193 $66,957 $57,492 $76,117

$66,250 $62,050 $72,000 $61,000 $58,250 $66,979

$53,000 $54,000 $59,800 $52,317 $47,000 $58,950

$79,000 $75,000 $87,000 $75,000 $69,000 $93,040

$69,871 $71,535 $78,164 $70,967 $57,964 $83,334

$69,540 $66,350 $74,300 $64,000 $58,750 $72,629

$53,150 $54,775 $60,000 $54,192 $47,000 $63,975

$83,000 $80,375 $92,000 $81,000 $69,000 $106,590

72

$78,756

$75,500

$65,500

$87,750

$86,735

$81,750

$68,775

$95,575

75th Percentile

$53,818 $55,975 $49,000 $67,625

$79,000 $74,000 $71,000 $59,360 $62,500 $77,150 $56,000 $70,000

$60,385 $70,054 $66,680 $71,371 $71,241 $72,469 $81,810

72 74 109 26 25 6

Certifications Held Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional-International (CCEP-I) Certified In Healthcare Compliance (CHC) Certified In Healthcare Privacy Compliance (CHPC) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Public Accountant (CPA) No Certifications

7 30

$63,853 $67,311

$57,000 $67,000

$46,487 $55,000

$87,500 $79,750

$80,568 $69,716

$92,000 $67,500

$59,000 $55,000

$104,000 $83,063

5 9 8 7 159

$71,400 $76,966 $73,813 $72,100 $63,821

$75,000 $77,000 $70,250 $75,000 $60,000

$67,000 $65,000 $60,000 $67,000 $50,000

$78,000 $87,000 $80,250 $80,500 $72,000

$72,200 $82,010 $77,738 $74,557 $67,055

$75,000 $77,000 $71,200 $77,000 $62,000

$67,000 $74,000 $62,250 $67,000 $50,550

$78,000 $90,000 $85,875 $80,900 $75,750

Highest Level of Education Some College Bachelor’s Degree MBA Master’s Degree (non-MBA) JD PhD

57 141 17 56 42 2

$63,230 $67,186 $67,428 $69,640 $76,073

$60,000 $64,000 $70,000 $69,000 $74,250

$48,500 $54,000 $58,250 $52,873 $60,000

$72,158 $75,000 $76,000 $80,000 $85,000

$65,773 $72,523 $70,496 $72,742 $80,214

$62,000 $67,650 $76,000 $72,000 $75,500

$49,317 $54,767 $58,750 $54,873 $63,250

$78,358 $83,000 $82,000 $82,675 $86,000


Salary Data

Assistant/Specialist (continued) # of Resp.

Average


75th Percentile

Average


Number of Elements of a Compliance Program the Individual is Involved in 1 to 3 4 to 6 7 to 9 All 10

102 142 65 8

$66,555 $68,362 $70,766 $72,013

$62,550 $68,000 $68,000 $64,500

$52,122 $53,000 $60,000 $60,000

$75,000 $80,000 $80,000 $71,575

$71,312 $71,761 $76,004 $73,838

$67,000 $70,000 $70,500 $66,050

$52,450 $54,849 $61,000 $61,500

$82,000 $83,750 $84,000 $74,725

Do You Have A Contract? Yes No

40 274

$64,660 $68,713

$60,000 $67,000

$44,750 $55,000

$80,000 $79,000

$68,570 $72,938

$61,600 $70,000

$46,463 $55,000

$82,125 $83,515


75th Percentile

Salary Data

Geographic Region # of Resp.

Vice President New England Middle Atlantic South Atlantic East North Central East South Central West North Central West South Central Mountain Pacific

Average


1 * * 6 $146,167 $143,500 2 * * 6 $163,533 $148,100 0 * * 0 * * 1 * * 1 * * 2 * *

75th Percentile

Average


75th Percentile

* $106,250 * $136,550 * * * * *

* * * $179,250 $155,333 $150,500 * * * $185,000 $201,033 $175,600 * * * * * * * * * * * * * * *

* $107,500 * $154,750 * * * * *

* $200,250 * $221,800 * * * * *

Director New England Middle Atlantic South Atlantic East North Central East South Central West North Central West South Central Mountain Pacific

