A company is looking for a Senior Compliance Officer specializing in ETFs and SMAs. ...
Chief Compliance Officer (CCO) – SEC-Registered Investment Adviser. Crescat Capital is seeking an experienced and motivated Chief Compliance Officer (CCO) to join our team. Oversee the firm’s compliance program, policies, and procedures to ensure compliance with SEC regulations. Provide ongoing comp...
A company is looking for a Compliance Officer - Fair Lending Governance. ...
Ensures the Credit Union is adhering to the most recent risk and compliance requirements of the NCUA and other regulatory agencies. Recommends policy changes that will facilitate the Credit Union’s compliance program, reduce risk, and reflect related law and regulatory changes. Functions as th...
A company is looking for a Chief Compliance Officer to support its mission of democratizing the AI revolution in a compliant manner. ...
The SVP of Compliance (“SVP”), HUB Retirement and Private Wealth (“RPW”), will be a highly visible, leadership position, reporting directly into Global/Executive Chief Compliance Officer of RPW, working closely with RPW senior leadership to collectively support the growing RPW business. This is a un...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Reporting to the Chief Compliance Officer, this #2 Compliance Officer will work closely with senior leadership in helping ensure organizational wide compliance in consumer and commercial lending. Monitors, researches, and analyzes complex issues relating to governance and compliance including federa...
ACCO68252 – Compliance Officer – South of Denver, CO. Our client is seeking a Compliance Officer for their Colorado Springs, Colorado location. The ideal candidate will have 5 plus years of Compliance management experience. This is a manager position and they will supervise 1 full-time Compliance su...
Review required documentation to ensure quality, completeness and compliance with ICD and/or other applicable regulations (i. Provide guidance to the customer to meet completeness and compliance. ...
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. SVP, Compliance and Risk Officer. Hub Retirement and Private Wealth (“RPW”), will be a highly visible, senior lea...
The Bank Secrecy Act Officer is responsible for developing, implementing, administering, and maintaining all aspects of the Bank Secrecy Act/Anti-Money Laundering Compliance Program which will be designed to ensure a high level of compliance with the BSA/AML related laws and regulations, internal po...
As a Compliance Officer, you will be responsible for ensuring that the company and its employees comply with internal policies and external regulations. You will conduct audits, assess risk, and implement compliance programs to mitigate legal and regulatory risks. Develop and implement compliance po...
Comprehensive health and wellness packages.Internal mobility team dedicated to helping you own your career.Professional growth opportunities including paid education and certifications.Cutting-edge technology you can learn from.Rest and recharge with paid vacation and holidays.The likely salary rang...
USA Rugby – Compliance Officer. The Compliance Officer will be responsible for ensuring that USA Rugby complies with all relevant laws, regulations, and internal policies. Develop and conduct compliance training programs for staff, coaches, referees, and players to ensure awareness and understanding...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
Our client, a leading private real estate lender with a robust team and over $350 million in capital, is seeking a Compliance Officer to ensure adherence to all regulations in their mortgage and investment activities. Compliance Officer Responsibilities:. Compliance Officer Qualifications:. Implemen...
Review required documentation to ensure quality, completeness and compliance with ICD 705 and/or other applicable regulations (i. Provide guidance to the customer to meet completeness and compliance. ...
Primary Purpose of Position : Ensures the Credit Union is adhering to the most recent risk and compliance requirements of the NCUA and other regulatory agencies. Recommends policy changes that will facilitate the Credit Union’s compliance program, reduce risk, and reflect related law and regul...
A company is looking for a Senior IT Compliance Analyst to evaluate IT compliance and support audit functions. ...
A company is looking for a Senior Director, Dual Products Compliance. ...
A company is looking for a Director/Group Product Manager - Licensing, Tax and Compliance. ...
A company is looking for a Senior Director of Compliance to provide operational leadership in compliance and regulatory issues. ...
A company is looking for a Compliance Officer II to manage compliance programs and initiatives in a remote capacity. ...
As a Compliance Audit Specialist, you will conduct compliance audits as part of the compliance audit program of Empower's registered entities as required by rules and regulations, under the guidance of the Chief Compliance Officer. Conduct compliance audits with guidance from more experienced peers....