📑 As the Chief Compliance Officer of Vanguard Global Advisors and Head of Vanguard Fund and Advisor Compliance, this role provides strategic leadership and direction on the design and execution of global compliance activities related to Vanguard's registered products, shareholder accounts, and registered investment advisors. Successful applicants wil ...
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📑 As the Chief Compliance Officer of Vanguard Global Advisors and Head of Vanguard Fund and Advisor Compliance, this role provides strategic leadership and direction on the design and execution of global compliance activities related to Vanguard's registered products, shareholder accounts, ...
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📑 Global multi-strategy hedge fund is looking to hire a Compliance Officer in New York City or Jersey City.This strategic hire will play a key role in running the day-to-day compliance program as they continue to build a best-in-class compliance team.The ideal candidate will have:Strong knowledge of the Investment Advisers Act of 1940 and Investment ...
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📑 Trading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York.This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices.The ideal candidate will have:2-7 y ...
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📑 Alice L. Walton School of Medicine (AWSOM) is seeking experienced, motivated, and dedicated leaders and educators to participate in the design and delivery of an innovative four-year medical school curriculum that engages medical students in active and novel learning. Required Documents to Apply: Applicants should submit the following materials: ...
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📑 DescriptionSUMMARYThe Chief Compliance Officer is responsible for overseeing operational regulatory compliance such as BSA/AML, CRA, lending compliance, and deposit operations compliance for the bank. The Chief Compliance Officer will maintain and update as necessary the Bank’s compliance program to ensure the Bank monitors, self-assesses and maint ...
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📑 We are currently partnered with a leading hedge fund looking to add a Compliance Officer with who will report directly to the Chief Compliance Officer. The ideal candidate has marketing review, regulatory filing, and code of ethics experience.Compliance Officer Responsibilities:Implement and manage compliance programs in line with regulatory obliga ...
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📑 The Company—Anderson Growth Partners, LLCLocated in Charleston, South Carolina and Birmingham, Alabama, Anderson Growth Partners is an SEC-registered multifamily office that provides investment and strategic advisory services for select high net-worth investors.Job DescriptionThe Chief Financial Officer will report directly to AGP’s Managing Partne ...
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📑 Rutherford are partnered with a rapidly expanding global multi-strategy hedge fund ($55bn+ AuM) that are looking to hire into their NY compliance team.Main ResponsibilitiesKey responsibilities for this position will include, but are not limited to:Providing regulatory advice to the investment and trading teamsAssist with researching new compliance ...
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📑 A boutique investment management firm with a strong track record is seeking a Chief Compliance Officer to run its compliance program and partner with the team’s existing outsourced compliance resources. In addition, the individual will be tasked with supporting the investment team in a collaborative culture. The team is seeking someone to handle al ...
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📑 About Northern Trust: Northern Trust, a Fortune company, is a globally recognized, award-winning financial institution that has been in continuous operation since . Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by r ...
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📑 - Targeting 10+yrs exp.- MNPI exp, new marketing rules, fund formation, fund structuring.- Has completed an SEC exam.- Comfortable working on a small team and with outside consultants.- Office located in Orange County, California ...
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📑 Overview of SK CapitalSK Capital is a private investment firm with a disciplined focus on the specialty materials, ingredients, and life sciences sectors. The Firm seeks to build resilient, sustainable, and growing businesses that create substantial long-term economic value. SK Capital aims to utilize its industry, operating, and investment experie ...
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📑 A social services organization in Los Angeles is seeking a Compliance Officer to support their growing team. About the opportunity: Schedule: Monday to Friday Hours: Standard businessSetting: office-based (role is 100% onsite)Responsibilities: The Compliance Officer will: Develop and implement a comprehensive compliance program that encompasses al ...
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📑 Summary: The main function of the Compliance Officer is to support the Compliance team in the delivery of strategic and tactical enhancements of the Group Compliance function, together with ensuring that both internal and external BAU compliance requirements are met.The role will be a key part of the compliance function collectively working to ensu ...
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📑 The compliance officer of the firm assists the CCO in identifying and mitigating potential internal and external conflicts and risks to our organization, maintaining critical compliance infrastructure, and becoming a subject matter expert to compliance rules and regulations related to an SEC-registered investment advisor. The compliance officer wil ...
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📑 The Mission of George Mark Children’s House is to provide an important addition to the continuum of care for children with life-limiting illnesses; enhancing the quality of life for the entire family by offering medical, emotional, spiritual, and respite support in a home-like setting that is full of life and activity regardless of ethnicity, g ...
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📑 Compliance Officer Position at HilltopSecurities HilltopSecurities is currently hiring a Compliance Officer in Dallas, Texas. The Compliance Department at Hilltop Securities, Inc. is responsible for detecting, preventing, and mitigating compliance, regulatory and reputational risk for Hilltop Securities, Inc. The department monitors ...