4 20 27 20 3 12 18 3 15

* $103,000 $118,450 $126,000 * $129,250 $142,500 * $160,000

* $87,750 $93,000 $99,250 * $114,750 $126,250 * $133,500

* $121,250 $176,250 $135,750 * $152,250 $154,675 * $181,500

* $117,360 $153,528 $138,655 * $153,846 $177,487 * $195,757

* $104,000 $120,000 $130,300 * $159,500 $164,350 * $180,000

* $96,500 $98,700 $109,500 * $134,250 $153,500 * $154,750

* $135,000 $211,750 $170,250 * $177,250 $203,000 * $232,604

Manager New England Middle Atlantic South Atlantic East North Central East South Central West North Central West South Central Mountain Pacific

9 $101,618 $98,562 39 $104,626 $96,400 33 $97,604 $100,528 35 $83,973 $83,000 7 $97,000 $96,500 28 $86,397 $83,500 25 $81,809 $81,600 6 $91,167 $87,000 47 $107,254 $100,000

$85,000 $91,367 $74,000 $69,270 $89,750 $74,888 $60,900 $81,000 $90,000

$105,000 $114,800 $110,000 $100,000 $107,500 $97,375 $98,000 $94,500 $120,000

$105,840 $115,762 $110,499 $90,368 $99,714 $102,266 $90,577 $93,500 $120,331

$100,562 $104,000 $101,000 $88,000 $96,500 $96,100 $87,600 $87,750 $110,000

$85,000 $94,000 $83,000 $70,000 $94,250 $79,371 $64,500 $83,625 $93,500

$115,000 $130,000 $127,528 $102,100 $112,500 $112,525 $103,700 $97,125 $141,500

Assistant/Specialist New England Middle Atlantic South Atlantic East North Central East South Central West North Central West South Central Mountain Pacific

8 33 44 31 9 24 31 18 40

$58,750 $54,745 $53,623 $51,245 $65,000 $57,000 $46,500 $55,000 $63,500

$68,375 $75,000 $72,869 $75,500 $108,000 $76,250 $75,000 $76,500 $90,000

$66,600 $68,238 $66,957 $66,632 $92,300 $73,012 $68,636 $68,959 $84,013

$66,550 $69,580 $66,000 $63,000 $75,000 $69,000 $62,000 $65,500 $81,750

$58,750 $54,745 $54,950 $52,050 $72,500 $60,000 $48,100 $55,000 $68,275

$75,200 $79,500 $76,375 $77,500 $109,900 $79,575 $81,885 $76,650 $94,883

* $109,400 $130,157 $121,630 * $130,034 $143,210 * $153,973

$63,013 $65,098 $65,697 $63,346 $85,167 $68,878 $62,984 $67,043 $77,752

$63,550 $67,000 $65,000 $62,000 $71,000 $66,000 $61,800 $65,000 $75,000


Detailed Results


Detailed Results

By All Respondents and Title/Level

All Respondents

Are your compliance responsibilities: Responses Broad, covering a range of compliancerelated risks Focused on a particular risk area

Vice President

Title/Level Director

Manager


833

23

172

301

335

81% 19%

96% 4%

84% 16%

80% 19%

79% 21%

If focused, which legal and regulatory risk areas are you primarily focused on? Responses Privacy IT Occupational health and safety Other

140 24% 4% 1% 70%

1 * * * *

23 13% 13% 4% 70%

52 17% 4% 0% 79%

63 33% 2% 2% 63%

Percentage indicating the elements of the compliance program that they are primarily involved in: Responses Compliance/auditing/monitoring Compliance education Compliance investigations Hot line/anonymous reporting Reporting to the board Compliance risk assessments Compliance discipline/incentives Code of conduct Policies and procedures Measuring program effectiveness

830 71% 75% 60% 42% 31% 63% 30% 50% 82% 54%

23 78% 74% 78% 57% 61% 83% 52% 52% 87% 61%

172 73% 86% 70% 52% 44% 80% 43% 62% 83% 73%

299 73% 79% 56% 42% 32% 67% 32% 53% 87% 60%

334 68% 67% 57% 35% 21% 51% 20% 42% 77% 39%

Which of the following best describes your title or level? Responses Vice President Director Manager Assistant/Specialist

