Boolean search strings for compliance officers: BSA/AML, broker-dealer, adviser, healthcare and corporate seats, and the code enforcement collision

A compliance officer search starts with the rulebook, not the word compliance. A BSA/AML officer at a bank, a chief compliance officer at a broker-dealer or registered investment adviser, a healthcare compliance officer and a corporate ethics and compliance officer answer to different regulators and write different words: "bank secrecy act" and CAMS; FINRA, Series 14 and Series 24; Form ADV; HIPAA and CHC; FCPA and CCEP. The strings that work pair the exact title with that rulebook and exclude the code enforcement, licensing, safety and trade compliance jobs that share the title. As of November 2026, LinkedIn's Boolean search supports capitalized AND, OR and NOT with quotes and parentheses, and no wildcards.

Below are ten strings by rulebook and seat, the public filings that name compliance officers, and what LinkedIn, Indeed and Google support as of November 2026. For the operators themselves, see Boolean search strings for recruiters; for the people who test the same programs from the other side, see Boolean search strings for auditors.

Rulebooks, designations and credentials that change what a compliance officer search finds

• Banks name a BSA officer. 31 CFR 1020.210 requires a bank's anti-money laundering program to include the "designation of an individual or individuals responsible for coordinating and monitoring day-to-day compliance," along with internal controls, independent testing, training and customer due diligence, per the eCFR text as of November 2026. Search for that seat as "BSA officer" and "BSA/AML officer."
• Advisers and funds name a CCO. SEC Rule 206(4)-7(c) requires a registered investment adviser to designate a supervised person responsible for administering its compliance policies. For registered funds, Rule 38a-1(a)(4) requires the fund's board, including a majority of independent directors, to approve the CCO's designation and pay, and the CCO to give the board a written report at least once a year. That makes "board reporting" a useful term for fund CCO searches.
• Broker-dealers name a principal. FINRA Rule 3130 requires each member to identify one or more principals as chief compliance officer on Schedule A of Form BD, and the CEO to certify every year, among other things, that they met the CCO in the preceding 12 months. FINRA describes the Series 14 as the Compliance Officer Qualification Exam for an entry-level principal (110 questions, three hours) and the Series 24 as the General Securities Principal exam, as of November 2026.
• Credentials by specialty. ACAMS awards the CAMS. The ABA's CRCM eligibility page asks for at least three years of U.S. compliance experience plus two qualifying training options, or six years within the last ten. The Compliance Certification Board issues the Certified Compliance & Ethics Professional (CCEP) and, for healthcare, the Certified in Healthcare Compliance (CHC). NSCP says its Certified Securities Compliance Professional program is for experienced financial services compliance professionals and shows holders writing CSCP-BD, CSCP-IA or CSCP-BD/IA, as of November 2026.
• The federal list is broader than you think. O*NET's Compliance Officers (13-1041.00) lists sample titles such as Driver License Examiner, License Examiner and Licensing Analyst, and its Compliance Managers (11-9199.02) lists Compliance Director next to Environmental Health and Safety Director and Risk Manager, as of November 2026. A bare "compliance officer" search returns all of them.

The rule and licensing summaries above are general information as of November 2026, not legal advice; confirm the current requirement with the agency or board.

Ten Boolean strings by rulebook and seat

Swap in the regulator, the products and the metro from your own intake; these are examples. Each one searches on title, rulebook and work, and none should be edited to add a term that stands in for age, sex, race, religion, national origin, disability or veteran status.

Banks and AML

1. BSA/AML officer — LinkedIn general search
("bsa officer" OR "bsa/aml officer" OR "aml compliance officer" OR "aml officer") AND ("bank secrecy act" OR "suspicious activity" OR "customer due diligence") AND (cams OR "risk assessment" OR "independent testing") NOT (recruiter OR "talent acquisition")

2. Consumer compliance officer at a bank or credit union — LinkedIn Recruiter, Keywords filter
("compliance officer" OR "consumer compliance officer" OR "regulatory compliance manager") AND (crcm OR "fair lending" OR hmda OR "regulation z" OR respa) AND (bank OR "credit union") NOT ("loan officer" OR recruiter)

Securities and investment advisers

3. Broker-dealer CCO or compliance principal — LinkedIn general search
("chief compliance officer" OR "compliance principal" OR "compliance officer") AND ("broker-dealer" OR "broker dealer" OR finra) AND ("series 14" OR "series 24" OR "rule 3130") NOT (recruiter OR wholesaler)

4. Investment adviser CCO — LinkedIn Recruiter, Job titles + Keywords filters
("chief compliance officer" OR "deputy chief compliance officer" OR "compliance director") AND ("investment adviser" OR "registered investment adviser" OR ria) AND ("form adv" OR "code of ethics" OR "annual compliance review" OR "mock exam")

5. Outsourced or fractional CCO — LinkedIn general search
("outsourced cco" OR "outsourced chief compliance officer" OR "fractional cco" OR "compliance consultant") AND ("investment adviser" OR ria OR "private fund") AND ("form adv" OR "chief compliance officer")

Healthcare and corporate

6. Healthcare compliance officer — Indeed Smart Sourcing
("compliance officer" OR "healthcare compliance manager" OR "corporate compliance officer") AND skill: (hipaa OR "stark law" OR "anti-kickback" OR "billing compliance") AND (chc OR "certified in healthcare compliance" OR "compliance program")

