Regulatory Compliance Officer

Job SummaryOxford Financial Group, Ltd. is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance program and ensure adherence to regulatory requirements.Key ResponsibilitiesDevelop and oversee the compliance program, including annual risk assessments and compliance reportsOversee the correction of compliance matters,...

Job SummaryWe are seeking a seasoned Chief Compliance Officer to lead our compliance function at Aspen Standard Wealth. This role requires a strategic thinker with hands-on execution skills, who can design, establish, and implement a robust compliance program.Key ResponsibilitiesCompliance Program Development: Design and implement a comprehensive compliance...

Regulatory Compliance AnalystLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a...

Regulatory Compliance AnalystLocation: 100% Remote – Operating on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As the organization expands, we are seeking a Regulatory...

Exciting Opportunity in a Thriving IndustryAbout the Company:Jobot is a leading player in the Gaming and Cannabis sectors, seeking a talented Regulatory Compliance Specialist to enhance our dedicated team.Position: Regulatory Compliance SpecialistLocation: Chicago, ILRole Overview:We are on the lookout for a proactive Regulatory Compliance Specialist with a...

About the RoleWe are seeking a seasoned Compliance Leader to join our team at Ascendo Resources. As a key member of our organization, you will play a critical role in ensuring our compliance with regulatory standards and industry best practices.Key ResponsibilitiesRegulatory Compliance: Develop and implement effective compliance programs to ensure adherence...

About the Role:We are seeking a highly skilled and experienced Regulatory Compliance Manager to lead our AML and Sanctions programs. As a key member of our team, you will be responsible for ensuring the effectiveness and reliability of our AML and Sanctions programs, and for providing expert advice and insights on compliance and internal audit best...

Job DescriptionDaubert Chemical Co. Inc. is a leading specialty chemical manufacturer seeking a highly skilled Regulatory Compliance Specialist to ensure global compliance with regulations and standards. The ideal candidate will have a strong background in regulatory affairs and a proven track record of ensuring compliance with international, national, and...

Job OverviewAbout Interactive BrokersThis position offers a hybrid work arrangement (three days in the office and two days remote).Interactive Brokers Group has a rich history of pioneering advancements in trading technology, beginning with the launch of the first handheld computer for trading in 1983. We take pride in our identity as a technology-driven...

Job Title: Compliance Associate (Investment Advisory & ERISA)Location: RemoteJob Overview:We are looking for a meticulous Compliance Associate to bolster our investment advisory division, ensuring adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a background in investment advisory, coupled with a...

Job Title: Compliance Advisor (Investment Advisory & ERISA, RIA)Location: Chicago, IL or Petersburg, FLPosition Overview:We are looking for a meticulous Compliance Advisor to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those set forth by the SEC and ERISA. The successful candidate will possess a...

Job OverviewCompany BackgroundDeerpath Capital is a prominent direct lending firm that specializes in providing first lien senior debt financing to middle market enterprises. The firm is dedicated to supplying debt capital for acquisitions, refinancings, ownership transitions, and growth capital to companies within the U.S. lower middle market. With...

Position Title: Compliance Associate (Investment Advisory & ERISA)Location: RemotePosition Overview:We are looking for a meticulous Compliance Associate to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a robust background in the investment...

Key Responsibilities:As a pivotal member of M1 Holdings Inc., you will contribute significantly to our compliance framework. Reporting directly to the Head of Compliance, your role will involve assisting business units in understanding and adhering to the regulatory environment. Moreover, you will have the chance to collaborate with various teams across the...

Exciting Opportunity with a Leading Gaming and Cannabis CompanyCompany Overview:We are a prominent player in the gaming and cannabis sectors, seeking a talented Regulatory Compliance Specialist to enhance our team in Chicago, IL.Position: Regulatory Compliance SpecialistLocation: Chicago, ILRole Overview:We are on the lookout for a proactive Regulatory...

Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy.Job...

About M1 Holdings Inc.:M1 is dedicated to assisting clients in managing and safeguarding their financial assets, both in the short term and for the future. Our innovative platform enables users to invest, borrow, spend, and save seamlessly, utilizing automation to enhance each user's personalized financial strategy.With hundreds of thousands of clients...

We are seeking a Regulatory Affairs Associate in the Biotechnology and Medical Devices sector.Position Overview: The primary responsibility of this role involves managing the submission of essential applications and overseeing all communications with governmental bodies related to the regulatory approval process for products that necessitate such...

Job OverviewHarrison Gray Search & Consulting is collaborating with a distinguished investment management firm to identify a new member for their Compliance team.The Legal and Compliance division is tasked with providing thorough legal, regulatory, and compliance services and solutions to the organization and its subsidiaries. This position is situated...

Position OverviewHarrison Gray Search & Consulting is collaborating with a distinguished investment management firm to identify a key addition to their Compliance division.The Legal and Compliance department is tasked with providing thorough legal, regulatory, and compliance support to our organization and its affiliates. This position is situated within the...