831 3% 21% 36% 40%

23 100% 0% 0% 0%

172 0% 100% 0% 0%

301 0% 0% 100% 0%

335 0% 0% 0% 100%

How many people report up through to you? Responses 0 1-2 3-5 6-10 11 or more

829 61% 19% 11% 5% 3%

23 26% 22% 17% 22% 13%

171 29% 29% 22% 13% 8%

299 53% 27% 14% 4% 2%

335 88% 7% 3% 0% 2%


Detailed Results

Title/Level

All Respondents

Vice President

Director

Manager


817 17% 20% 29% 34%

22 5% 32% 36% 27%

168 20% 17% 33% 31%

295 18% 21% 29% 33%

331 17% 21% 27% 36%


832 3% 37% 25% 7% 7% 5% 4% 4% 9%

23 0% 26% 26% 9% 9% 4% 4% 4% 17%

172 6% 33% 18% 7% 8% 4% 6% 8% 11%

301 4% 35% 27% 7% 6% 4% 3% 2% 11%

334 2% 43% 26% 6% 6% 5% 4% 3% 5%

Do you know the budget for your compliance department? Responses Yes No

829 15% 85%

23 35% 65%

171 27% 73%

300 14% 86%

333 9% 91%

Annual compliance budget for the organization as a whole: Responses Average Median 25th percentile 75th percentile

109 $1,847,468 $750,000 $300,000 $2,000,000

6 $1,658,333 $1,500,000 $975,000 $1,950,000

39 $1,735,275 $1,193,861 $500,000 $2,500,000

35 $1,185,343 $600,000 $300,000 $1,800,000

29 $2,836,596 $400,000 $50,000 $999,000

How much of your company's legal and regulatory risk areas would you estimate the compliance department is responsible for managing? Responses 0-25% 26%-50% 51%-75% 76%-100%


Detailed Results

Title/Level

All Respondents

Vice President

Director

Manager


830 4% 6% 5% 8% 8% 5% 7% 10% 6% 8% 5% 6% 5% 5% 2% 10%

23 0% 9% 0% 9% 17% 0% 4% 9% 4% 4% 9% 0% 9% 0% 4% 22%

172 5% 3% 3% 6% 6% 3% 5% 16% 5% 11% 6% 5% 7% 5% 2% 11%

300 3% 7% 5% 7% 7% 5% 6% 8% 6% 9% 5% 5% 5% 7% 2% 12%

333 5% 6% 6% 10% 9% 7% 9% 8% 6% 6% 5% 7% 4% 4% 2% 7%

Approximately how many employees work in the portion of your organization that work in compliance for? Responses Less than 100 100 - 249 250 - 499 500 - 999 1,000 - 1,999 2,000 - 2,999 3,000 - 4,999 5,000 - 7,499 7,500 - 9,999 10,000 - 14,999 15,000 - 19,999 20,000 - 29,999 30,000 - 49,999 50,000 - 74,999 75,000 - 99,999 100,000 +

759 21% 9% 9% 0% 10% 4% 6% 9% 5% 7% 3% 4% 4% 3% 1% 4%

22 9% 14% 9% 0% 18% 0% 0% 14% 5% 5% 9% 0% 9% 0% 5% 5%

157 18% 5% 5% 0% 9% 5% 6% 11% 5% 10% 3% 3% 7% 4% 2% 6%

274 18% 11% 10% 0% 12% 4% 5% 7% 5% 7% 3% 4% 3% 4% 2% 4%

304 27% 10% 11% 0% 8% 4% 7% 9% 4% 6% 4% 4% 3% 2% 0% 2%


761 6% 6% 6% 4% 7% 10% 7% 18% 36%

21 5% 0% 5% 5% 10% 14% 5% 19% 38%

162 1% 5% 6% 5% 6% 9% 6% 19% 43%

272 5% 7% 5% 3% 6% 11% 7% 18% 39%

304 10% 5% 8% 5% 9% 10% 7% 16% 30%



Detailed Results

Title/Level

All Respondents

Vice President

Director

Manager


755 15% 7% 5% 5% 7% 11% 7% 15% 26%

21 0% 0% 5% 10% 10% 29% 5% 19% 24%

157 10% 5% 4% 5% 6% 12% 5% 18% 35%

271 13% 8% 4% 4% 6% 12% 10% 14% 28%

304 22% 8% 6% 6% 8% 9% 6% 14% 20%

For how many countries do you work in compliance? Responses 1 2 to 5 6 to 10 11 or more