7. Corporate ethics and compliance officer — LinkedIn general search
("ethics and compliance officer" OR "chief ethics and compliance officer" OR "compliance and ethics manager") AND (fcpa OR "anti-corruption" OR "third-party due diligence" OR hotline OR "code of conduct") AND (ccep OR "compliance program") NOT ("trade compliance" OR "environmental compliance")

Credentials, the next step up and X-ray

8. Credential-first search — LinkedIn Recruiter, Keywords filter
(cams OR "certified anti-money laundering specialist" OR crcm OR ccep OR chc OR cscp) AND ("compliance officer" OR "compliance manager" OR "compliance director") NOT (cnc OR machinist)

9. Senior analyst ready to step up — Indeed Smart Sourcing
("senior compliance analyst" OR "compliance specialist" OR "deputy compliance officer") AND skill: ("compliance testing" OR "compliance monitoring" OR "regulatory change management" OR "risk assessment") AND (bank OR "broker-dealer" OR healthcare)

10. Public profiles by seat and metro — Google X-ray
site:linkedin.com/in "chief compliance officer" "investment adviser" "boston" -jobs -recruiter

The X-ray uses only operators Google documents and reaches public, indexed profiles, which can be months out of date, so treat the results as leads to check. String 8 excludes machining terms because "cams" also appears on CNC and automotive resumes.

What LinkedIn, Indeed and Google actually support

As of November 2026, LinkedIn's Boolean help page requires AND, OR and NOT in capitals, supports quotes and parentheses, evaluates quoted phrases first, then parentheses, NOT, AND and OR, and does not support wildcards, so "regulation z," "reg z" and "truth in lending" are separate terms. LinkedIn Recruiter's Boolean page says stop words such as "and," "or," "the" and "not" are ignored in Keywords, so "ethics and compliance" runs as "ethics compliance" there; put the full title in Job titles, where quoted phrases work, and it warns that too many facets in one query can cause a search result issue.

Indeed's Smart Sourcing guide documents AND, OR, NOT, quotes, parentheses, a skill: field for the skills section and fieldofstudy: for education, which strings 6 and 9 use. Google's search operators page documents quotes, site:, the minus sign, before:, after: and filetype:, but not OR, which is why string 10 has no OR block.

Two public filings help more than any job board for securities seats. Item 1.J of the SEC's Form ADV Part 1A asks every adviser for the name and contact information of its Chief Compliance Officer, and Item 1.J(2) asks for the firm that compensates or employs the CCO when that firm provides CCO services, which marks the outsourced model. The SEC's Form ADV FAQ says members of the public can view an adviser's most recent Form ADV online through the Investment Adviser Public Disclosure site. For broker-dealer staff, FINRA's BrokerCheck reports list a registered person's firms, current registrations and exams.

Narrowing by regulator, program size and seat

The regulator comes first. Ask the client who examines it and which rules the officer will own: BSA/AML and sanctions, consumer lending rules, FINRA and SEC rules, HIPAA and federal health care program rules, anti-corruption, or several at once at a smaller firm. Then put that rulebook in its own AND block. A bank's BSA officer and a broker-dealer CCO rarely swap jobs, and a string that mixes their terms returns both without favoring either.

Program size and seat come next. A chief compliance officer at a small adviser writes the whole program: "built the compliance program," "annual review," "code of ethics," "regulatory exams." A compliance officer inside a large bank writes one slice: "testing," "monitoring," "issues management." Deputies and senior analysts at larger firms are often the realistic pool for a first CCO seat at a smaller one, which is what string 9 is for. LinkedIn's premium search filters page lists Years of Experience and Seniority Level as Recruiter and Sales Navigator filters, as of November 2026; on a basic account, seat words such as "reported to the board" carry that signal.

False positives worth excluding with NOT

• Code enforcement and municipal compliance. "Code compliance officer," "code enforcement," "zoning" and "parking compliance" are local government jobs. Exclude them by full phrase.
• Licensing examiners. As O*NET's sample titles show, driver license and licensing examiners sit in the federal Compliance Officers group. Quoting your exact title usually removes them.
• Safety, environmental and trade compliance. "EHS," "environmental compliance," "safety compliance," "trade compliance" and "export control" are separate specialties. Exclude them unless the client wants them.
• IT and security compliance. SOC 2, ISO 27001 and "IT compliance" profiles are governance, risk and compliance roles; see Boolean search strings for cybersecurity roles for that search.
• Compliance as a verb. "Ensured compliance with policies" appears on nearly every resume. Search quoted titles and rulebook terms, never the bare word.
• Auditors and examiners. Internal auditors and regulators' examiners write the same rules. Some are strong compliance hires, so keep them for a second pass rather than excluding them outright.
• Compliance recruiters. Their profiles list every credential above. Exclude "recruiter" and "talent acquisition."

None of these strings targets or excludes anyone by age, sex, race, religion, national origin, disability or veteran status, and yours should not either; leave out proxies such as graduation years and names.

A worked example: three passes on an investment adviser CCO search

An invented search, shown as it actually gets narrowed.

The title block removed the wrong jobs; the adviser block found the right regulator; the filing showed who actually holds the seat.

What a search cannot verify

A string can find someone who lists the right title, rulebook and credential. It cannot show whether they were the designated officer or a team member, how their last regulatory exam went, or whether a credential is current. Check registrations on BrokerCheck, check the named CCO on Form ADV, ask for credentials and confirm them with the issuing body, and run any background check through the FCRA process. Then use the compliance analyst screening questions, the interview guide for compliance roles, the compliance mindset interview questions and the 30-60-90 day plan for compliance officers to agree on the seat and the first months with the client.