Financial Aid Compliance Officer (FT), MFRE13586SFA. Financial Aid Compliance Officer (FT), MFRE13586SFA. Leading with a student-centered focus, this role coordinates and completes financial aid data analysis activities, assessments, and reporting requirements for quality assurance and compliance wi...
Compliance Officer Responsibilities:. Compliance Officer Requirements:. In this role, you will report directly to the Compliance Manager and play a critical part in ensuring their organization adheres to all relevant Federal, State and Agency regulations related to consumer loans, marketing and more...
A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line. Collaborate to ensure Compliance Calendar deadlines...
Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resolve them. ...
The Chief Compliance Officer (CCO) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (Oxford) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (TCO), but is not an officer of TC...
The successful candidate will be the compliance program lead working closely with other employees of the compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance program...
GCM Grosvenor Chicago, Illinois, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. Chief Compliance Officer (CCO) of Broker-Dealer**. As the broker-...
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 uni...
Chief Compliance OfficerLarson Maddox Chicago, United States Posted 3 days ago Hybrid Job Permanent USD175000 - USD225000 per annum. A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ yea...
A rapidly growing Registered Investment Advisor is looking to bring on a new Chief Compliance Officer to their team. The ideal candidate will be someone who has 8+ years of experience working within a RIA, covering a variety of compliance matters and able to help build the framework at the firm. Per...
The CAO role is one of a seasoned multi-disciplinary expert with extensive business and industry knowledge related to risk management and compliance focused on the execution of the Financial Crimes Compliance strategic direction. Under general supervision, the Chief Administrative Officer (“CAO”) is...
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...
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...
Assure that Compliance Program reports are produced for the Chief Executive Officer, Board of Directors, and/ or the Audit and Compliance Committee of the Board of Directors, as directed by the Chief Corporate Compliance Officer. The Compliance Officer is responsible for the ongoing development, imp...
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring th...
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and provi...
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and provi...
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...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
The BSA Compliance Officer supports the Bank Secrecy Act training effort for the Board of Directors, appropriate management, and staff personnel; participates in briefings of management and staff on BSA/AML compliance issues and responds to BSA/AML questions. BSA and Compliance/CRA Officer:. The BSA...
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...
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...
The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford (“TCO”), but is not an officer...
This position is part of the Compliance Program Management team providing direct consumer compliance oversight and support of all marketing and advertising, including marketing efforts of the mortgage lending team. Assist the AVP Regulatory Change Management with oversight of the compliance change c...