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Mid Level Compliance Officer Jobs

- 166 jobs
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Job info
Company
In-House
Experience
5-9 yrs required
Location
Philadelphia, PA
Posted Date
Jul 11, 2021
Info Source
Employer
Total Views
9
Chief Compliance Officer Duties: Update policies... procedures as necessary for compliance manual Attend training sessions... conferences in reference to compliance education Handle all audits... groups Effective communication on compliance guidelines to all employees... and as necessary, coordinate compliance activities of other departments... compliance... read more
Company
Recruiter, BCG Attorney Search
Experience
4-9 yrs required
Location
Washington, DC
Posted Date
Aug 03, 2021
Info Source
Recruiter
Total Views
3
Ranked Law Firm seeks mid-level financial service regulatory and... the Broker-Dealer industry as a bond trader, research analyst, compliance officer, or counsel is... preferred, as well as any specialty certifications in securities regulation or as a Certified Anti-Money Laundering Specialist.... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jul 28, 2021
Info Source
Employer
Total Views
5
Advisory Compliance Officer The candidate will... and functional leaders in compliance, legal, risk and other... and advice. Participate in Compliance coverage for the Rates... activities. Draft and review compliance policies and procedures as... various annual reviews including Compliance Risk Assessments and RCSA’s.... compliance... read more
Company
In-House
Experience
5-10 yrs required
Location
Dallas, TX
Posted Date
Jul 22, 2021
Info Source
Employer
Total Views
28
Deputy General Counsel / Compliance Officer - Remote Duties:... Acts as the Deputy Compliance Officer, and plays a... closely with the Chief Compliance Officer and senior management... corporate strategies, policy interpretation, compliance, contractual disputes, litigation, and... policies and regularly monitors compliance. Drafts and solidifies agreements,... Compliance... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jul 18, 2021
Info Source
Employer
Total Views
16
Legal & Compliance - Compliance Officer, Associate... the complex and growing compliance needs of the company... Private Wealth Solutions (PWS) compliance program. Assisting existing team... members in compliance functions including (i) policy... 206(4)-7 and other ongoing compliance program monitoring (vi) supporting... compliance... read more
Company
Academic
Experience
Min 5 yrs required
Location
Springfield, MA
Posted Date
Jul 14, 2021
Info Source
Employer
Total Views
3
Compliance Officer The candidate will... the Chief Human Resources Officer (CHRO). Will coordinate with... and supporting activities of compliance with state and federal... regulations prohibiting discrimination or otherwise designed to assure equitable education and employment environments. A Bachelor’s degree is... read more
Company
In-House
Experience
5-10 yrs required
Location
San Diego, CA
Posted Date
Jul 16, 2021
Info Source
Employer
Total Views
21
Chief Compliance Officer Anywhere in the... charter for the Company’s compliance initiatives which align with... functions of the Company’s Compliance Office. This includes verifying... Associate the significance of compliance objectives amongst Company locations,... staff to ensure overall compliance. Encourage interdepartmental collaboration, communication,... compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
Armonk, NY
Posted Date
Jul 16, 2021
Info Source
Employer
Total Views
12
Attorney, Trust & Compliance Officer The candidate will... are fundamental to the compliance and control program. Developing... are integral to the compliance and control program. Focusing... due diligence, control, and compliance framework or remediation actions.... Will be interacting with senior... read more
Company
In-House
Experience
5-7 yrs required
Location
Weston, MA
Posted Date
Jul 23, 2021
Info Source
Employer
Total Views
28
Compliance Officer Duties: Create and... deliver compliance education (Training and Awareness)... members of the US compliance department in identifying and... prioritizing compliance risks on an ongoing... and through a robust compliance risk assessment process, develop... to avoid or manage compliance risks. Assist with developing... compliance... read more
Company
In-House
Experience
5-10 yrs required
Location
Sioux Falls, SD
Posted Date
Jul 16, 2021
Info Source
Employer
Total Views
8
Chief Compliance Officer The candidate will... (SME) for all Company compliance activities which align to... and new regulations, implementing compliance across the Company processes... well as being a compliance change champion that increases... charter for the Company’s compliance initiatives which align with... Compliance... read more
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