Compliance advisor chief regulatory officer Jobs | Glassdoor

Compliance advisor chief regulatory officer Jobs

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  • 4.6
    FutureAdvisor – San Francisco, CA
    Est. Salary $53k-$85k
    3 days ago 3d
    Counsel on legal and compliance issues. This role will also work with FutureAdvisor’s Chief Compliance Officer and partner with BlackRock… through banks, financial advisors, and other institutional partners. We are seeking a Legal and Compliance Counsel to support the…
  • 3.4
    DWFritz Automation, Inc – Wilsonville, OR
    23 days ago 23d
    Job Title: Chief Financial Officer Location: Wilsonville, OR Department: Executive Job Type: Regular Employee DWFritz… purchases, while ensuring internal controls, tax and regulatory compliance. Drive financial and organizational performance by…
  • 3.4
    M Financial Group – Portland, OR
    Est. Salary $53k-$104k
    22 days ago 22d
    Risk and Compliance Provide support to the Chief Risk& Compliance Officer, providing direction to the firm’s compliance staff and… Familiarity, and preferred background, with the Investment Advisors Act of 1940; Securities Act of 1933 and Investment Company…
  • 3.2
    Edelman Financial Services – Fairfax, VA
    Est. Salary $122k-$213k
    27 days ago 27d
    seeking an experiencedChief Compliance Officer (CCO) for our HQ in Fairfax, VA. The Chief Compliance Officer is responsible for the… best-in-class services to its clients. The Chief Compliance Officer will be responsible for compliance analysis, programs, initiatives,…
  • 3.3
    L.A. Care – Los Angeles, CA
    7 days ago 7d
    and the Chief Compliance Officer on other duties as assigned to support the mission and responsibilities of the Compliance Department… federal regulatory, and accreditation requirements. The Advisor will develop regulatory reports, agendas, minutes and communications…
  • 3.5
    Search Services – Bellaire, TX
    1 days ago 15hr
    Advisory Services organization is seeking to add a Chief Technology officer to their team. The organization has grown exponentially… department heads in trading, operations, compliance and with portfolio managers as an advisor of technologies that may improve their…
  • 3.3
    Columbia Sportswear – Portland, OR
    Est. Salary $75k-$135k
    Today 2hr
    financial reporting and regulatory compliance functions. The CAO reports directly to the Chief Financial Officer, and serves as a strategic… The Vice President, Chief Accounting Officer (CAO) is a critical leadership position that oversees all global accounting…
  • 2.8
    AMERICAN ESOTERIC LABORATORIES – Memphis, TN
    1 days ago 15hr
    join our team in the role of Chief Financial Officer. Position Summary The Chief Financial Officer will report to the President… includes minimum cash threshold to meet operating needs. Be an advisor from the financial perspective on any contracts into which…
  • 3.3
    Summit Strategies – Saint Louis, MO
    Est. Salary $72k-$130k
    3 days ago 3d
    Summit Strategies is looking to hire a Chief Compliance Officer with 5-10+ years of experience in the investment management industry… associated with Company’s regulatory compliance program. • Prepare and submit all required regulatory filings and disclosure documents…
  • 3.8
    Capital One – New York, NY
    Est. Salary $72k-$110k
    Today 10hr
    technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help… tools -Establish and maintain strong relationships with Compliance Advisors and Business Areas -Create and provide Monthly Test…
  • 3.5
    ADP – Florham Park, NJ
    Est. Salary $70k-$104k
    Today 10hr
    Responsibilities Assist the Chief Compliance Officer with all aspects of the Firm's compliance program including but not limited… a Sr. Compliance Analyst. IA Compliance Analyst whose primary responsibilities will be to conduct risk based compliance reviews…
  • 3.1
    Interactive Brokers – Greenwich, CT
    Est. Salary $92k-$150k
    11 days ago 11d
    a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has appropriate… another broker-dealer or FCM • Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 registration…
  • 3.3
    Commerce Bank – Kansas City, MO
    Est. Salary $76k-$136k
    16 days ago 16d
    21466 Chief Compliance Officer - Kansas City (Open) Job Category: Grade 10 -------------------------------------------------… ----------------------------- Job Expectations: Chief Compliance Officer - Kansas City How would you like to work for a great…
  • 3.8
    iCIMS – Matawan, NJ
    2 days ago 2d
    Executive Management team, the Chief Financial Officer will report to the Chairman & Chief Executive Officer and assume a strategic role… appropriate. Accounting & Tax Ensure legal and regulatory compliance regarding all financial functions, including maintenance…
  • 4.1
    City National Bank – New York, NY
    Est. Salary $59k-$88k
    7 days ago 7d
    The position will work with the Chief Compliance Officer and will be responsible for helping to maintain and manage the firm'… experience in a compliance, regulatory, audit or a similar control function. *Minimum 3 years of Compliance experience at a Registered…
  • 3.6
    Jackson National Life – Appleton, WI
    Est. Salary $74k-$131k
    22 days ago 22d
