Director of Compliance
3 weeks ago
The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. This department is recognized for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.
Based on: San Jose, CA.[on-site, full-time job]
Responsibilities:- - Oversee the U.S. compliance program and manage day-to-day regulatory issues, ensuring alignment with U.S. regulations and SEC requirements.
- - Develop and maintain compliance policies and procedures, including related internal controls, compliance training, and recordkeeping requirements.
- - Monitor regulatory changes and updates, and adjust company policies and procedures accordingly to ensure ongoing compliance.
- - Coordinate with HQ compliance and risk control teams on U.S. compliance and risk management issues.
- - Conduct regular internal audits and risk assessments to ensure adherence to compliance standards.
- - Provide training and guidance to staff on compliance matters and emerging regulations.
- - Maintain the U.S. Compliance Manual, Code of Conduct, and Operation/Investment Policy and Procedures.
- - Review and approve all promotional and marketing materials for compliance with relevant regulations.
- - Prepare and present materials relating to compliance, policies, and procedures for review and discussion by the management team.
Requirements
Qualifications:- - Bachelor's degree from a reputable university in accounting, finance, regulation, public policy, or economics.
- - At least 5 years of experience in compliance or compliance-related roles in the financial industry; experience with VC/PE is a significant plus.
- - Strong attention to detail and good business sense.
- - Self-motivated and proactive with the ability to improve operational and accounting efficiency, multitask, and balance priorities while maintaining high attention to detail.
- - Strong computer skills, including proficiency in MS Office products (Excel, Word, PowerPoint).
- - Top-notch business ethics and ability to maintain positive composure under pressure.
- - Fluent in Mandarin Chinese (oral and written).
- - Must have U.S. work authorization.
Contact info:
email:kelsey.ye@hireio.com
-
Director of Compliance
4 days ago
San Jose, United States Robert Half Full timeCompliance Director | $300K+ | Hybrid/Flex: San Jose, CAAn award winning leader in smart home security that empowers people to seamless integrate home security in their daily lives continues to grow with over 3 million subscribers in 100+ countries. Today, they are looking for a Compliance Director to lead a small team in regulatory compliance, ESG and...
-
Director of Payroll Compliance
4 days ago
San Jose, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Payroll Compliance
4 days ago
San Jose, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Compliance
1 week ago
San Francisco, United States LendingHome Corporation Full timeThe Director of Compliance is an integral role that will assist the company with maintaining and ensuring compliance with Federal and State regulations companywide. The Director of Compliance reports to the Chief Risk Officer. The Director of Complia Compliance, Director, Regulatory, Mortgage, Management
-
Supervisory Compliance Investigator
3 days ago
San Francisco, United States Office Of Federal Contract Compliance Programs Full timeAlso advertised as job #MS-24-PHIL-OFCCP-12416250KG for Current Federal employees with competitive status; Former Federal employees with reinstatement eligibility; those eligible for ICTAP/CTAP within the local commuting area; eligible VEOA veterans; eligible Military Spouses; and eligible employees under the Land and Base Management Act. To be considered...
-
Supervisory Compliance Investigator
4 days ago
San Francisco, California, United States Office Of Federal Contract Compliance Programs Full timeAlso advertised as job #MS-24-PHIL-OFCCP KG for Current Federal employees with competitive status; Former Federal employees with reinstatement eligibility; those eligible for ICTAP/CTAP within the local commuting area; eligible VEOA veterans; eligible Military Spouses; and eligible employees under the Land and Base Management Act. To be considered for each,...
-
Supervisory Compliance Investigator
3 days ago
San Francisco, United States Office Of Federal Contract Compliance Programs Full timeAlso advertised as job #MS-24-PHIL-OFCCP-12413963KG for Current Federal employees with competitive status; Former Federal employees with reinstatement eligibility; those eligible for ICTAP/CTAP within the local commuting area; eligible VEOA veterans; eligible Military Spouses; and eligible employees under the Land and Base Management Act. To be considered...
