Compliance Officer Jobs

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  • Senior Compliance OfficerPiper-Morgan Associates(Houston, Texas)

    Exceptional opportunity to join one of the world’s leading oil & gas exploration and production companies as a Senior Compliance Officer in their downtown Houston, TX based Human Resource office. This role will enjoy a base salary of $85,000 to $95,000, annual bonus to 15%, 10% company 401k contribution, comprehensive health and wellness plans, 3 weeks annual vacation, a 4.5 day work week, and mor...
    Full job description at Monster

    Posted Wed 6th February

  • Research Compliance Officer – Hedge FundCompliance Search Group(New York City, New York)

    Top-tier and long established Hedge Fund seeks a Research Compliance Officer. In this newly created role, the Research Compliance Officer will be responsible, along with other Compliance professionals, for reviewing and overseeing all Research related matters pertaining to investments. The Compliance Officer will ensure that all means of procuring and acting upon information are within the rules a...
    Full job description at Monster

    Posted Thu 7th February

  • Bank Compliance Officer, (AVP)(New York City, New York)

    The primary responsibility of the candidate is the ongoing management and execution of the regulatory compliance testing program. o Ongoing management and execution of compliance monitoring activities on a risk-assessed basis and escalating any exceptions/issues o Assisting in the ongoing development, as well as implementation of a comprehensive compliance program o Assisting in the performance of...
    Full job description at Monster

    Posted Thu 7th February

  • Chief Compliance Officer - Alternative InvestmentsCompliance Search Group(Northern/Duluth, Minnesota)

    Our client, a leading global alternative investment fund manager is currently seeking a Chief Compliance Officer. The ideal candidate will join a successful compliance function and provide global leadership and direction on regulatory compliance and ethical business conduct. Principal Accountabilities • Ensure that each regulated jurisdiction in which has a compliance program in place to meet loca...
    Full job description at Monster

    Posted Mon 11th February

  • Compliance Officer – Brokerage Trading, ClearingCompliance Search Group(Abilene/Odessa, Texas)

    Reporting to Compliance Manager, the role of the Compliance Officer is to support the Compliance Manager with oversight and management of a compliance team and compliance program associated with clearing firm and executing broker businesses. Responsibilities include, but are not limited to, responding to various types of regulatory inquires, and, developing, documenting, maintaining, implementing ...
    Full job description at Monster

    Posted Tue 12th February

  • Bank Testing Compliance OfficerCompliance Search Group(New York City, New York)

    Seeking a Bank Testing Compliance Officer to join a team of Compliance Officers responsible for the reviews of all U.S. banking and broker-dealer activities. This senior position provides exposure to a wide variety of business areas and an opportunity to work on teams. The ideal candidate will lead the planning and review of bank entities, the holding companies, related businesses, and/or support ...
    Full job description at Monster

    Posted Thu 14th February

  • Hedge Fund Compliance OfficerCompliance Search Group(New York City, New York)

    Reporting to the Board of Directors, The Compliance Officer will be responsible for ensuring the company’s activities comply with FSC, and other overseas regulatory obligations. Additionally, the Compliance professional will be expected to develop and maintain strong working relationships internally and externally as required. Specific Responsibilities Include: • Develop policies and procedures to...
    Full job description at Monster

    Posted Fri 15th February

  • RIA Chief Compliance Officer(Phoenix, Arizona)

    RIA Chief Compliance Officer Our firm is a full service RIA distributing its financial services through IAR’s across the United States. We are dedicated to helping Financial Advisors take their business to the next level of profitability and growth. We consult with a network of Independent Marketing Organizations (13), and their agents (8000), on how they can transform into trusted financial advis...
    Full job description at Monster

    Posted Tue 19th February

  • VP - Compliance Officer - Swap DealerCompliance Search Group(New York City, New York)

    The person performing this advisory position will be responsible for implementing and managing the overall compliance program for the NFA registered Swap Dealer entities, and will generally support the designated Chief Compliance Officer for these entities, as a subject matter expert. The ideal candidate will be responsible for developing a robust global CCO Compliance Program for Swap Dealers to ...
    Full job description at Monster

    Posted Wed 20th February

  • Compliance Officer, SrOld National Bank(Evansville, Indiana)

    Old National Bank has an outstanding opportunity for a Senior Compliance Officer in the Risk Department. The Senior Compliance Officer will assist compliance management in maintaining an effective compliance program. The Senior Officer will be a resource and mentor for less experienced compliance staff. This Officer will assist other Compliance Officers in monitoring compliance with laws and regul...
    Full job description at Monster

    Posted Fri 22nd February

  • Mortgage Compliance Officer / Private BankCompliance Search Group(New York City, New York)

