Chief Compliance Officer jobs

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Chief Compliance Officer
Chief Compliance Officer*. The Chief Compliance Officer (CCO) will report to the Chief Legal Officer. Oversight of various compliance duties....
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Chief Compliance Officer
CVPartners Inc - San Francisco, CA
SF based Broker Dealer/Investment Banking firm seeks a Chief Compliance Officer. 7+ years compliance experience at a registered broker dealer....
Vice President of Compliance and Performance Quality Improve...
For additional information, please contact Lois Nesci, Chief Operating Officer, at 413-439-2255 or lnesci@chd.org. S/he ensures compliance with internal,....

AVP Chief Compliance Officer

John Hancock - 209 reviews - Boston, MA
AVP Chief Compliance Officer. Chief Compliance Officer in managing the U.S. Chief Compliance Officer, the AVP and Chief Compliance Officer of John Hancock...

Vice President, Regulatory Management

Fidelity Investments - 2,008 reviews - Boston, MA
The Vice President will be expected to provide compliance expertise and leadership in the development of Asset Management’s response to regulatory changes and...

Senior Compliance Director

AXA - 588 reviews - New York, NY
Serve as backup for Chief Compliance Officer for key compliance related functions including conflict management, portfolio compliance and Board reporting....

Senior Compliance Director

Capital One - 4,745 reviews - Richmond, VA
Senior Compliance Director. The Senior Compliance Director is responsible for managing and evolving the Compliance Program....

Chief Ethics & Compliance Officer

Florida State University - 266 reviews - Tallahassee, FL 32301
Experience conducting and overseeing compliance reviews, and designing processes for high-risk compliance issues and institutional compliance gaps....

Compliance Manager - Multiple Bank Locations Considered

Community Bank System, Inc. - Oneonta, NY
Assists Chief Compliance Officer in developing the annual compliance training and monitoring plans. Through collaboration and coordination with the Chief...

Risk & Compliance Officer

Hudson Headwaters Health Network - 15 reviews - Queensbury, NY
The Compliance Officer ensures that HRSA grant guidelines are adhered to on an ongoing basis as well as other key regulatory authorities including state...
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Chief Executive Officer

State of Colorado Job Opportunities - 174 reviews - Pueblo, CO
$11,000 - $17,000 a month
Understanding of regulatory requirements and management of compliance activities. This announcement is not governed by the selection processes of the classified...

Chief Compliance Officer

Financial Advocates - 6 reviews - Olympia, WA 98502
Administration of RIA Compliance. Establish/revise compliance business goals and monitor business activities to ensure compliance with state and federal...
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Chief Compliance Officer - Nesbitt Burns Securities Limited

BMO Financial Group - 1,370 reviews - Chicago, IL
The Chief Compliance Officer. High-performing compliance officers using effective training, performance. Wealth Management Compliance....
EVP, Chief Compliance Officer
LPL Financial - 273 reviews - Fort Mill, SC 29715
The EVP, Chief Compliance Officer will be located in our Fort Mill, SC office and report to the Deputy Chief Legal & Risk Officer within LPL’s Compliance, Legal...
Chief Compliance Officer
Luxon Financial LLC - Richmond, VA
Chief Compliance Officer Responsibilities*. Chief Compliance Officer Summary Expectations*. The CCO serves on the firm’s Compliance and Legal Committee and...
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