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17 jobs found for

Chief Compliance Officer Jobs in Lodi

Job info
Company
In-House
Experience
Min 6 yrs required
Location
Cherry Hill, NJ
Posted Date
Sep 19, 17
Info Source
Employer
conducts its business in compliance with applicable laws and... working closely with the Chief Executive Officer and team... and state regulatory and compliance matters, including identifying areas... of risk and making suggestions for improvement. Analyzing and summarizing complicated legal documents,... read more
Company
In-House, Confidential
Experience
7-12 yrs required
Location
Manhattan, NY
Posted Date
Sep 22, 17
Info Source
Employer
directly to the Group’s Chief Legal Officer, all serious... running all legal and compliance issues associated with multiple... with 30+ registered representatives.  Compliance  experience/background involving B-Ds and/or... ’40 Act funds is a significant plus, as would be a Series 24... read more
Company
Recruiter
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Aug 03, 17
Info Source
Recruiter
Senior Lawyer- Chief Compliance Officer- Financial Services... reports and two indirect reports. A JD degree is mandatory along with 8+ years of experience. Should have strong Investment Company Act background to focus on a variety of compliance matters for them.... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Aug 28, 17
Info Source
Recruiter
Chief Compliance Officer/Counsel The candidate... must have excellent academic credentials.... read more
Company
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Oct 11, 17
Info Source
Employer
Broker Dealer Chief Compliance Of CCO Mutual... The candidate will oversee compliance for a central distribution... and management of broker-dealer/related compliance programs, specifically: Partnering with... effectively with other affiliated Chief Compliance Officers, executive management... and... to management/business partners. Overseeing compliance monitoring and testing for...... read more
Company
Academic
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
Import and Export Controls Compliance Officer Duties: Reporting to... the University’s Chief Compliance Officer, serves as... the... Trade Sanction regulations (Export Compliance). Consults with University faculty... potential or actual export compliance issues, e.g., whether a... particular research activity is subject... read more
Company
Recruiter
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
Jul 24, 17
Info Source
Recruiter
Privacy Officer The candidate will be... for ensuring the company's compliance with all applicable privacy... implementing privacy risk management, compliance, governance and incident reporting... Reporting to the company's Chief Compliance Officer. Should have... present... experience... in the privacy profession, with... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Aug 21, 17
Info Source
Recruiter
Compliance Attorney The candidate will... rules and regulations. Perform compliance testing utilizing proprietary testing... tools. Development of compliance-related policies and procedures. Must... 5+ years of substantive compliance work, ideally at the... Chief Compliance Officer or General... Counsel... level. Solid experience... read more
Company
Law Firm
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
Global Patent Operations Chief The candidate will be... part of team of attorneys, paralegals and support staff providing a high level of the IP Department Operating Officer (DOO), and has responsibility... decision-making authority to enforce compliance. Work with the Patent...... read more
Company
Law Firm, BCG Attorney Search
Experience
5-18 yrs required
Location
New York City, NY
Posted Date
Sep 03, 17
Info Source
Recruiter
investment adviser and/or broker-dealer compliance experience with respect to... other investment/financial services companies). Chief Compliance Officers (CCOs), General... Counsels,... and senior compliance and legal professionals are... preferred, but the company will also consider non-attorneys who have worked for the SEC... read more
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