50 jobs found for

Compliance Officer Jobs

per page
  • Corporate - Securities and Capital Markets Attorney in Dallas, TX

    Constellation Advisers, LLC | Dallas, TX

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Regulatory Compliance Senior Associate / Manager Responsibilities: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Adv...

  • Corporate - Securities and Capital Markets Attorney in New York City, NY

    Constellation Advisers, LLC | New York City, NY

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Regulatory Compliance Senior Associate / Manager Responsibilities: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Adv...

  • Corporate - Securities and Capital Markets Attorney in San Francisco, CA

    Constellation Advisers, LLC | San Francisco, CA

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Regulatory Compliance Senior Associate / Manager Responsibilities: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Adv...

  • Government and Government Relations Attorney in San Francisco, CA

    Constellation Advisers, LLC | San Francisco, CA

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Regulatory Compliance Manager Duties: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicabl...

  • Finance - Banking Attorney in San Francisco, CA

    Kraken Exchange | San Francisco, CA

    Type: Full Time | Posted Date: Jun 30, 2020

    SUMMARY: Chief Compliance Officer, Special Purpose Depository Institution The candidate will create and control the compliance program. Develop, implement, and oversee all aspects of the bank’s compliance program, designed specifically for the bank’s unique activities and risks factors, in adherence wit...

  • Government and Government Relations Attorney in Stockton, CA

    Community Medical Centers, Inc. (CMC) | Stockton, CA

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Compliance Officer and General Counsel DUTIES: Serves as health center counsel advising the CEO on legal strategy and coordinates work with external attorneys. Coordinates with CEO or his/her delegate on composition and delivery of responses to state regulatory agency complaints and inquiries. Stay...

  • Attorney in Philadelphia, PA

    Thomas Jefferson University Hospitals | Philadelphia, PA

    Type: Full Time | Posted Date: Jun 19, 2020

    SUMMARY: Associate Compliance Officer Duties: Works to develop, implement, oversee, and maintain the regional and enterprise corporate compliance program. Provides guidance to and collaborates with compliance stakeholders and serves as a local expert and resource with respect to compliance-related matters. ...

  • Finance - General Attorney in New York City, NY

    Group 1001 | New York City, NY

    Type: Full Time | Posted Date: Jul 08, 2020

    SUMMARY: Compliance Officer / Managing Counsel The candidate will be responsible for the legal matters of Advisory Services. This critical role focuses upon both all legal issues related to the Investment Advisers Act of 1940 (“Act”), and all legal issues affecting and impacting an investment advisor se...

  • Finance - General Attorney in Plano, TX

    Group 1001 | Plano, TX

    Type: Full Time | Posted Date: Jul 08, 2020

    SUMMARY: Compliance Officer / Managing Counsel The candidate will be responsible for the legal matters of Advisory Services. This critical role focuses upon both all legal issues related to the Investment Advisers Act of 1940 (“Act”), and all legal issues affecting and impacting an investment advisor se...

  • Energy and Oil & Gas Attorney in The Woodlands, TX

    Munich Re | The Woodlands, TX

    Type: Full Time | Posted Date: Jun 29, 2020

    SUMMARY: Senior Counsel And Compliance Officer The candidate is responsible for drafting, reviewing, negotiating, and advising clients on a variety of matters primarily relating to derivatives, internal compliance and regulatory compliance issues. May require advising clients on secured or securitized lendi...

  • Corporate - General Attorney in The Woodlands, TX

    Munich Reinsurance America | The Woodlands, TX

    Type: Full Time | Posted Date: Jun 29, 2020

    SUMMARY: Sr. Counsel & Compliance Officer The candidate will be responsible for drafting, reviewing, negotiating, and advising clients on a variety of matters primarily relating to derivatives, internal compliance and regulatory compliance issues. The role may require advising clients on secured or securiti...

  • Corporate - General Attorney in Jersey City, NJ

    Jefferies LLC | Jersey City, NJ

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Swap Dealer Compliance Officer The candidate will manage swap dealer compliance program including assessing and updating policies and procedures, guiding training and education process and on-going regulatory interactions. Providing real time and on-going advice to all stake holders on swap dealing...

  • Corporate - Investment Company Act Attorney in New York City, NY

    Russell Investments Group, LLC | New York City, NY

    Type: Full Time | Posted Date: Jul 09, 2020

    SUMMARY: Chief Compliance Officer The candidate will be responsible for the management and execution of the compliance program for company's four U.S. registered investment advisers and will also be responsible for the global guideline monitoring and trade oversight team. Overall responsibility for the desi...

  • Government and Government Relations Attorney in Menlo Park, CA

    Facebook | Menlo Park, CA

    Type: Full Time | Posted Date: Jul 09, 2020

    SUMMARY: Deputy General Counsel, Chief Ethics & Compliance Officer Duties: Oversee the growth and implementation of a world-class compliance program that operates to effectively identify and mitigate legal and regulatory risk and embed the highest standards of compliance and ethics across Facebook’s globa...

  • Attorney in Kalispell, MT

    Kalispell Regional Healthcare | Kalispell, MT

    Type: Full Time | Posted Date: Jul 08, 2020

    SUMMARY: Corporate Compliance Officer The candidate will be responsible for oversight of the Corporate Integrity Agreement obligations (as applicable) from the Office of Inspector General. Develops, implements, manages and distributes policies, procedures and practices designed to promote compliance with th...

  • Antitrust and Competition Attorney in Houston, TX

    Bristow Group Inc. | Houston, TX

    Type: Full Time | Posted Date: Jul 06, 2020

    SUMMARY: Chief Compliance Officer, Senior Legal Counsel The candidate will be responsible for: Enhance the Company’s compliance program and ensure its implementation. Build strong relationships with board members, executives, senior management, operations and other staff in all global locations to further...

  • Corporate - Investment Company Act Attorney in Chicago, IL

    Russell Investments Group, LLC | Chicago, IL

    Type: Full Time | Posted Date: Jun 29, 2020

    SUMMARY: Chief Compliance Officer The candidate will be responsible for the management and execution of the compliance program for company's four U.S. registered investment advisers and will also be responsible for the global guideline monitoring and trade oversight team. Overall responsibility for the desi...

  • Government and Government Relations Attorney / Health Care Attorney in Omaha, NE

    UnitedHealthcare Corporation | Omaha, NE

    Type: Full Time | Posted Date: Jun 27, 2020

    SUMMARY: Health Plan Compliance Officer Candidate will: Collaborate with business leaders to implement the Compliance Program at the health plan level, ensuring operational accountability for compliance with the obligations that govern our business through: (1) business owner accountability; (2) governance ...

  • Attorney in New York City, NY

    United Nations Joint Staff Pension Fund | New York City, NY

    Type: Full Time | Posted Date: Jun 19, 2020

    SUMMARY: Compliance Officer, P4 Duties: Ensures that the steps in compliance process - risk identification, establishing policies and procedures and implementing them - are appropriate and are undertaken in a timely manner by OIM Staff to whom those functions have been assigned. Ensures that the appropriate...

  • Government and Government Relations Attorney in Charlotte, NC

    iSolved HCM | Charlotte, NC

    Type: Full Time | Posted Date: Jul 07, 2020

    SUMMARY: General Counsel & Chief Compliance Officer Responsibilities: Advising executive, senior management and board on various matters such as legal rights, and new and existing laws. Managing organization’s legal matters including designing and oversee the company’s policy and position on legal matte...