825 63% 13% 6% 18%

23 39% 26% 17% 17%

170 56% 15% 5% 23%

300 58% 15% 5% 21%

330 73% 10% 5% 12%


824 91% 2% 1% 3% 2% 0% 0%

22 95% 5% 0% 0% 0% 0% 0%

170 92% 2% 0% 4% 1% 0% 0%

300 90% 1% 1% 4% 2% 1% 1%

330 90% 2% 2% 3% 3% 0% 0%

Industry: Responses Accounting/auditing Administrative and support services Advertising/marketing Public relations Aerospace/aviation/defense Agriculture Airlines Architectural services Arts/entertainment/media Automotive/motor vehicles/parts Banking Biotechnical and pharmaceutical Chemical/polymers/fibers Computer hardware Computer services Computer software Construction Consulting services Consumer products Customer service/call center

817 1% 1% 0% 0% 4% 1% 0% 0% 0% 1% 2% 1% 0% 0% 0% 1% 0% 1% 1% 0%

23 0% 0% 0% 0% 0% 0% 0% 4% 0% 0% 9% 0% 0% 0% 0% 0% 0% 0% 4% 0%

169 0% 0% 0% 0% 4% 1% 0% 0% 0% 1% 1% 3% 1% 0% 1% 1% 0% 1% 2% 0%

298 1% 0% 0% 0% 3% 0% 0% 0% 1% 0% 2% 1% 1% 0% 0% 1% 1% 0% 1% 0%

326 1% 2% 0% 0% 4% 1% 0% 0% 0% 1% 1% 1% 0% 0% 0% 1% 0% 2% 0% 0%



Detailed Results

Industry: (continued) Education/training/library Electronics Energy Engineering Environmental services Finance/economics Financial services Forest products Government/policy Health care provider Higher education Hospitality/tourism Human resources/recruiting Information technology Installation/maintenance/repair Insurance Internet/e-commerce Law enforcement/security services Legal Manufacturing and production Military Mining Operations management Personal care and service Pharma/medical device Publishing/printing Purchasing Real estate/mortgage Research & development Restaurant and food service Retail/wholesale Science Sports and recreation/fitness Supply chain/logistics Telecommunications Textiles Tobacco Transportation/warehousing Veterinary services Utilities Waste management services Other How many years have you worked in the compliance department? Responses 1 2 3 4 5 6 to 10 11 to 15 16 or more

Title/Level

All Respondents

Vice President

Director

Manager


2% 0% 5% 1% 0% 0% 6% 0% 2% 0% 5% 0% 0% 2% 0% 22% 0% 0% 0% 4% 0% 0% 1% 0% 10% 0% 0% 0% 2% 0% 3% 0% 0% 0% 1% 0% 0% 1% 0% 5% 0% 9%

9% 0% 0% 0% 0% 0% 26% 0% 0% 0% 0% 0% 0% 4% 0% 26% 0% 0% 0% 4% 0% 0% 0% 0% 4% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 9%

4% 0% 5% 0% 0% 0% 6% 1% 1% 0% 4% 0% 0% 4% 1% 18% 1% 0% 0% 3% 1% 1% 1% 1% 12% 0% 0% 0% 1% 0% 3% 0% 0% 0% 2% 0% 1% 3% 0% 5% 0% 10%

1% 1% 3% 1% 0% 0% 7% 0% 2% 0% 5% 0% 0% 2% 0% 22% 0% 0% 0% 5% 0% 0% 1% 0% 14% 0% 0% 0% 2% 0% 5% 0% 0% 0% 1% 1% 0% 1% 0% 3% 0% 9%

2% 0% 6% 1% 0% 1% 5% 0% 2% 0% 7% 0% 1% 2% 0% 24% 0% 0% 0% 2% 0% 0% 1% 0% 6% 0% 0% 0% 2% 0% 2% 0% 0% 0% 1% 0% 0% 0% 0% 6% 0% 9%

