Chief Compliance Officer Jobs
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Search Results - Chief Compliance Officer Jobs
Oak Ridge Financial-Golden Valley (MN)
the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser...
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U.S. Bank-San Francisco
Investment Management Attorney and Chief Compliance Officer page is loaded
Investment Management Attorney and Chief Compliance Officer
Apply locations Milwaukee, WI Charlotte, NC Portland, OR San Francisco, CA Chicago, IL time type Full time...
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Larson Maddox-Houston
Leading Hedge Fund searching for a GC/CCO
Position Overview: We are seeking a highly skilled and experienced General Counsel / Chief Compliance Officer to join our team. The successful candidate will be responsible for overseeing all legal...
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Compound-San Francisco
delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.
We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play...
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State Street Corporation-Boston
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...
efinancialcareers.com -
Fanning Personnel-Boston
A dynamic and growing SEC registered investment adviser with approximately $7 billion in regulatory assets under management, is currently seeking a highly focused and experienced Chief Compliance Officer (CCO). This position will lead the Compliance...
appcast.io -
Compu-Vision Consulting Inc.-Santa Monica (CA)
compliance; (3) research billing compliance; and (4) privacy. There are currently 22 FTEs in the department, with a budgeted capacity of 31 FTEs. The EA would support the Chief Compliance Officer, the Chief Privacy Officer, and the Deputy Chief Compliance...
resume-library.com -
1 similar job: Los Angeles
Confidential-Boca Raton
This is an onsite position based in Boca Raton, FL. Only local candidates will be considered.
The Director of Legal Policy reports to the Chief Compliance Officer and will be focused on contract review (enterprise wide), policy and procedure review...
mindmatch.ai -
Rutherford Search-Boston
Our Client
A global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Investments division in Boston.
This business unit has grown significantly in recent years and as a result...
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Guardant Health-Palo Alto (CA)
responsibilities serving as a legal counsel overseeing day-to-day contract matters and as a compliance advisor to stakeholders within the Screening Division. The position will work closely with the Chief Compliance Officer, the Privacy Officer, and a lean...
resume-library.com -
Forge Global, Inc.-San Francisco
The Role:
We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the San Francisco Bay Area. This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head...
appcast.io -
IQ-EQ-Dallas
including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities:
Lead engagements for the development, implementation...
resume-library.com -
Community Health Choice-Houston
and develop strategies to mitigate risks. Timely and accurately communicate compliance-related information to operational areas, Director, and Chief Compliance Officer.
Other duties ass assigned.
QUALIFICATIONS:
Education/Specialized Training/Licensure...
mindmatch.ai -
Compu-Vision Consulting Inc.-Santa Monica (CA)
Overall quality of work products will be evaluated by immediate supervisor(s). The Chief Compliance Officer may review all work products prior to distribution
and/or presentation to Enterprise/Department/Division or leadership.
DEPARTMENT OPERATIONAL...
resume-library.com -
Hackman Capital Partners, LLC-Culver City
SUMMARY:
The Senior Paralegal provides administrative support for the Legal Department, specifically the General Counsel, Associate General Counsel and Chief Compliance Officer, and Senior Real Estate Counsel.
RESPONSIBILITIES:
• Prepare first...
mindmatch.ai -
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