Legal Counsel and Chief Compliance Officer Jobs | Glassdoor

Legal Counsel and Chief Compliance Officer Jobs

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  • 2.6
    Investment Professionals – San Antonio, TX
    Est. Salary $73k-$132k
    15 days ago 15d
    and auditors. Work as liaison to firm’s management and legal counsel to ensure appropriate support if needed for any and all… 10 years’ experience in securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading…
  • 3.4
    M Financial Group – Portland, OR
    Est. Salary $96k-$183k
    18 days ago 18d
    work with legal counsel in dealing with regulatory agencies  Assist with regulatory audits by FINRA, SEC, and state insurance and… Securities in their compliance with applicable policies and procedures  Provide support and direction to compliance staff and work…
  • 3.3
    PAREXEL – Billerica, MA
    Est. Salary $117k-$203k
    2 days ago 2d
    The Vice President, Chief Compliance Officer (VPCCO) will be principally responsible for the development and implementation of… internal reporting, compliance-related investigations, and keeping the General Counsel informed on compliance matters. The VPCCO…
  • 3.2
    Prelude Services – Mechanicsburg, PA
    11 days ago 11d
    and evaluating for progress and compliance for all lines of business. Provide expert counsel on all technology-related matters… Monitors/establishes internal control to ensure continual compliance with all legal and regulatory requirements. Establishes program goals…
  • 3.5
    Marvell Technology – Santa Clara, CA
    Est. Salary $127k-$229k
    7 days ago 7d
    newly created Chief Compliance Officer role should have the following experience: · A minimum of ten years of legal experience… laws and regulations. As part of a legal department, the Chief Compliance Officer will work closely with attorneys and other…
  • 3.9
    Onewire – Houston, TX
    Est. Salary $94k-$198k
    17 days ago 17d
    Responsibilities include legal support of investment / trading team, oversight and execution of existing compliance program, and commercial… network structure and compliance adherence, ensuring employee compliance with Code of Ethics and related compliance policies and procedures…
  • 3.0
    State of Wisconsin – Dane, WI
    5 days ago 5d
    governing WEDC, and managing WEDC’s roster of outside counsel. The Chief Legal Officer oversees staff managing programmatic audits conducted… open Chief Legal Officer position located at our Madison, Wisconsin headquarters. Position Summary: The Chief Legal…
  • 3.6
    San Manuel Indian Bingo & Casino – Highland, CA
    7 days ago 7d
    internal operating data and other information, the Chief Operating Officer, Casino will work closely with the General Manager… management as needed. Focusing on the guest experience, the Chief Operating Officer, Casino will demonstrate and lead a culture of world-class…
  • 2.0
    Opus CMC – Lincolnshire, IL
    EASY APPLY
    Est. Salary $82k-$148k
    28 days ago 28d
    oversight and direct operations of the Compliance Department Identify potential areas of compliance vulnerability and risk Develop… Monitor and coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to…
  • Greenworks Lending – Darien, CT
    25 days ago 25d
    satellite offices in Maryland and Texas. General Counsel and Chief Compliance Officer: This is a senior role on the leadership team… management. Key Qualifications: The General Counsel and Chief Compliance Officer position is ideally suited for a mission-driven…
  • 4.4
    Asheville Specialty Hospital – Asheville, NC
    Est. Salary $71k-$113k
    16 days ago 16d
    performance indicators. Works closely with the CEO and Chief Medical Officer to ensure the Quality and Safety Program is addressing… management reviews as needed, facilitating reports to Chief Executive Officer and Asheville Specialty Hospital Board of Directors…
  • 2.9
    The New York Racing Association, Inc. – Ozone Park, NY
    Est. Salary $125k-$232k
    2 days ago 2d
    The Chief Corporate Compliance Officer is a member of the law department and reports to the SVP, General Counsel, and Chief Administrative… The Chief Corporate Compliance Officer oversees The New York Racing Association, Inc’s. Corporate Compliance Program for corporate…
  • 3.8
    Valdosta State University – Valdosta, GA
    11 days ago 11d
    Classification Information Classification Title Chief Legal Affairs Officer Regular/Temp Regular Full-time/Part-time Full-Time… Position Information Position Title Chief Legal Affairs Officer Job Search Identifier Staff Proposed Salary Commensurate…
  • United States
    18 days ago 18d
    Chief Legal Officer Role. Our client is seeking a dynamic and experienced broker-dealer / distribution attorney to work… securities and insurance products. This person will serve as a Chief Legal Officer for the business’ broker-dealer. The company is seeking…
  • 3.5
    FFF Enterprises – Temecula, CA
    EASY APPLY
    Est. Salary $83k-$159k
    5 days ago 5d
    Chief Compliance Officer Location: Temecula, CA | Kernersville, NC Nature and Scope: The Chief Compliance Officer… direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the General Counsel as needed…
