Chief Compliance Officer Jobs

RIA Chief Compliance Officer Location: Arizona
Summary: Responsible for Compliance and Operations for an SEC Registered Investment Advisory Firm, headquartered in Scottsdale, Arizona.Operational Responsibilities:· Oversight of operations including Technology, Compliance and Operations for an RIA.·
Membership Required - Sign up here
Chief Compliance Officer- Broker Dealer Location: New York
Summary: Series 24 Must have prior experience working in the US subsidiary of a foreign institution and have demonstrated proficiency in international stakeholder management Must have fixed income product knowledge Must be able to work independently
Membership Required - Sign up here
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
Membership Required - Sign up here
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
Membership Required - Sign up here
General Counsel Chief Compliance Officer Location: Pennsylvania
Summary: Responsible for all legal aspects of contracting and business operations and serves as a legal and strategic advisor to Coordinated Healths leadership team. Additionally, the General Counsel will be responsible for the management of Coordinated
Membership Required - Sign up here
CHIEF COMPLIANCE OFFICER/RISK MANAGER Location: New York
Summary: NATIONAL HEALTH CARE ASSOCIATES A PREMIER PROVIDER OF LONG TERM CARE HEALTH SERVICES OPERATING FORTY FACILITIES IN NEW YORK AND NEW ENGLAND IS SEEKING A CHIEF COMPLIANCE OFFICER/RISK MANAGER . THE SUCCESSFUL APPLICANT WILL HAVE AT LEAST 10
Membership Required - Sign up here
RIA Chief Compliance Officer Location: Arizona
Summary: Responsible for Compliance and Operations for an SEC Registered Investment Advisory Firm, headquartered in Scottsdale, Arizona.Operational Responsibilities:· Oversight of operations including Technology, Compliance and Operations for an RIA.·
Membership Required - Sign up here
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
Membership Required - Sign up here
Chief Compliance Officer Location: New York City
Summary: Responsible for management of overall compliance program. Responsibilities: " Draft, update and implement all firm policies and procedures. " Familiar with Broker Dealer applicable regulations Keep management up to date on new and proposed
Membership Required - Sign up here
Chief Compliance Officer Location: New York City
Summary: Responsible for management of overall compliance program. Responsibilities: " Draft, update and implement all firm policies and procedures. " Familiar with Broker Dealer applicable regulations Keep management up to date on new and proposed
Membership Required - Sign up here
Chief Compliance Officer- Broker Dealer Location: New York
Summary: Series 24 Must have prior experience working in the US subsidiary of a foreign institution and have demonstrated proficiency in international stakeholder management Must have fixed income product knowledge Must be able to work independently
Membership Required - Sign up here
NA Chief Compliance Officer Location: New Jersey
Summary: This position will need to work in close cooperation with other OGC units and Global Compliance and will need strong inter-personal and persuasion skills. This individual will report to the General Counsel of North America with matrix reporting
Membership Required - Sign up here
Chief Compliance Officer Location: Miami
Summary: Chief Compliance Officer who will development, maintain and implement the compliance and anti-money laundering programs for their Broker-Dealer and Investment Advisor. You will monitor new regulatory mandates, rules, and requirements, be the
Membership Required - Sign up here
Chief Compliance Officer Location: Boston
Summary: Responsible for our investment adviser compliance program. We are a publicly-traded company and registered with the SEC under the Investment Advisers Act of 1940, with $64B in AUM. The CCO will be a thoughtful, credible and savvy business partner
Membership Required - Sign up here
Chief Compliance Officer Location: Kansas
Summary: Responsible for Financial Planning Services broker/dealer activities with regard to the regulatory compliance program to include facilitating and overseeing the operational and compliance requirements of Financial Planning Services; providing
Membership Required - Sign up here
Chief Compliance Officer Location: New York
Summary: Chief Compliance Officer Our clients mission is to achieve investment management excellence through disciplined and innovative investment strategies. Building on extensive experience in varied and volatile economic and market environments,
Membership Required - Sign up here
Chief Compliance Officer Location: Boston
Summary: The Chief Compliance Officer will be Responsible for ensuring that the Compliance Program is effectively managed for all regulatory affairs (e.g. SEC, FINRA), as well as with reference to the firms internal policies and procedures. Responsibilities
Membership Required - Sign up here
General Counsel/Chief Compliance Officer Location: Pennsylvania
Summary: The General Counsel will be Responsible for all legal aspects of contracting and business operations and serves as a legal and strategic advisor to Coordinated Healths leadership team. Additionally, the General Counsel will be responsible
Membership Required - Sign up here
General Counsel/Chief Compliance Officer Location: Pennsylvania
Summary: The General Counsel will be Responsible for all legal aspects of contracting and business operations and serves as a legal and strategic advisor to Coordinated Healths leadership team. Additionally, the General Counsel will be responsible
Membership Required - Sign up here
VP - Compliance Officer - Risk Management Metrics Location: New York
Summary: Responsible for compiling metrics related to all AML activities, helping to identify root causes, and working with the team to recommend improvements that will drive more effective and efficient AML risk management. While the SVP will report
Membership Required - Sign up here

www.RiteSite.com - home

<< Previous

Next >>