Compliance Officers

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Compliance Specialist - Rate Filing - REMOTE Put your Insurance Experience to work - FROM HOME! At Wahve, we value significant insurance experience and want to revolutionize the way people think about phasing into retirement by offering qualified candidates the opportunity to continue their career working from home. As we say - retire from the...

Deputy Chief Compliance OfficerThe Deputy Chief Compliance Officer role provides support to the Chief Compliance Officer (CCO) in managing the Compliance function within the organization. The Deputy CCO will be responsible for providing guidance and oversight across various aspects of the compliance management program, ensuring that teams are proactively...

Deputy Chief Compliance OfficerThe Deputy Chief Compliance Officer role provides support to the Chief Compliance Officer (CCO) in managing the Compliance function within the organization. The Deputy CCO will be responsible for providing guidance and oversight across various aspects of the compliance management program, ensuring that teams are proactively...

Key Responsibilities: Strategic Compliance Oversight: Develop and implement comprehensive compliance policies and procedures tailored to our unique investment strategies, ensuring adherence to all relevant laws, regulations, and industry best practices. Risk Management Expertise: Assess and mitigate regulatory risks associated with our investment...

Central State Bank has an immediate opening for a Compliance and BSA Officer at our Cedar Rapids location.Our Compliance and BSA Officer is responsible for ensuring compliance with federal and state banking regulations. The Compliance and BSA Officer assists the COO/CRO with the administration and oversight of an effective Compliance Program that is in line...

We have a current opportunity for a Compliance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. Responsibilities: Manage FINRA CRD, including the Firm's BD licenses, individual U-4 registrations, and exchange memberships. Perform routine and daily surveillance reviews involving...

The Advisory Senior Compliance Officer serves as a key subject matter expert in ensuring lines of business compliance with applicable regulatory requirements. This role provides second-line independent oversight and guidance regarding business produc Compliance Officer, Advisor, Dance, Officer, Compliance, Compliance Manager, Banking

Job Description Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in...

Overview of BNY Mellon: BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations, and high-net-worth individuals, providing superior asset management...

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 for testing and reporting of applicable law, rules, regulatory guidance and internal policy requirements As a...

Job Title: Director of Compliance Firm Summary: A SEC-registered investment adviser that employs an event-driven long/short equity investment strategy focused on the biotechnology sector. The firm launched in 2016 and invests in both the public and private markets on behalf of hedge funds and separate account clients. Position Responsibilities: Manage the...

Description SAIC is seeking a top-notch Environmental Compliance Officer to join our talented team in Chantilly, VA. This position is responsible for providing oversite and expertise on environmental matters for the Government customer across all locations globally. To qualify for the role, you must have an active TS/SCI clearance with Polygraph. In this...

**Chief Security Officer** Dallas, TX / Legal Security & Privacy / Full-Time **ABOUT BESTOW** Bestow is the leading digital platform for life insurance. As both a direct-to-consumer destination and an infrastructure provider, Bestow is on a mission to make life insurance accessible to millions of underserved families. We strive for work-life balance and...

PRIMARY FOCUS Compliance: • Implement and maintain the different processes assigned to compliance: Ethics, Anti-bribery, Sanctions, Conflicts of interest, Criminal laws… • Review and mitigate compliance and operational risks. • Raise awareness to all employees regarding the risk associated of non-compliance • Report and escalate any relevant...

Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...

Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...

Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...

Trinity Industries is hiring an IT Governance, Risk, and Compliance Manager in our Dallas, TX office. The IT Governance, Risk, and Compliance (IT GRC) Manager functions within the Information GRC (IGRC) team, reporting to the Senior Director of IGRC within the Information Risk Management organization. The IT GRC Manager will be responsible for the execution...

Job Description Job Description Job Title: IT Governance, Risk and Compliance Analyst (IT GRC Analyst) Position Type: Contract for 6 months. Job Location: 14221 N Dallas Pky, Ste 1100 | Dallas, Texas 75254 (Hybrid: 3 days office 2 days remote ) Description: Our client is seeking an IT Governance, Risk and Compliance Analyst . The IT GRC Analyst designs,...