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Compliance Officer Jobs

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SPONSOREDJOB
Job title
Company
Confidential
Experience
Min 3 yrs required
Location
New York City NY, USA
Posted Date
Jun 21,16
Info Source
Employer
aid the Chief Legal officer and the SVP, Assistant... General Counsel with shareholder reports Assist legal and compliance with SEC and FINRA... and review Trustee and officer Questionnaires Perform due diligence Monitor and...... read more
SPONSOREDJOB
Company
The Charles Schwab Corporation...
Experience
10-15 yrs required
Location
Lone Tree CO, USA
Posted Date
Jun 13,16
Info Source
with manager, director and officer level business clients as... adviser to the firm compliance Solutions business line, consisting... Designated Brokerage and firm compliance Technologies. Provide subject matter... expertise to a... read more
Company
In-House
Experience
4-7 yrs required
Location
Green Bay WI, USA
Posted Date
Jun 16, 16
Info Source
Employer
Compliance Officer I Duties: Under... limited direction from Chief Compliance Officer, direct and advise... administratively to the Chief Compliance Officer. In addition, the... compliance officer has functional reporting... of implementing the corporate compliance program in accordance with... established in all applicable compliance procedures. To the extent... compliance... read more
Company
In-House
Experience
4-7 yrs required
Location
Milwaukee WI, USA
Posted Date
Jun 16, 16
Info Source
Employer
Compliance Officer I Duties: Under... limited direction from Chief Compliance Officer, direct and advise... administratively to the Chief Compliance Officer. In addition, the... compliance officer has functional reporting... of implementing the corporate compliance program in accordance with... established in all applicable compliance procedures. To the extent... compliance... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City NY, USA
Posted Date
Jun 10, 16
Info Source
Employer
- Deputy Chief Legal Officer- Us Broker Dealer The... to the business and compliance. Will support the registration... as well as their operating committees, Chief Financial Officer, Treasures, Chief AML Officer,... Chief Risk Officer, Chief... Compliance Officer and Internal Audit....... read more
Company
In-House
Experience
2-4 yrs required
Location
Oakland CA, USA
Posted Date
Jun 25, 16
Info Source
Employer
against claims, to facilitate compliance with applicable statutes/regulations (in... agency's Public Records Act Officer and will perform other... objectives and expected results, compliance with Stark/AKS/FCA requirements, and... agency's Public Records Act Officer, responding to requests for... closely with the Chief Compliance Officer and Privacy Officer...... read more
Company
In-House
Experience
Min 8 yrs required
Location
Purchase NY, USA
Posted Date
Jun 16, 16
Info Source
Employer
legal research and ensuring compliance with applicable regulations and... best practices. Securities Law Compliance AND Disclosure: Assist in... investor presentations to ensure compliance with applicable rules and... Disclosure) and Regulation G compliance. Assist in providing legal... certifications to ensure Sarbanes-Oxley compliance. Assist with Disclosure Committee... compliance... read more
Company
In-House
Experience
5-7 yrs required
Location
Henderson NV, USA
Posted Date
Jun 11, 16
Info Source
Employer
Vice President, Compliance Officer and Associate General... serve as the company’s compliance officer and is responsible... and uphold an effective compliance program. Also fill the... counsel. Lead and supervise compliance team. Design and implement... an effective compliance program, including administering the... compliance... read more
Company
In-House
Experience
5-7 yrs required
Location
Irvine CA, USA
Posted Date
Jun 11, 16
Info Source
Employer
Vice President, Compliance Officer and Associate General... serve as the company’s compliance officer and is responsible... and uphold an effective compliance program. Also fill the... counsel. Lead and supervise compliance team. Design and implement... an effective compliance program, including administering the... compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
Alpharetta GA, USA
Posted Date
Jun 16, 16
Info Source
Employer
as assigned, to facilitate Compliance with evolving legal compliance... obligations. Review and advise... Assist the Chief Regulatory Compliance Officer in gathering information... summarize for Chief Regulatory Compliance Officer review. Prepare, analyze... and review drafts and final copies of legal documents... read more
Company
In-House
Experience
Min 5 yrs required
Location
Alpharetta GA, USA
Posted Date
Jun 16, 16
Info Source
Employer
as assigned, to facilitate compliance with evolving legal compliance... obligations. Review and advise... Assist the Chief Regulatory Compliance Officer in gathering information... summarize for Chief Regulatory Compliance Officer review. Prepare, analyze... and review drafts and final copies of legal documents... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City NY, USA
Posted Date
Jun 09, 16
Info Source
Employer
Advising the Chief Legal Officer, SVP, Global Counsel, Americas,... global clients. Manage company compliance with applicable privacy and... estate. Developing and implementing compliance policies and procedures on... Officer, and US legal and compliance team on special projects... including intellectual property, regulatory compliance, risk management and general...... read more
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