826 19% 16% 13% 6% 10% 23% 9% 3%

23 9% 13% 13% 4% 13% 22% 17% 9%

169 15% 14% 7% 5% 8% 28% 16% 7%

299 14% 15% 12% 7% 14% 26% 9% 2%

333 25% 19% 17% 6% 8% 18% 5% 2%


Detailed Results

Type of organization: Responses Non-profit Privately held Publicly traded Governmental Academic Other Percentage holding the following certifications: Responses Leading Professional in Ethics & Compliance (LPEC) Certified Public Accountant (CPA) Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional International (CCEP-I) Certified in Healthcare Compliance (CHC) Certified in Healthcare Research Compliance (CHRC) Certified in Healthcare Privacy Compliance (CHPC) Advanced Practitioner in Ethics and Compliance Certification (APEX) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Information Privacy Professional (CIPP) Professional in Human Resources (PHR) Senior Professionals in Human Resources (SPHR) Health Ethics Trust Certified Compliance Professional (CCP) Health Ethics Trust Certified Compliance Executive (CCE) Accredited Healthcare Fraud Investigator (AHFI) Other Highest level of education attained: Responses Some college Bachelor's degree MBA Master's degree (non-MBA) JD PhD

Title/Level

All Respondents

Vice President

Director

Manager


819 18% 25% 43% 5% 6% 2%

23 9% 30% 57% 0% 0% 4%

169 13% 26% 51% 3% 3% 4%

298 15% 25% 47% 3% 7% 2%

328 23% 25% 35% 8% 8% 2%

833

23

172

301

335

0% 4%

0% 22%

1% 5%

0% 5%

0% 2%

26%

26%

28%

28%

22%

4% 12%

9% 4%

2% 16%

5% 13%

3% 9%

1%

0%

2%

1%

1%

2%

4%

3%

2%

1%

0% 4% 3%

0% 0% 9%

1% 6% 4%

0% 3% 4%

0% 3% 3%

2% 1%

13% 0%

6% 1%

1% 1%

0% 1%

0%

0%

1%

0%

0%

0%

0%

0%

1%

0%

0%

0%

0%

0%

0%

0% 18%

0% 17%

1% 17%

0% 18%

0% 18%

827 11% 38% 12% 19% 18% 1%

23 9% 17% 9% 9% 57% 0%

172 3% 32% 16% 20% 26% 3%

300 8% 36% 17% 21% 17% 1%

331 18% 45% 6% 18% 13% 1%


Detailed Results

Amount of bonus eligible: Responses None 0-10% of salary 11%-20% of salary 21%-30% of salary 31%-40% of salary 41% or more of salary Do you have a contract? Responses Yes No If "yes," do you have a severance clause in your contract? Responses Yes No If "yes," what percent of your salary is it equivalent to? Responses Average Median 25th percentile 75th percentile

Title/Level

All Respondents

Vice President

Director

Manager


806 29% 29% 26% 10% 3% 2%

23 0% 30% 26% 26% 13% 4%

167 17% 7% 33% 29% 8% 7%

296 27% 29% 34% 6% 3% 1%

318 40% 42% 16% 2% 0% 1%

824 14% 86%

23 4% 96%

169 12% 88%

300 16% 84%

330 13% 87%

784 4% 96%

21 0% 100%

161 6% 94%

284 5% 95%

317 3% 97%

6.0 20.8% 17.5% 8.5% 28.8%

0.0 * * * *

1.0 * * * *

4.0 * * * *

1.0 * * * *

I


Detailed Results

By Annual Compliance Budget

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50

Are your compliance responsibilities: Responses Broad, covering a range of compliancerelated risks Focused on a particular risk area

340

204

112

102

74

86% 13%

80% 20%

81% 19%

68% 30%

72% 26%

If focused, which legal and regulatory risk areas are you primarily focused on? Responses Privacy IT Occupational health and safety Other

41 32% 10% 0% 59%

34 26% 3% 3% 68%

19 26% 5% 0% 68%

28 21% 0% 4% 75%

18 6% 0% 0% 94%

Percentage indicating the elements of the compliance program that they are primarily involved in: Responses Compliance/auditing/monitoring Compliance education Compliance investigations Hot line/anonymous reporting Reporting to the board Compliance risk assessments Compliance discipline/incentives Code of conduct Policies and procedures Measuring program effectiveness

338 72% 82% 66% 48% 31% 64% 35% 60% 87% 55%

203 75% 76% 60% 40% 30% 65% 25% 50% 83% 56%

112 67% 76% 57% 40% 31% 62% 31% 50% 86% 57%

102 71% 56% 52% 32% 28% 59% 24% 30% 71% 49%

74 59% 69% 45% 31% 36% 66% 27% 36% 69% 46%

Which of the following best describes your title or level? Responses Vice President Director Manager Assistant/Specialist