  • 4.1
    FRANKLIN FIRST FINANCIAL – Melville, NY
    Est. Salary $103k-$185k
    30+ days ago 30d+
    for managing company litigation and for overseeing outside counsel in state and federal matters, including corporate, regulatory… processes and for compliance with new state and federal lending laws; • Assist with drafting new compliance standards for retail…
  • 3.3
    ARIA Health – United States
    Est. Salary $95k-$177k
    2 days ago 2d
    The Chief Compliance and Privacy Officer has primary responsibility for the development and maintenance of the compliance program… areas and/or legal counsel. Ensures physician relationships are conducted in compliance with terms of legal agreements and…
  • Landed, Inc. – San Francisco, CA
    26 days ago 26d
    agencies and governing bodies. Other legal. Managing relationship with outside counsel, managing contracts with external vendors… be responsible for a wide set of legal activities including, but not limited to, compliance, partnerships, product development…
  • 3.3
    Janney Montgomery Scott – Philadelphia, PA
    Est. Salary $75k-$137k
    5 days ago 5d
    Investment Advisory Compliance experience, preferably as a Chief Compliance Officer or other Senior Compliance Officer; Bachelor’s Degree… The Investment Advisory Chief Compliance Officer will be responsible for all aspects of the compliance programs and internal controls…
  • 3.6
    San Manuel Indian Bingo & Casino – Highland, CA
    7 days ago 7d
    The Chief Operating Officer, Hospitality (COO, Hospitality) role requires an exceptional leader with demonstrated success at… closely with the General Manager and Tribe’s General Counsel on any legal liabilities or risks, including patron incidents or injuries…
  • The University of Texas Rio Grande Valley – Edinburg, TX
    Est. Salary $57k-$96k
    10 days ago 10d
    other outside counsel), affiliated health systems and the local community. • Ensure that the Chief Legal Officer and, as necessary… Title Deputy Chief Legal Officer, Healthcare Number of Vacancies 1 Location Edinburg, Texas Department Legal Affairs FLSA…
  • United States
    3 days ago 3d
    The Senior Legal Counsel partners with the Chief Legal Officer and other colleagues within and outside the Legal Department to… , and resolves relationship issues. Assists Chief Legal Officer with corporate governance responsibilities, and review…
  • Medsurant Holdings, LLC – West Conshohocken, PA
    Est. Salary $98k-$199k
    20 days ago 20d
    The Chief Compliance and Privacy Officer has primary responsibility for the development and maintenance of the compliance program… areas and/or legal counsel. Ensures physician relationships are conducted in compliance with terms of legal agreements and…
  • 2.5
    DJO Global – Vista, CA
    Est. Salary $73k-$140k
    12 days ago 12d
    outstanding Chief Compliance Officer at our Global Headquarters in Vista, CA. ROLE DESCRIPTION The DJO Chief Compliance Officer is responsible… Privacy Officer and is also responsible for overseeing and managing international compliance efforts to promote compliance with global…
  • 4.4
    Zendesk – San Francisco, CA
    Est. Salary $132k-$197k
    24 days ago 24d
    relationship: The Zendesk Chief Information Security Officer role reports to the Chief Information Officer (CIO). The CISO organization… The Zendesk Chief Information Security Officer (CISO) is responsible for establishing and maintaining an enterprise-wide vision…
  • 3.5
    Prudential – Shelton, CT
    12 days ago 12d
    fill a high profile opening. This attorney will be the Chief Legal Officer of Prudential Annuities Distributors, a registered FINRA… Coordinating with Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the…
  • United States
    2 days ago 2d
    of expertise as General Counsel, Associate General Counsel, Chief Compliance Officer, Chief IP Counsel as well as associates and… Group The PeterSan Group, one of the nation's premier legal search and consulting firms, was founded in 1994 by Sandrea…
  • 3.4
    Vantage West Credit Union – Tucson, AZ
    Est. Salary $133k-$229k
    4 days ago 4d
    assists the Chief Legal Officer in developing and implementing specific strategies and objectives to establish high legal standards… AVP, Legal Counsel City Tucson State AZ Description GENERAL SUMMARY: Responsible for assisting the Chief Legal Officer…
  • 3.1
    SSB BART Group, Inc. – Vienna, VA
    27 days ago 27d
    growing extremely rapidly, and SSB is looking for a Chief Financial Officer (CFO) that can help us capture this growth and expand… $100 mil in revenue. The ideal candidate has been the Chief Financial Officer of a private equity backed software and services company…
  • 2.6
    Gemological Institute of America, Inc. – Carlsbad, CA
    Est. Salary $59k-$108k
    5 days ago 5d
    requirements. The VP & Chief Corporate Compliance and Ethics Officer will also be responsible for: Monitoring compliance with all laws… investigations regarding legal and/or compliance non-conformance, including working directly with outside counsel (in coordination with…
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