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...

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...

Description: The VP, Compliance Officer is primarily responsible for administering monitoring programs under the Company's compliance management system to assist in managing compliance risk across the organization, monitoring the performance of the compliance program, and recommending appropriate steps to improve its effectiveness. In particular, the...

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...

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...

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...

About the BusinessCoolabah Capital Investments (CCI) is a global absolute return fixed-income firm managing over USD $8 billion of assets. CCI focuses on generating alpha from long and short security-specific investments. This is facilitated through quantitative proprietary modelling combined with fundamental credit research. The team includes 45+ talented,...

Our life science client in Maryland is looking to add a Compliance Privacy Officer (Associate Director) to their Legal team! This role will work collaboratively with a global network of privacy professionals and cross-functionally with other functions, including Commercial, Legal, IT, HR, and R&D, to continue to build and mature the company's privacy...

Immediate need for a talented Senior Export Compliance Officer. This is a 06+months contract opportunity with long-term potential and is located in Charlotte NC (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-47023Pay Range: $35 - $38/hour. Employee benefits include, but are not limited to, health...

About the RoleThe Johns Hopkins University Applied Physics Laboratory (APL) is seeking an experienced International Trade Compliance Program Manager to join our team. As a key member of our compliance team, you will be responsible for ensuring that our organization's international trade activities are conducted in compliance with all relevant laws and...

Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...