340 2% 20% 35% 44%

203 3% 15% 39% 42%

111 4% 23% 37% 37%

102 3% 29% 28% 39%

74 5% 26% 45% 24%

How many people report up through to you? Responses 0 1-2 3-5 6-10 11 or more

340 70% 22% 7% 0% 1%

204 58% 24% 12% 4% 1%

110 51% 12% 19% 13% 5%

102 52% 11% 14% 14% 10%

72 56% 19% 15% 3% 7%

How much of your company's legal and regulatory risk areas would you estimate the compliance department is responsible for managing? Responses 0-25% 26%-50% 51%-75% 76%-100%

333 19% 18% 26% 38%

202 18% 19% 27% 36%

109 17% 27% 29% 28%

99 12% 24% 39% 24%

73 19% 18% 32% 32%


Detailed Results

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50 How many employees, including yourself, are there in the compliance and ethics group you manage? Responses 1 2 to 5 6 to 10 11 to 15 16 to 20 21 to 30 31 to 40 41 to 50 More than 50

340 9% 91% 0% 0% 0% 0% 0% 0% 0%

204 0% 0% 100% 0% 0% 0% 0% 0% 0%

112 0% 0% 0% 51% 49% 0% 0% 0% 0%

102 0% 0% 0% 0% 0% 37% 32% 30% 0%

74 0% 0% 0% 0% 0% 0% 0% 0% 100%

Do you know the budget for your compliance department? Responses Yes No

338 16% 84%

203 15% 85%

112 16% 84%

102 17% 83%

73 7% 93%

Annual compliance budget for the organization as a whole: Responses Average Median 25th percentile 75th percentile

51 $526,644 $335,000 $108,500 $646,844


339 8% 10% 9% 10% 9% 5% 8% 8% 6% 7% 5% 4% 4% 2% 1% 3%

27 $1,125,556 $800,000 $487,500 $1,800,000

16 $2,446,875 $1,950,000 $1,450,000 $3,625,000

202 2% 4% 3% 13% 8% 7% 7% 10% 3% 10% 6% 9% 6% 5% 1% 5%


112 2% 3% 4% 6% 12% 4% 6% 10% 5% 4% 4% 9% 4% 7% 4% 15%

12 $7,806,265 $3,587,588 $2,500,000 $5,450,000

102 2% 1% 2% 0% 1% 6% 5% 19% 8% 9% 8% 4% 8% 7% 4% 18%

3

74 0% 1% 0% 0% 3% 0% 3% 8% 8% 9% 1% 1% 4% 14% 7% 41%

* * * *

Detailed Results

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50

Approximately how many employees work in the portion of your organization that work in compliance for? Responses Less than 100 100 - 249 250 - 499 500 - 999 1,000 - 1,999 2,000 - 2,999 3,000 - 4,999 5,000 - 7,499 7,500 - 9,999 10,000 - 14,999 15,000 - 19,999 20,000 - 29,999 30,000 - 49,999 50,000 - 74,999 75,000 - 99,999 100,000 +

310 25% 11% 12% 0% 8% 3% 7% 8% 5% 7% 4% 2% 3% 2% 2% 1%

175 19% 12% 9% 0% 13% 5% 5% 7% 3% 9% 4% 7% 3% 2% 0% 2%

102 22% 8% 6% 0% 16% 2% 7% 7% 5% 4% 1% 8% 4% 2% 3% 7%

100 16% 5% 5% 0% 7% 8% 7% 18% 5% 6% 2% 2% 7% 6% 1% 5%

71 17% 6% 8% 0% 7% 3% 3% 7% 6% 13% 3% 1% 7% 7% 1% 11%


314 8% 7% 8% 6% 8% 16% 7% 18% 21%

181 8% 6% 6% 4% 9% 8% 8% 17% 34%

103 5% 3% 5% 5% 8% 7% 8% 18% 42%

95 2% 6% 5% 1% 3% 4% 4% 19% 55%

68 1% 0% 1% 0% 0% 4% 3% 13% 76%


313 17% 8% 6% 7% 7% 16% 6% 16% 17%

184 17% 7% 5% 4% 9% 8% 10% 14% 27%

100 14% 6% 3% 5% 7% 9% 8% 16% 32%

93 10% 8% 4% 2% 5% 8% 8% 17% 39%

65 12% 6% 5% 2% 5% 9% 8% 11% 43%


Detailed Results

For how many countries do you work in compliance? Responses 1 2 to 5 6 to 10 11 or more

