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2,860 Regulatory Officer Jobs

General Counsel/Chief Regulatory Officer

Chicago Legal Search, Ltd. 1 Review Chicago, IL

of the position include management of exchange rules and development of procedures, drafting and negotiating legal agreements, budget management… PostJobFree

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REGULATORY COMPLIANCE OFFICER

SKILLFINDER INTERNATIONAL Tecumseh, MO

A global Financial Institution based in Eschborn seeks an REGULATORY COMPLIANCE OFFICER to join their dynamic team.… Jobg8

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Senior Software Engineer - Bloomberg Vault Infrastructure

Bloomberg 100+ Reviews New York, NY

The system provides the tools for real-time compliance checking, policy management, supervision, ingestion, indexing, searching and reporting. These… Bloomberg

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Mgr Medical Staff Services

Fletcher Allen Health Care 37 Reviews Burlington, VT

The Medical Staff Services Manager is responsible for directing activities of the Medical Staff Services (MSS) office including but not limited to… Fletcher Allen Health Care

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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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VP - Capital Markets Regulatory Reporting Compliance

Drum Associates 1 Review New York State

This role will be responsible for advising the Regulatory Reporting Group on all regulatory reporting matters arising from the firm’s US securities… TheLadders.com

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Chief Compliance Officer – new

The Compliance Search Group Dallas, TX

• Review and approve marketing materials including mutual fund and institutional materials • Review registered representative emails and follow up on… TheLadders.com

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Director or Senior Manager - Professional Standards

CohnReznick 96 Reviews Bethesda, MD

include significant involvement with matters relating to the following: • Independence • Questions and answers • Independence monitoring… CohnReznick

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Regulatory Risk Testing Officer

Popular Community Bank 27 Reviews New York, NY

• Analyze banking regulations and prepare practical review steps to test compliance with said regulations within the banks operations in an effective… Popular Community Bank

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Director of Case Management

Cameron Craig Group 2 Reviews Atlanta, GA

Responsible for case management, utilization review, and social services. Reporting to the Chief Financial Officer, the Director of Case… Cameron Craig Group

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Compliance Associate

Bridgewater 100+ Reviews Westport, CT

will likely involve working with the relevant departments to collect information for the filings, auditing the information for accuracy, and… Bridgewater

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Compliance Examiner I

National Futures Association 18 Reviews Chicago, IL

A Compliance Examiner's main responsibility is to support NFA's regulatory programs through exams, investigations and financial surveillance of NFA… National Futures Association

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VP-Risk & Control

Broadridge Financial Solutions, Inc. 100+ Reviews New Jersey

The Vice President – Risk & Control - Process Management manages and develops a comprehensive process for risk management and risk mitigation… Broadridge Financial Solutions, Inc.

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Vice President of U.S. Regulatory Affairs- BioTech – new

AveXis Inc. Dallas, TX

Provide counsel, training and interpretation of FDA requirements to company personnel Provide management and leadership to the organization in the… TheJobNetwork

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Vendor and BCP officer

Vaco Technology San Diego, CA

The position of Vendor and BCP Officer is responsible for ensuring they are properly mitigating risk, adhering to regulatory requirements, and… CareerBuilder

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Chief Quality Officer

Grant Cooper HealthCare New Orleans, LA

The Chief Quality Officer will maintain overall accountability for the strategic vision, long term planning, and direction for system-wide quality… HealtheCareers

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Chief Financial Officer

Phoenix Services LLC Kennett Square, PA

Phoenix Services LLC, the premier slag processing and metal recovery company, is seeking a Chief Financial Officer (CFO) provides both operational… TheLadders.com

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Compliance Officer Regulatory Compliance

Pimco Newport Beach, CA

include, but are not limited to: perform various regulatory compliance monitoring functions involving federal and state securities laws, rules and… Ivy Exec

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Director-Lab Operations

Mercy 67 Reviews Springfield, MO

include: Strategic planning, quality improvement activities, financial performance, human resources management, and compliance with all accreditation… Mercy

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