    Our client, a global financial services leader seeks a senior level compliance officer to support the Mortgage Division Compliance Head of the Private Bank. The ideal candidate will oversee all compliance activities and affairs of residential mortgage lending. Emphasis will be on regulatory advice relating to the residential mortgage origination and servicing operations, and oversight of third-par...
    Full job description at Monster

    Posted Fri 22nd February

  • Compliance OfficerPmsi(Boston, Massachusetts)

    Compliance OFFICER USAID PROJECTS Afghanistan TYPICAL JOB FUNCTIONS: · Ensure project compliance with Federal Acquisition Regulations and AIDAR, USAID Policies and USAID / Afghanistan mission orders and Implementing Partner’s notices. · Establish standards and procedures to ensure the compliance program effectiveness and efficiency. · Maintain compliance to organizational policies, procedures and ...
    Full job description at Monster

    Posted Mon 25th February

  • Compliance OfficerStratos Wealth Partners(Cleveland, Ohio)

    The Compliance Officer will support the firm's Chief Compliance Officer in developing, implementing, testing and enforcing the firm's compliance program. Responsibilities: · General compliance related responsibilities as a member of the compliance team in support of the firm’s Compliance and Risk programs including the review of accounts for mandate compliance and the review of marketing and adver...
    Full job description at Monster

    Posted Wed 27th February

  • Chief Compliance Officer - International BankCompliance Search Group(New York City, New York)

    The U.S. branch of an international European bank seeks an experienced Chief Compliance Officer. This individual will report to the General Manager and the Head of International Network Compliance (functional report) Responsibilities Responsible for performing compliance risk analysis for a “US Branch of a foreign Bank” activities Research and interpret emerging regulatory items Proactively review...
    Full job description at Monster

    Posted Mon 25th February

  • Compliance OfficerStrasburg Savings Bank(Akron, Ohio)

    COMPLIANCE OFFICER Locally owned community bank in Tuscarawas County is seeking a Compliance Officer for their growing team. Responsible for assessing the adequacy of the control environment across all aspects of the bank's operations. Position would require the interpretation of all bank related regulations and regulatory exams, determining the best way to implement compliance recommendation...
    Full job description at Monster

    Posted Sat 9th March

  • Administrative Compliance & Ethics Assistant, Associate Compliance & Ethics OfficerWaianae Coast Comprehensive Health Center(Hawaii, Hawaii)

    Administrative Compliance & Ethics Assistant The ideal candidate will be experienced in handling a wide range of administrative and executive support related tasks. This person must be well organized, work with minimal supervision, self directed, have the ability to interact with staff of all levels and maintain confidentiality. Strong written and verbal communication and critical thinking skills ...
    Full job description at Monster

    Posted Sun 10th March

  • Deed Restriction/Compliance OfficerMeyerland Community Improvement Association(Houston, Texas)

    Deed Restriction compliance officer and office assistant for the Meyerland Community Improvement Association. Deed Restriction enforcement: 1. Drive: Drive the neighborhood noting violations as you see them. 2. Photo: Photo evidence is important for violations that take more time to cure. 3. Review: discuss violations found with office staff 4. Enter/Upload: Return to the office to upload photos a...
    Full job description at Monster

    Posted Mon 11th March

  • Compliance Officer, Corporate Compliance TestingCompliance Search Group(New York City, New York)

    The Compliance Officer, Corporate Compliance Testing, is responsible for ongoing activities related to the execution of the Corporate Compliance testing program. The Compliance Officer will report directly to the Senior Compliance Officer – Compliance Testing. The Compliance Officer, Corporate Compliance Testing will also: • Assist the Senior Compliance Officer in the execution of a global complia...
    Full job description at Monster

    Posted Mon 11th March

  • Compliance Officer(Houston, Texas)

    Position Summary Our client, with $914 million in assets and located in Houston, Texas, is seeking a Compliance Officer who will be primarily responsible for ensuring that the credit union is in compliance with all state and federal regulations. Reporting to the EVP/Chief Development Officer, this individual will be responsible for reviewing and appraising the adequacy, effectiveness, and proper a...
    Full job description at Monster

    Posted Wed 13th March

  • Chief Compliance Officer(San Diego, California)

    We are currently seeking an experienced Chief Compliance Officer for a retail broker/dealer in Southern California. The CCO will assume primary responsibility for assuring broker/dealer compliance with SEC, FINRA, and state rules/regulations as well as all other federal statutes and trends. The CCO will work in conjunction with the affiliated registered investment advisor’s compliance team. The CC...
    Full job description at Monster

    Posted Thu 14th March

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