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23 Compliance Advisor, Chief Regulatory Officer Jobs

Compliance Analyst

Edelman Financial Services 11 Reviews Houston, TX

• Drafts Form ADV, Brochures and other SEC Disclosure Documents • Assists firm with Investment Adviser and Broker-Dealer regulatory matters… Edelman Financial Services

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Chief Compliance Officer, Broker Dealer

BMO Financial Group 100+ Reviews Chicago, IL

The Chief Compliance Officer, Broker-Dealers, US PCG Compliance, oversees the US broker-dealer compliance risk management program for BMO s two… Ivy Exec

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Regulatory Compliance Officer

Starpoint Solutions 27 Reviews Boston, MA

The Compliance Officers responsibilities include: • Supporting multiple core complia… PostJobFree

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Chief Compliance Officer

Ascendo Resources Miami, FL

Monitor and assess compliance with regulatory requirements and internal policies and procedures including, but not limited to, email surveillance… Glassdoor

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UMC Chief Compliance Officer

University Medical Center (Lubbock) 10 Reviews Lubbock, TX

The Officer is responsible to: • Provide leadership and guidance in establishing and implementing an effective compliance program that addresses… Glassdoor

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Compliance Analyst

Vista Equity Partners, LLC 3 Reviews San Francisco, CA

Under the direction of the CCO, oversee the monitoring of Vistas employee personal trading, tracking… Monster

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COMPLIANCE MANAGER 6

Wells Fargo 100+ Reviews Saint Louis, MO

This executive will be a member of the Wells Fargo Advisors Operating Committee. Basic Qualifications: 12+ years in compliance, operational risk… Beyond.com

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IA Compliance Officer: Ft. Worth, TX (SMHCA)

Edelman Financial Services 11 Reviews Fort Worth, TX

• Drafts Form ADV, Brochures and other SEC Disclosure Documents • Prepare ongoing risk assessment of the firm (SMHCA) • Implements and… Edelman Financial Services

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Assistant General Counsel -- SEC

SunEdison 43 Reviews Saint Peters, MO

Assist the General Counsel to ensure that the Company conducts its business in compliance with applicable SEC laws and regulations and NYSE rules… Ivy Exec

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Senior Compliance Analyst - Finance and Investment Industry Opportunity

Asset Management Firm New York, NY

The Senior Compliance Analyst will report to the Deputy Chief Compliance Officer of Investment Advisory Compliance for the Advisor Group. She or he… VelvetJobs.com

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Hedge Fund Compliance Officer

WinterWyman 21 Reviews Boston, MA

This position will assist the Compliance Manager and the Chief Compliance Officer in ensuring that all operations and portfolios managed are in… Glassdoor

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Sr. Director Compliance Monitoring Mgr - Finance and Investment Industry Opportu

Financial Services Institution 1 Review San Jose, CA

include: • Manage the annual compliance risk assessment and formulate the annual compliance program based on risk assessment results. • Oversee the… VelvetJobs.com

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Senior Compliance Counsel / Deputy CCO - Finance and Investment Industry Opportu

Global Equity Fund New York, NY

Reporting to the Chief Compliance Officer, the Senior Compliance Counsel / Deputy CCO will be responsible for: Building and maintaining the… VelvetJobs.com

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COMPLIANCE MANAGER 5

Wells Fargo 100+ Reviews Minneapolis, MN

The AML Director builds solid relationships with key business partners to help employ and maintain an effective AML Program… Beyond.com

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Sr. Director Compliance Monitoring Mgr – easy apply

Silicon Valley Bank 100+ Reviews Santa Clara, CA

include: • Manage the annual compliance risk assessment and formulate the annual compliance program based on risk assessment results. • Oversee the… Glassdoor

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