Chief Compliance Officer Jobs
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Search Results - Chief Compliance Officer Jobs
Oak Ridge Financial-Golden Valley (MN)
the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser...
mindmatch.ai -
U.S. Bank-San Francisco
Investment Management Attorney and Chief Compliance Officer page is loaded
Investment Management Attorney and Chief Compliance Officer
Apply locations Milwaukee, WI Charlotte, NC Portland, OR San Francisco, CA Chicago, IL time type Full time...
appcast.io -
Insigneo-Miami
The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program and plan of the investment adviser designed to promote compliance...
mindmatch.ai -
Compound-San Francisco
delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.
We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play...
appcast.io -
Fidelity TalentSource LLC-Boston
success working collaboratively across various teams, including Legal, Operations, Risk and Audit
• An ability to quickly synthesize information, make decisions and respond to shifts in priorities.
The Team
The Chief Compliance Officer for Fidelity...
mindmatch.ai -
State Street Corporation-Boston
As Chief Compliance Officer you will Continue to improve and build upon a strong global compliance program in support of the fourth largest asset management firm in the world that keeps pace with applicable global regulations, including oversight...
efinancialcareers.com -
Fanning Personnel-Boston
A dynamic and growing SEC registered investment adviser with approximately $7 billion in regulatory assets under management, is currently seeking a highly focused and experienced Chief Compliance Officer (CCO). This position will lead the Compliance...
appcast.io -
Guardant Health-Palo Alto (CA)
responsibilities serving as a legal counsel overseeing day-to-day contract matters and as a compliance advisor to stakeholders within the Screening Division. The position will work closely with the Chief Compliance Officer, the Privacy Officer, and a lean...
resume-library.com -
Rutherford Search-Boston
Our Client
A global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Investments division in Boston.
This business unit has grown significantly in recent years and as a result...
appcast.io -
4Thought Financial Group, Inc.-Syosset
/in-person format, with a potential career path to be groomed to ultimately become the firm’s Chief Operations Officer and/or Chief Compliance Officer. The optimal candidate will be self-driven with an intense focus on attention to detail, expediency...
mindmatch.ai -
Forge Global, Inc.-San Francisco
The Role:
We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the San Francisco Bay Area. This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head...
appcast.io -
Ampcus Incorporated-Los Angeles
FTEs. The EA would support the Chief Compliance Officer , the Chief Privacy Officer, and the Deputy Chief Compliance Officer (currently vacant).
The EA position has been vacant for several years so the position s job description and scope may...
resume-library.com -
1 similar job: Santa Monica
Lateral Link-Toledo
Our client, a leading public healthcare investment and management company, is seeking a Chief Compliance Officer.
This role involves overseeing all compliance aspects, including healthcare, corporate, and privacy, ensuring strict adherence...
mindmatch.ai -
Phaxis LLC-New York
Assist in compiling necessary information for regulatory reviews, audits, and other examinations.
Manage the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports.
Interface with technology...
resume-library.com -
Compu-Vision Consulting Inc.-Santa Monica (CA)
Overall quality of work products will be evaluated by immediate supervisor(s). The Chief Compliance Officer may review all work products prior to distribution
and/or presentation to Enterprise/Department/Division or leadership.
DEPARTMENT OPERATIONAL...
resume-library.com -
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