Senior Director Compliance Jobs

The Role The Senior Director, Ethics and Compliance, is a leader on our Ethics and Compliance team and a member of the US Leadership Team. Reporting to the Chief Ethics,... Read More

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your... Read More

POSITION REPORTS TO: Kevin Keefe, CEO of Realta Wealth POSITION TITLE: Chief Compliance Officer LOCATION: San Diego, CA COMPANY DESCRIPTION: Realta Wealth Registered in 50... Read More

Join a leading fintech company that's democratizing finance for all. Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With... Read More

Join a leading fintech company that's democratizing finance for all. Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With... Read More

The Role: We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. This is a critical role overseeing compliance... Read More

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Primary... Read More

Responsibilities Develop and implement an effective legal compliance program Create sound internal controls and monitor adherence to them Draft and revise company policies... Read More

Date: May 29, 2024 Primary Location: 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317 Company: Vigilant Compliance Work Expectation: Remote Client Types:... Read More

Resp Qualifications PURPOSE: The VP, Ethics Compliance oversees and manages the Company's Corporate Ethics Compliance Program, serving as an independent and objective... Read More

Organization: SHSO-Sutter Health System Office-Valley Position Overview: Administers and provides oversight of the Sutter Health (SH) ethics and compliance program at the... Read More

Reference: 24000E9H Responsibilities: Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ( RIA )... Read More

MUST HAVES: Bachelor's degree in Finance or related field 5+ years of securities industry experience in a supervisory or compliance capacity Bilingual in English and... Read More

Our client is a growing SEC registered investment adviser providing leading investment solutions to institutional, professional investment advisors and retail clients... Read More

About the Role: Grade Level (for internal use): 12 The Role: Compliance Officer The Compliance Officer role is based in Englewood or New York and the successful candidate... Read More

At Freddie Mac, you will do important work to build a better housing finance system and you'll be part of a team helping to make homeownership and rental housing more... Read More

Compliance Officer: The Compliance Officer is responsible for various compliance areas including training, monitoring reviews, policy and procedures, and product... Read More

Company: Swoop Business Solutions Website: www.swoopbusinesssolutions.com Position: Finance Compliance Officer About the Job: We are seeking an experienced Compliance... Read More

About the role: The Global Regulatory Compliance Officer/Manager will be responsible for cosmetic product registrations, screen products to make sure that we are... Read More