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50 339 64% 14% 6% 16%

201 65% 12% 6% 17%

112 62% 13% 5% 20%

99 65% 12% 4% 19%

73 56% 16% 5% 22%


339 94% 2% 1% 2% 1% 0% 0%

202 89% 1% 2% 3% 2% 1% 1%

110 90% 1% 2% 6% 1% 0% 0%

101 91% 0% 0% 3% 6% 0% 0%

71 80% 4% 4% 6% 3% 1% 1%

Industry: Responses Accounting/auditing Administrative and support services Advertising/marketing Public relations Aerospace/aviation/defense Agriculture Airlines Architectural services Arts/entertainment/media Automotive/motor vehicles/parts Banking Biotechnical and pharmaceutical Chemical/polymers/fibers Computer hardware Computer services Computer software Construction Consulting services Consumer products Customer service/call center Education/training/library Electronics Energy Engineering Environmental services Finance/economics Financial services Forest products Government/policy Health care provider Higher education Hospitality/tourism Human resources/recruiting Information technology Installation/maintenance/repair

336 1% 1% 0% 0% 3% 1% 0% 0% 1% 1% 0% 1% 1% 0% 1% 1% 1% 2% 1% 0% 4% 0% 5% 1% 0% 0% 6% 0% 2% 0% 8% 0% 1% 3% 0%

198 1% 0% 0% 0% 4% 2% 0% 0% 0% 1% 3% 0% 0% 0% 0% 1% 1% 1% 2% 0% 2% 1% 6% 0% 0% 0% 8% 0% 3% 0% 4% 0% 1% 2% 0%

109 2% 2% 0% 0% 3% 0% 0% 0% 0% 1% 3% 0% 1% 0% 0% 0% 1% 2% 0% 0% 0% 0% 4% 0% 0% 1% 2% 0% 1% 0% 4% 0% 1% 2% 0%

99 2% 2% 0% 0% 2% 0% 0% 0% 0% 0% 1% 4% 0% 0% 0% 1% 0% 0% 0% 0% 1% 0% 1% 0% 0% 1% 7% 0% 2% 0% 6% 0% 0% 1% 0%

74 1% 0% 0% 0% 9% 0% 0% 0% 0% 0% 5% 1% 0% 0% 0% 0% 0% 1% 0% 0% 1% 0% 4% 1% 0% 0% 12% 0% 0% 0% 0% 0% 0% 0% 0%


Detailed Results

Industry: (continued) Insurance Internet/e-commerce Law enforcement/security services Legal Manufacturing and production Military Mining Operations management Personal care and service Pharma/medical device Publishing/printing Purchasing Real estate/mortgage Research & development Restaurant and food service Retail/wholesale Science Sports and recreation/fitness Supply chain/logistics Telecommunications Textiles Tobacco Transportation/warehousing Veterinary services Utilities Waste management services Other

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50 16% 1% 0% 0% 4% 0% 0% 1% 0% 9% 0% 0% 0% 2% 0% 3% 0% 0% 0% 1% 1% 0% 1% 0% 5% 0% 9%

25% 0% 0% 0% 3% 0% 1% 2% 0% 8% 0% 0% 1% 2% 0% 2% 0% 0% 1% 0% 0% 1% 3% 0% 4% 0% 12%

28% 0% 0% 0% 6% 0% 0% 2% 0% 12% 0% 0% 0% 2% 0% 1% 0% 0% 1% 3% 0% 0% 0% 0% 6% 0% 14%

33% 0% 0% 0% 6% 0% 0% 1% 0% 10% 0% 0% 0% 2% 0% 4% 0% 0% 0% 1% 1% 2% 1% 0% 4% 0% 3%

19% 0% 0% 0% 0% 0% 0% 0% 0% 23% 0% 0% 0% 1% 0% 8% 0% 0% 0% 3% 0% 0% 0% 0% 3% 0% 5%

How many years have you worked in the compliance department? Responses 1 2 3 4 5 6 to 10 11 to 15 16 or more