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📑 Compliance Manager – Montana We have a billion dollar plus bank looking for a Compliance Manager that will be based in one of their Montana locations. This person will manage compliance at the holding company level. This will cover BSA / AML / OFAC. This is a leadership role over the review and implementation of everything pertaining to new and ...
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📑 Job PurposePrimary functionsResponsible for the overall KYC regulatory compliance within MashreqBank - New York branch. Maintain a Customer Identification Program (CIP) for onboarding and existing clients.Perform Customer Due Diligence and Enhanced Due Diligence on new and existing clients.Review of KYC documentation to ensure all necessary require ...
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📑 Under general supervision, supervises defendant’s compliance with court-ordered mandates; appears in court to present or respond to recommendations on sentencing; manages a case load average of 200 to 300 offenders.• Associate degree and two years experience in the judiciary, in a criminal justice position, in counseling, or another human services ...
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📑 ACOK68168 – Compliance Officer – Southwest of Oklahoma City, OKOur client is a community bank that is seeking a Compliance Officer. This individual will manage and be responsible for the bank’s compliance program. They will also be the BSA Officer for the bank. The position will need to ensure the regulations, bank secrecy and CRA requirements a ...
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📑 Coordinate, implement and analyze quality processes that ensure clinical research compliance with regulatory and Quality Assurance standards. Along with ensuring compliance amongst research team members.Compliance Officer role and responsibilities:Supports the development of programs and plans to support quality improvement.Demonstrate proficiency ...
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📑 POSITION SUMMARYThe Compliance Officer is a key partner within our Risk Management team who helps ensure each functional area of the bank operates in compliance with applicable banking laws, regulations, and internal policies. This individual ensures compliance with rules and regulations including but not limited to CRA, ECOA, FHA, TILA, RESPA, FDP ...
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📑 Location: Onsite - Fairfield County, CTCompensation: $200k-$250k base + bonus ($100k-$150k)Responsibilities:The Compliance Officer – Regulated Funds will drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business d ...
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📑 Are you looking for an opportunity to advance your risk management career? Are you ready to work at the largest public pension fund in the United States? Can you build relationships as well as develop and implement innovative solutions? The Compliance & Risk Director position, reporting to the Enterprise Chief Compliance Officer, may be the positio ...
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📑 Are you looking for an opportunity to advance your risk management career? Are you ready to work at the largest public pension fund in the United States? Can you build relationships as well as develop and implement innovative solutions? The Compliance & Risk Director position, reporting to the Enterprise Chief Compliance Officer, may be the positio ...
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📑 ob DescriptionThe Chief Financial Officer (CFO) supervises the strategic direction and operational oversight of the Finance/Accounting Department. The CFO reports directly to the CEO and routinely interacts with the Board of Directors (BOD). This person will play a crucial role in managing the financial health and sustainability of the organization ...
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📑 A Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser.This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).Essential Duties and Responsibilities:Maintain and organize internal compliance books and records.Retain distribution records of client documents evidencing re ...
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📑 Title: Vice President of ComplianceTotal Compensation: $300,000.00 – $400,000.00 (including bonus)Location/Office Policy: Fairfield County, ConnecticutRole Overview: Our client, a specialist asset manager with $7+ billion in assets under management, is seeking a Vice President of Compliance to drive the regulatory compliance function for its regist ...
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📑 Chief Financial Officer / CPA | Kane County Division of TransportationPosted on Jul 18, 2023 and will remain open until filled. Kane County Division of Transportation is conducting a search for a Chief Financial Officer. The Chief Financial Officer Supports the organization’s mission and goals by providing advice on risks to the organizational a ...
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📑 Senior Associate – Fund OperationsPosting Duration: This posting will be up through the middle of April, 2024 unless it is extended to find the right candidate.Position SummaryThe position will help manage the day-to-day operations of Forum Capital Advisors (“FCA”) and its investment offerings. The Associate will assist in overseeing fund operation ...
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📑 Sword Health is on a mission to free two billion people from pain as the world’s first and only end-to-end platform to predict, prevent and treat pain. Delivering a 62% reduction in pain and a 60% reduction in surgery intent, at Sword, we are using technology to save millions for our 2,500+ enterprise clients across three continents. Today, we hold ...
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📑 We are looking for an AV technician to set up and operate media equipment for live events. As an AV technician, you will be responsible for organizing and installing media equipment such as projectors, microphones, video monitors, and sound boards. You may also be required to alter the venue layout to enhance acoustics.Responsibilities: Setup, coor ...
