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28 compliance advisor chief regulatory officer jobs

Deputy Chief Compliance Officer -Investment Advisory Compliance – new

AIG Corp 11 Reviews New York, NY

of the role include: * Managing, training, and supervising Compliance staff on various review and surveillanc… CareerBuilder

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Compliance Officer

Packerland Brokerage Services Green Bay, WI

Packerland Brokerage Services, Inc., a nationally recognized Broker Dealer and Registered Investment Advisor headquartered in Green Bay, Wisconsin… CareerBuilder

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Chief Compliance Officer - Registered Investment Advisor

DM Stone JobsInBrokerage.com San Francisco, CA

Highly successful RIA firm is seeking a CCO to serve on their management team. Will include 1940 Act and institutional accounts. Must have RIA… Net-Temps

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Assistant to the Chief Operating Officer

McQueen, Ball & Associates, Inc. Philadelphia, PA

We are currently seeking an Assistant to the Chief Operating Officer to join our team. This individual will be responsible for providing operational… CareerBuilder

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Chief Compliance Officer

United Benefit Advisors 1 Review Chicago, IL

The successful candidate will have a passion and thorough understanding of all aspects of health plan compliance, and the effects of healthcare… TheLadders.com

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Senior Manager, Investment Management Compliance

Matthews International Capital Management, LLC San Francisco, CA

This position supports the Compliance Program for Matthews and the Matthews Asia Funds (the ?Funds?), which includes to be the lead contact with the… eFinancialCareers

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Chief Compliance Officer - Broker-Dealer

Legal Professional Services Dallas, TX

I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compliance Officer, CCO. This is a top firm in Dallas with… Ivy Exec

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Deputy Chief Compliance Officer -Investment Advisory Compliance – new

AIG 100+ Reviews New York, NY

This position will report to the CCO of Investment Advisory Compliance of the Advisor Group. The Advisor Group, a subsidiary of American… AIG

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Deputy Chief Compliance Officer -Investment Advisory Compliance – new

SunAmerica Affordable Housing Partners 2 Reviews New York, NY

This position will report to the CCO of Investment Advisory Compliance of the Advisor Group. The Advisor Group, a subsidiary of American… SunAmerica Affordable Housing Partners

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Compliance Manager, Funds Compliance

JPMorgan Chase & Co 100+ Reviews New York, NY

will include the following:Compliance due diligence and oversight of multiple Funds sub-advisors;Monitoring and implementation of new regulatory… Ivy Exec

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Co-president and chief compliance officer - securities broker dealer - Finance a

Mariner Holdings 1 Review Leawood, KS

• Work alongside the co-President of MSEC to lead the broker dealer in support of the various firms under Mariner Holdings and ensure compliance with… VelvetJobs.com

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Vice President, Compliance Officer - Finance and Investment Industry Opportunity

Hudson Advisors 32 Reviews Dallas, TX

This position manages Compliance Department programs and projects as assigned by the Chief Compliance Officer (CCO) and Deputy CCO to help Hudson and… VelvetJobs.com

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Regulatory Compliance Officer

Starpoint Solutions 28 Reviews Boston, MA

The Compliance Officers responsibilities include: • Supporting multiple core compliance areas inc… PostJobFree

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Chief Compliance Officer - Broker-Dealer - CCO

Selby Jennings 7 Reviews Roles Inn of America, AZ

The CCO will be responsible for overseeing the regulatory initiatives of the firm, managing compliance risk, developing infrastructure, and providing… Arca24

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Sr Compliance Manager

Bank of America 100+ Reviews New York, NY

will include: Maintaining an Investment Advisor Act Compliance Program;Acting as Chief Compliance Officer of certain Investment Company Act… Ivy Exec

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Assistant to the Chief Operating Officer

McQueen, Ball & Associates, Inc. Bethlehem, PA

We are currently seeking an Assistant to the Chief Operating Officer to join our team. This individual will be responsible for providing operational… CareerBuilder

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