Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm's compliance and regulatory...

Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm's compliance and regulatory...

This position will directly lead a team of Legal and Compliance professionals, but will also heavily rely on partnership with other Legal and Compliance teams. The Chief Counsel and Chief Compliance O...

The General Counsel and Chief Compliance Officer (GC / CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Within the Business Dep...

The General Counsel and Chief Compliance Officer (GC / CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Within the Business Dep...

The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and gener...

This position is part of the Compliance Program Management team that oversees regulatory change management processes for compliance. Assist the AVP Regulatory Change Management with oversight of the c...

This position is part of the Compliance Program Management team that oversees regulatory change management processes for compliance. Assist the AVP Regulatory Change Management with oversight of the c...

Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant la...

We are seeking an experienced and highly qualified Chief Compliance Officer (CCO) to oversee and ensure the compliance of our broker-dealer operations, particularly in the context of our Alternative T...

We are seeking an experienced and highly qualified Chief Compliance Officer (CCO) to oversee and ensure the compliance of our broker-dealer operations, particularly in the context of our Alternative T...

Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant la...

The Chief Compliance Officer is responsible for managing the firms legal, compliance, and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong ...

Are you an experienced compliance professional with a deep understanding of SEC regulations? Do you have a passion for developing and enhancing Compliance Management Systems (CMS)? If so, this is an o...

The Chief Compliance Officer is responsible for managing the firms legal, compliance, and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong ...

The Chief Compliance Officer is responsible for managing the firm’s legal, compliance, and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong...

The Chief Compliance Officer is responsible for managing the firm’s legal, compliance, and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong...

Futures trading platform located in Chicago looking to bring on a new “Chief Compliance Officer” to join their team. Conducting regular compliance reviews and assessments to identify potential areas o...

Futures trading platform located in Chicago looking to bring on a new “Chief Compliance Officer” to join their team. Conducting regular compliance reviews and assessments to identify potential areas o...

Chief Compliance Officer (Hybrid)- Full Time. Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement. Innovate w...

Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firms compliance and regulatory ...

Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firms compliance and regulatory ...

The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. Provides direction and g...

The Chief Compliance Officer (“CCO”) is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC (“Oxford”) and the commodity pool operator. Oversees the correction ...

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance and Com...

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train...

The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern...

The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern...

Assure that Compliance Program reports are produced for the Chief Executive Officer, Board of Directors, and/ or the Audit and Compliance Committee of the Board of Directors, as directed by the Chief ...

The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Manage Compliance and Leg...

The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. The Senior Compliance Officer will support the Illiquids ...

The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Within the Business Depar...

The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. Monitor b...

The CAO role is one of a seasoned multi-disciplinary expert with extensive business and industry knowledge related to risk management and compliance focused on the execution of the Financial Crimes Co...

The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Responsibilities Compliance Officer/Patient...

The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Responsibilities Compliance Officer/Patient...

The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Compliance Officer/Patient Advocate. This i...

The Compliance Officer oversees all activities related to compliance with federal or state laws and regulations governing the privacy of health information. Compliance Officer/Patient Advocate. This i...

Our bank client is seeking to fill a Hybrid Remote BSA Compliance Officer role in the Minneapolis, MN market. BSA Compliance Officer responsibilities include:. Ensures that Executive management and th...