-
Supervisory Compliance Investigator
4 days ago
San Francisco, California, United States Office Of Federal Contract Compliance Programs Full timeAlso advertised as job #MS-24-PHIL-OFCCP KG for Current Federal employees with competitive status; Former Federal employees with reinstatement eligibility; those eligible for ICTAP/CTAP within the local commuting area; eligible VEOA veterans; eligible Military Spouses; and eligible employees under the Land and Base Management Act. To be considered for each,...
-
Director of Grants and Compliance
3 days ago
San Diego, United States Boys & Girls Clubs of Greater San Diego Full timeJob DescriptionJob DescriptionClubs and school sites (Location may change due to business needs)(Hybrid schedule: Staff members will have the option to work remotely no more than two (2) days in a work week.)DEPARTMENT/PROJECT OVERVIEWThe Boys & Girls Clubs of Greater San Diego (BGCGSD or Clubs) CHANGES LIVES through quality programs and guidance in a safe,...
-
Compliance Specialist
4 days ago
San Diego, California, United States Office Of Federal Contract Compliance Programs Full timeAlso advertised as job #MS-24-PHIL-OFCCP KG for Current Federal employees with competitive status; Former Federal employees with reinstatement eligibility; those eligible for ICTAP/CTAP within the local commuting area; eligible VEOA veterans; eligible Military Spouses; and eligible employees under the Land and Base Management Act. To be considered for each,...
-
Director of Payroll Compliance
3 days ago
San Francisco, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America!*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible...
-
Director of Payroll Compliance
3 days ago
San Francisco, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America!*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible...
-
Director of Payroll Compliance
4 days ago
San Francisco, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Payroll Compliance
4 days ago
San Francisco, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Payroll Compliance
4 days ago
San Francisco, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Payroll Compliance
4 days ago
San Francisco, California, United States Calportland Full timeJob Summary*Please note that this position is located in Summerlin, NV.Relocation assistance is available. Come work for a company that has been around for over 130 years and continues to grow and play a significant role in the building of America*Working out of our Summerlin, Las Vegas Executive offices, the Director of Payroll Compliance is responsible for...
-
Director of Ethics and Compliance
4 days ago
San Antonio, United States Methodist Healthcare San Antonio Full timeDescription This position is incentive eligible. Introduction Are you passionate about the patient experience? At HCA Healthcare, we are committed to caring for patients with purpose and integrity. We care like family! Jump-start your career as a(an) Director of Ethics and Compliance today with Methodist Hospital Metropolitan. Benefits Methodist...
-
Affordable Field Compliance Specialist
1 month ago
San Jose, United States FPI Management Full timeAffordable Field Compliance Specialist - Onsite Full-time Unit Count: 106 Property Name: Rosemary Senior Hourly Pay Range Maximum: 29 Employee Type: Regular Driving/License Required: Yes Hourly Pay Range Minimum: 27 Multifamily Property Management The Field Compliance Specialist (FCS) will be assigned to periodic short-term projects to assist with meeting or...
-
Executive Director, Compliance
3 days ago
San Jacinto, United States NASCO Full timeNASCO Executive Director, Compliance Phoenix , Arizona Apply Now Under general direction, the Executive Director, Compliance will lead and provide oversight and management of Compliance and Privacy functions and serve as the company’s Compliance and Privacy Official. Responsible for overseeing the company’s relationship with our parent’s Enterprise...
-
Director of Compliance
2 months ago
San Francisco, United States Bayview Hunters Point Foundation Full timeJob DescriptionJob DescriptionDescription:Bayview Hunters Point Foundation: Who We Are: Bayview Hunters Point Foundation has been at the heart of social justice for over 50 years, providing support services for predominantly low-income people of color in the Bayview and throughout San Francisco. Our mission is to build a community that is empowered, clean,...