338 24% 16% 15% 7% 8% 21% 8% 1%

202 17% 20% 14% 6% 7% 23% 10% 1%

109 14% 13% 9% 5% 12% 31% 12% 5%

102 16% 16% 14% 10% 11% 21% 10% 4%

74 8% 16% 5% 5% 23% 26% 8% 8%


335 17% 30% 36% 6% 8% 3%

198 17% 30% 39% 5% 7% 2%

111 25% 15% 46% 5% 5% 4%

101 19% 20% 50% 6% 4% 2%

73 7% 14% 75% 1% 1% 1%


Detailed Results

Percentage holding the following certifications: Responses Leading Professional in Ethics & Compliance (LPEC) Certified Public Accountant (CPA) Certified Compliance and Ethics Professional (CCEP) Certified Compliance and Ethics Professional International (CCEP-I) Certified in Healthcare Compliance (CHC) Certified in Healthcare Research Compliance (CHRC) Certified in Healthcare Privacy Compliance (CHPC) Advanced Practitioner in Ethics and Compliance Certification (APEX) Certified Fraud Examiner (CFE) Certified Internal Auditor (CIA) Certified Information Privacy Professional (CIPP) Professional in Human Resources (PHR) Senior Professionals in Human Resources (SPHR) Health Ethics Trust Certified Compliance Professional (CCP) Health Ethics Trust Certified Compliance Executive (CCE) Accredited Healthcare Fraud Investigator (AHFI) Other

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50 340

204

112

102

74

0% 4%

0% 4%

1% 4%

0% 3%

1% 7%

31%

23%

19%

18%

32%

2% 10%

4% 13%

4% 16%

2% 13%

12% 7%

1%

0%

3%

2%

0%

1%

3%

3%

3%

0%

0% 3% 4%

0% 4% 5%

0% 4% 2%

0% 8% 3%

0% 0% 1%

1% 1%

1% 0%

2% 0%

4% 3%

5% 1%

1%

0%

1%

0%

0%

1%

0%

1%

0%

0%

0%

0%

0%

0%

0%

1% 15%

0% 22%

1% 18%

0% 16%

0% 22%


337 14% 39% 8% 18% 20% 1%

203 8% 40% 15% 21% 14% 1%

110 12% 44% 13% 18% 14% 0%

102 7% 33% 15% 17% 25% 3%

74 12% 28% 18% 22% 19% 1%


332 36% 34% 19% 8% 3% 1%

196 28% 31% 30% 8% 2% 2%

108 28% 25% 32% 9% 2% 4%

99 19% 22% 35% 14% 5% 4%

70 17% 20% 30% 20% 6% 7%


336 12% 88%

201 13% 87%

111 19% 81%

102 12% 88%

74 19% 81%


Detailed Results

If "yes," do you have a severance clause in your contract? Responses Yes No If "yes," what percent of your salary is it equivalent to? Responses Average Median 25th percentile 75th percentile

Number of Employees in Compliance and Ethics Group More Than 1 to 5 6 to 10 11 to 20 21 to 50 50 324 2% 98%

191 7% 93%

107 4% 96%

94 5% 95%

67 6% 94%

3.0 * * * *

2.0 * * * *

0.0 * * * *

0.0 * * * *

1.0 * * * *


Become Certified Certified Compliance & Ethics Professional (CCEP)® Certified Compliance & Ethics ProfessionalInternational (CCEP-I)® Certified Compliance & Ethics ProfessionalFellow (CCEP-F)® Set the bar for your compliance team and demonstrate your current skill in the compliance profession Make yourself marketable Increase your value in the workplace and to future employers Showcase your compliance knowledge and experience

A few letters after your name can make a big difference Why do people add JD, MBA, or CPA after their name? They know those initials instantly identify them as experts in their field. Now’s the time to add CCEP, CCEP-I or CCEP-F after your name. Just a few initials will help show your colleagues that what you say isn’t just your opinion, but a product of your expertise as a Certified Compliance and Ethics Professional (CCEP)®, Certified Compliance & Ethics ProfessionalInternational (CCEP-I)®, or Certified Compliance & Ethics Professional-Fellow (CCEP-F)®.

Applying to become certified is likely easier than you think. To learn more about what it takes to earn the CCEP, CCEP-I, or CCEP-F designation, visit compliancecertification.org. And you could soon be joining more than 3,200 professionals who have already earned their CCEP, CCEP-I, or CCEP-F .

Certified Compliance & Ethics Professional

SCCE’S MISSION SCCE exists to champion ethical practice and compliance standards in all organizations and to provide the necessary resources for compliance professionals and others who share these principles.

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