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📑 Job Title - Sr Quality Engineer -Job Location - Massachusetts, United States of AmericaJob Description – Can you please confirm your top 3 skills sets required? Validation Knowledge, Self-Driven, Manufacturing experience. Can you please confirm the 3 main responsibilities/day to day activities required for this role? – work with engineering team t ...
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📑 Job Title - Sr Quality Engineer -Job Location - Massachusetts, United States of AmericaJob Description – Can you please confirm your top 3 skills sets required? Validation Knowledge, Self-Driven, Manufacturing experience. Can you please confirm the 3 main responsibilities/day to day activities required for this role? – work with engineering team t ...
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📑 Chief Compliance Officer Position Title: Chief Compliance OfficerDepartment: OperationLocation: Irvine, CA or Nation WideCompensation: CompetitiveCompany BackgroundGood Hope Investment Services, a subsidiary of CreditEase, is expanding its Wealth Management businesses and seeks to hire a Chief Compliance Officer to for the oversight of all of the ...
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📑 Senior Consultant, Compliance ServicesDepartment: Compliance ServicesEmployment Type: Permanent - Full TimeLocation: United StatesReporting To: Kyrstin RitsemaCompensation: $160,000 - $195,000 / yearDescriptionWhy Confluence?Over the past several years we have undergone a great deal of positive change and growth to become the company we are today. ...
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📑 Overview Ranked among Forbes Best Employers in America 2017, Ferrellgas knows dedicated superior service starts with supported employees.Blue Rhino, a Ferrellgas Company is looking for a Compliance Specialist to join the team! The Compliance Specialist provides excellent customer service while conducting administrativ ...
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📑 Chief Marketing Officer, Managing Director iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services ap ...
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📑 $75 Billion Alternative Asset Manager Seeks a Chief Compliance Officer*Reporting to the Deputy Chief Compliance Officer*Supervising a staff of 4-6 *Work Closely Across all Compliance Groups/Teams*Conduct Reviews Made Under Investment Company Act/Advisers Act and SEC Exemptive Reliefs*Streamline & Improve Compliance Workflow *Oversee Tools and Techn ...
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📑 $75 Billion Alternative Asset Manager Seeks a Chief Compliance Officer*Reporting to the Deputy Chief Compliance Officer*Supervising a staff of 4-6*Work Closely Across all Compliance Groups/Teams*Conduct Reviews Made Under Investment Company Act/Advisers Act and SEC Exemptive Reliefs*Streamline & Improve Compliance Workflow*Oversee Tools and Technol ...
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📑 A bank in Oklahoma is looking to add a BSA Compliance Officer to their team! While reporting to the CFO, you will be responsible for ensuring that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedures. This position will sit hybrid 3 days in Lawton, OK ...
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📑 Company InformationLegend Biotech is a global biotechnology company dedicated to treating, and one day curing, life-threatening diseases. Headquartered in Somerset, New Jersey, we are developing advanced cell therapies across a diverse array of technology platforms, including autologous and allogenic chimeric antigen receptor T-cell and natural kil ...
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📑 A fintech firm located in Orange County, CA who’s looking to bring on board a “Regulatory Compliance Officer” to their team. They are currently growing at a rapid pace and looking for superstars. You do not need fintech experience for this role although it is a plus. They are in office (5 days/week). Responsibilities:• Monitor and test compliance w ...
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📑 The Compliance Officer provides direction and oversight of the Compliance Program and is responsible for identifying and assessing areas of compliance risk for the hospital; communicating the importance of the Compliance Program to senior management and the Board of Managers; preparing and distributing the written Code of Conduct, setting forth the ...
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📑 A newly established and growing fund focusing on global macro strategies ($5bn+ AuM)is looking to introduce a Senior Compliance Officer into their New York team on a 4-5 month contract basis.This individual will report in the CCO, partnering closely with senior management on the continued build out and development of the global compliance framework ...
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📑 Client: Leading Investment Management Firm (IPO)Location: New York City or Dallas - HybridRole / Requirements:Series 7, 24RIA and/or broker-dealer compliance experiencePrevious exposure to RIAs, REIT, mortgages, and similar investment strategies preferredLeadership experience in leading a small team (2)Will oversee ownership of the annual review of ...
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📑 JCW is partnering with a leading investment management firm that's looking to build out their Marketing Compliance team. An ideal candidate will have prior experience reviewing marketing materials for FINRA/SEC compliance and will be FINRA Series 7 certified.Day-to-day you will:Review and approve marketing/advertising materials.Assist with policies ...
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📑 A fintech firm located in Orange County, CA who’s looking to bring on board a “Regulatory Compliance Officer” to their team. They are currently growing at a rapid pace and looking for superstars. You do not need fintech experience for this role although it is a plus. They are in office (5 days/week). Responsibilities:• Monitor and test compliance w ...
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