Compliance Officer

As a Compliance Officer at this growing banking client, you’ll leverage your strong leadership and extensive tenure to guide a dynamic team with a high degree of autonomy. This institution is committed to fostering a collaborative environment where your expertise will drive compliance initiatives, ensuring we meet regulatory standards while supporting our...

As part of the Anthropic security department, the compliance team owns understanding security and AI safety expectations, as established by regulators, customers and (nascent) industry norms (which we also seek to influence). The compliance team uses this understanding to provide direction to internal partners on the priorities of security and safety...

We are currently partnered with a leading Private Equity Firm seeking a detail-oriented Compliance Generalist to join their dynamic team.Compliance Officer Key Responsibilities:Conduct comprehensive reviews of marketing materials to ensure compliance with regulatory requirements and internal policies.Assist in the preparation and submission of regulatory...

Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.The Compliance Officer is responsible for...

LaSalle is seeking a highly skilled and motivated person to join our team as Compliance Officer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely...

Rodgers Brothers Inc d/b/a Monongahela Capital Management (“MCM”) is an investment advisory firm registered with the Securities and Exchange Commission (SEC) seeking a Chief Compliance Officer.MCM is the advisory division of Rodgers Brothers, Inc. and is headquartered just north of Pittsburgh in Harmony, PA with nearly $1b of AUM.For over 39 years we...

LHH is recruiting a Chief Compliance Officer for a regional law firm. The chief compliance officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients in the overall management of the client's compliance program, the application of compliance policies and...

Job details Here’s how the job details align with your profile. Job type Full-time Location Full job description Under the direction of the Chief Compliance Officer, this position is responsible for implementing the Bank's Consumer Compliance Program. If applicable or appropriate, assists in business units' compliance with applicable laws, regulations,...

Compass Point is a premier independent, full-service investment firm providing a wide range of investment banking, research, and sales and trading services to our clients. We serve as an expert advisor and resource to corporate clients and institutional asset managers including mutual funds, hedge funds, and family offices.We are currently seeking a highly...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Company Overview:Join a dynamic, tech-focused hedge fund with approximately $3 billion in assets under management. Known for a forward-thinking approach to technology investments, our firm seeks a dedicated, knowledgeable, and proactive compliance leader to guide the development and implementation of the firm’s compliance function. This is a pivotal role,...

PeopleSolutionsNOW is conducting a confidential search on behalf of a Financial Services Company MUST LIVE IN CHARLOTTE. Four days per week in office | 1 day remote. ONLY APPLICANTS HOLDING AN ACTIVE SERIES 7, 24 & 63 WILL BE CONSIDERED.This position is a great entry point for applicants who are interested in a career in compliance.OverviewThe Associate...

Senior/Lead Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA ExperienceKnowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending,...

RCSA/Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA Experience Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit...

Job Summary:Integrity Wealth, an organization comprising multiple SEC and FINRA registered entities with over $50 billion in combined assets under management, seeks a skilled Chief Compliance Officer (CCO) to join its compliance team. In this role, the CCO will lead compliance efforts for an Integrity Wealth registered entity, reporting directly to the...

FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department including testing and surveillance.Primary ResponsibilitiesImplement policies and procedures of the firmAbility to...

As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life Company’s business operations. You will be responsible for corporate compliance programs, and identifying, monitoring and coordinating company responses to proposed and enacted...

AVP- Compliance and CRA OfficerLocation: Risk and Compliance Department Company Overview:Established in 1895, Bay State Savings Bank is an approximately $500MM, Massachusetts-based mutual Bank. BSSB has six branch locations in central Massachusetts and operates one education branch within a high school. BSSB is the only remaining mutual savings bank...

The Compliance and Ethics Officer (“CO”) is expected to serve as a strong and effective leader and promoter of compliance and ethics at Community Health Group (“CHG”). The CO develops, implements, improves, and oversees an effective compliance program to achieve compliance with the Office of the Inspector General’s (“OIG”) Seven Elements of...

Join YesAbility as a part-time Clinical Compliance & Audit Officer based in Osborne Park, WA. In this key role, you will be responsible for ensuring compliance with relevant legislation, regulations and internal policies to support the delivery of high-quality clinical services. and regulation associated with What you’ll be doing Conduct regular audits of...