Chief Compliance Officer Jobs

CHIEF RISK OFFICER /CHIEF COMPLIANCE OFFICER /VEND Location: Colorado
Summary: Plain Green is hiring for 3 executive level positions based out of Denver, CO. CHIEF RISK OFFICER CHIEF COMPLIANCE OFFICER VENDOR MANAGER All positions close on March 25, 2013. Interested applicants will need to submit an application, resume,
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Chief Compliance Officer, CME Repository Services Location: Illinois
Summary: Responsible for developing, implementing and administering policies and procedures to ensure that CME Global Trade repositories (TRs) are in compliance within the jurisdiction of registered license to operate.   Under CFTC regulations, CMEs
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Chief Compliance Officer Location: Confidential
Summary: Chief Compliance Officer who will be principally responsible for ensuring that the Firm and its employees are in compliance with the laws, rules and regulations by which it is governed. As a federally registered investment advisor, this includes,
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Chief Compliance Officer Location: New York
Summary: Responsible for the development, administration and enforcement of mutual fund and/or exchange traded fund board approved policies and procedures reasonably designed to detect, prevent and correct securities laws violations by the funds and
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Chief Compliance Officer, Investment Management Fi Location: Pennsylvania
Summary:  ·        Development and oversight of policies and procedures that ensure compliance with statutes and regulations ·        Review and approve new account applications, advertising and marketing materials, electronic and written communications,
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Chief Compliance Officer Location: New York
Summary: Chief Compliance Officer is Responsible for developing, implementing and administering all aspects of the Compliance Management Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns
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Chief Compliance Officer Location: New York
Summary: Chief Compliance Officer is Responsible for developing, implementing and administering all aspects of the Compliance Management Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns
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Chief Compliance Officer Location: New York
Summary: Annual updates of Form ADV Assist with preparation of Form PF Liaise with Chief Operating Officer and General Counsel to administer and implement policies and procedures Stay current on regulatory developments in domestic and foreign markets
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Chief Compliance Officer Location: California
Summary: We are currently seeking an experienced Chief Compliance Officer for a retail broker/dealer in Southern California. The CCO will assume primary responsibility for assuring broker/dealer compliance with SEC, FINRA, and state rules/regulations
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Chief Compliance Officer Location: California
Summary: Chief Compliance Officer for a retail broker/dealer in Southern California. The CCO will assume primary responsibility for assuring broker/dealer compliance with SEC, FINRA, and state rules/regulations as well as all other federal statutes
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Chief Compliance Officer Location: Pennsylvania
Summary: Chief Compliance Officer is responsible for the corporate compliance program and functions applied to all Telerx business units, including but not limited to directing and operationalizing the development of compliance policies, procedures
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Chief Compliance Officer Location: Virginia
Summary: Responsible for operating and enhancing a compliance program for a self-clearing broker dealer which services on-line self directed clients, provides a custody platform for servicing clients of registered investment advisors, is a clearing
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Head of Operations/ Chief Compliance Officer Location: New York
Summary: Head of Operations/ Chief Compliance Officer will manage a staff of three and will be responsible for improving trading. We seek a professional with a wide range of experience dealing with issues related to compliance, operations, technology,
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Head of Operations/ Chief Compliance Officer Location: New York
Summary: Head of Operations/ Chief Compliance Officer will manage a staff of three and will be responsible for improving trading. We seek a professional with a wide range of experience dealing with issues related to compliance, operations, technology,
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chief compliance officer Location: New York
Summary: edit, maintain, and add new content to the fsastore.com learning center and aid in the building of this feature on the site to make it a useful tool for fsa and hsa participants and our tpa partners. -advise and develop our hipaa and hitech
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Chief Compliance Officer Location: Florida
Summary: The Chief Compliance Officer (CCO) is responsible for implementing and managing all aspects of the Bank Secrecy Act (BSA), Anti-Money Laundering (AML) and Office of Foreign Asset Control (OFAC) compliance programs in accordance with Bank policies,
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Chief Compliance Officer Location: Philadelphia
Summary: The ideal candidate will have the following: Bachelors degree with a strong academic record. JD, CPA or CFA a plus. 8 plus years of compliance experience, preferably at the SEC, a regulatory consulting firm or another asset manager. Strong
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Chief Compliance Officer Location: Chicago
Summary: Expert in FINRA rules, SEC rules and regulations, and state rules and regulations applicable to broker-dealers. " Superior knowledge of investment banking compliance requirements, secondary market transactions, and wholesale/retail broker-dealer
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Global Chief Compliance Officer Location: San Francisco
Summary: The ideal candidate will be a highly regarded professional in the global compliance community who exemplifies the appropriate
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Chief Compliance Officer Location: Confidential
Summary: This person will manage the Compliance department and the BSA/AML and OFAC compliance programs. Must have Series 63, 7 and 24 licenses and willing to get Series 53 and 4 within first six months of employment. Finance experience or knowledge
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