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Compliance Officer Jobs

9 matches | 1 - 9 displayed
  1  
date  location  job detail
Jan 30,2016 USA-NY-New York City Global Chief Compliance Officer- Broker Dealer
Global Chief Compliance Officer- Broker Dealer
The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide advisory assistance to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/
Dec 11,2018 USA-NY-New York City Chief Compliance Officer (Based in NY or Boston) - USA-NY-New York City
Looking for senior compliance professional with 10 plus years of experience at a complex organization. Preference for those who have worked at insurance or employee benefits firms. The ideal candidate will have leadership qualities as they will be interfacing with senior management regularly and man
Dec 11,2018 USA-MA-Boston Chief Compliance Officer (Based in NY or Boston) - USA-MA-Boston
Looking for senior compliance professional with 10 plus years of experience at a complex organization. Preference for those who have worked at insurance or employee benefits firms. The ideal candidate will have leadership qualities as they will be interfacing with senior management regularly and man
Aug 07,2018 USA-NY-New York City Chief Compliance Officer (Based in NY or Boston) - USA-NY-New York City
Looking for senior compliance professional with 10 plus years of experience at a complex organization. Preference for those who have worked at insurance or employee benefits firms. The ideal candidate will have leadership qualities as they will be interfacing with senior management regularly and man
Aug 07,2018 USA-MA-Boston Chief Compliance Officer (Based in NY or Boston) - USA-MA-Boston
Looking for senior compliance professional with 10 plus years of experience at a complex organization. Preference for those who have worked at insurance or employee benefits firms. The ideal candidate will have leadership qualities as they will be interfacing with senior management regularly and man
Nov 26,2018 USA-CA-Los Angeles Compliance Officer
The Compliance professional will report to a senior member of the Institutional Compliance team based in Santa Monica and will be primarily responsible for advising on key regulatory issues associated with marketing, distribution and client services' activities worldwide, specifically related to sep
Nov 29,2018 USA-ME-Portland Chief Compliance Officer - USA-ME-Portland
SUMMARY The Chief Compliance Officer is responsible for overseeing and driving the development of the Global Corporate Compliance Program, part of the Legal Department designed to help ensure that Vets First Choice conducts business in accordance with the ethics and values enumerated in our Code of
Dec 01,2018 USA-CA-Universal City Sr Counsel/VP Global Deputy Chief Compliance Officer
Company has an exciting career opportunity for a Vice President position in our Business & Legal Affairs Film Music department in Universal City, California reporting to the Executive Vice President of Business Affairs, Film and Television Music. This position will oversee the day-to-day business an
Dec 16,2018 USA-NY- Vp compliance officer - testing markets
Compliance Controls Testing team, a part of the Compliance Department, conducts reviews to evaluate the firm s compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions. This role will focus primarily on testi

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