    for a SVP/Chief Compliance Officer (CCO). SII is a full-service broker/dealer serving independent financial advisors nationwide… Laundering (AML) Compliance Officer of SII and ICA with full responsibility for ensuring SII and ICA’s compliance with AML Rules…
  • 3.8
    Capital One – Richmond, VA
    Est. Salary $73k-$110k
    6 days ago 6d
    to change banking for good. Compliance Advisor Manager Enterprise Services Compliance Advisor Manager Enterprise Services… us to think about compliance and risk in a way that helps the business succeed, safely. The Compliance Advisor supporting Enterprise…
  • 3.4
    University of California - Office of the President – Oakland, CA
    Est. Salary $91k-$160k
    7 days ago 7d
    President, Chief Compliance and Audit Officer ("SVP") directs the University of California's systemwide Compliance and Audit programs… Senior Vice President, Chief Compliance and Audit Officer is accountable for leading the systemwide Compliance and Audit functions…
  • 3.4
    Kaufman Financial Group – Farmington Hills, MI
    Est. Salary $94k-$176k
    22 days ago 22d
    engaged on business/governance committees as a trusted advisor on compliance programs and recommend management actions and report… with local legal and regulatory requirements and in coordination with KFG policy • Implement a compliance program that detects…
  • 3.8
    Capital One – Melville, NY
    Today 10hr
    technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help… results -Establish and maintain strong relationships with Compliance Advisors and Business Areas -Assisting in communicating results…
  • 4.1
    Century Group (CA) – United States
    4 days ago 4d
    Chief Financial Officer Our client in the retail industry is looking for a Chief Financial Officer to join their team in… include the following in the subject line: 15288 – Chief Financial Officer.…
  • 3.2
    Texas Dow Employees Credit Union – Lake Jackson, TX
    Est. Salary $120k-$206k
    10 days ago 10d
    TDECU CAREER OPPORTUNITY: VP, Chief Product Officer REPORTS TO: President & Chief Executive Officer WHERE: This position is… Posted On05/15/2017 VP, Chief Product Officer LAKE JACKSON, TX, US Salary Range : Worker…
  • 3.3
    Planned Parenthood Hudson Peconic – United States
    2 days ago 2d
    ************* or ************. THE POSITION The Chief Financial Officer serves as a member of the Senior Management Team and… everyone has access to affordable, quality health care. The Chief Financial Offier joins PPGP at a pivotal point in its 81-year…
  • 2.9
    The Judge Group – Chicago, IL
    30+ days ago 30d+
    Chief Compliance Officer The CCO will be joining the organization to lead compliance efforts at a very exciting time, although… outside counsel and compliance consultant Act as appointed SEC regulatory liaison, managing regulatory audits and exams Assist…
  • 3.5
    The University of Texas Medical Branch – Galveston, TX
    Est. Salary $57k-$87k
    23 days ago 23d
    competencies. The position works with the Chief Nursing & Patient Care Services Officer to ensure the Care Management program is… and practice; monitoring compliance with regulations and ensuring consistent application of regulatory changes at all entities;…
  • 2.6
    Investment Professionals – San Antonio, TX
    Est. Salary $62k-$112k
    13 days ago 13d
    Assess and enhance a retail broker-dealer and investment advisor compliance program, including annual assessment, surveillance and… protection. 10 years relevant experience in compliance, legal and/or regulatory matters in the retail broker-dealer, investment…
  • 3.8
    Capital One – Melville, NY
    Today 9hr
    maintain strong relationships with Compliance Advisors and Business Areas Support ICTT and Compliance audit and exams as needed… technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help…
  • 3.4
    GCP Applied Technologies – Cambridge, MA
    Est. Salary $132k-$178k
    3 days ago 3d
    with corporate legal and the company Chief Compliance Officer, investigate and report compliance deficiencies, questions or complaints… key advisor to the management team and audit committee on improving internal control, reducing risk, and other compliance matters…
  • 4.1
    American Advisors Group – Orange, CA
    Est. Salary $84k-$150k
    22 days ago 22d
    Director, Compliance Officer will be part of our Corporate Risk team, reporting directly to the Chief Risk Officer. The Compliance… Compliance Officer will provide exceptional and innovative leadership for AAG’s Compliance Management System, Compliance Programs,…
  • 3.3
    L.A. Care – Los Angeles, CA
    7 days ago 7d
    and the Chief Compliance Officer on other duties as assigned to support the mission and responsibilities of the Compliance Department… federal regulatory, and accreditation requirements. The Advisor will develop regulatory reports, agendas, minutes and communications…
  • 3.8
    Capital One – Richmond, VA
    Est. Salary $73k-$110k
    5 days ago 5d
    us to think about compliance and risk in a way that helps the business succeed, safely. The Compliance Advisor supporting Enterprise… providing Compliance guidance in a clear, solution oriented and customer-focused manner. The Compliance Advisor Manager will…
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