Compliance Officer Jobs
Salary Range: $59,220 - $72,380 The NJEDA is looking to fill this position as a long-term temporary position to assist Hurricane Sandy disaster recovery for small business owners to receive financial aid. Provides assistance to Programs Compliance Manager regarding quality control and comprehensive program specific compliance to the Authority’s Federal Disaster Recovery funding allocation. Complet...
Our client, a global pharmaceutical company, is seeking to hire a Sr. Corporate Compliance Officer for a 4 month Contract engagement (in the NYC area). This position will support Company Compliance in the development, implementation, and continuous improvement of an effective compliance program for all business activities. To support the risk assessment and analysis process to continuously evaluat...
This position is responsible for managing the effective regulatory risk framework under the guidance of the Chief Compliance Officer. Knowledge, Skills, and Abilities Required: · Minimum 4 years of banking consumer related experience and/or training · Must have research experience and capability to interpret and understand laws and regulations. · Excellent knowledge of deposit compliance-related p...
Counsel/Compliance Officer- Alternative Investments State/Location: Washington, DC Company: The Compliance Search Group Contact: Jack Kelly - ***** Description: Our client, a global asset management and alternative investments firm, seeks a counsel/compliance officer to focus on supporting global marketing efforts from a legal and compliance perspective. The Candidate will pr...
An International bank seeks an experience Compliance Officer to oversee their U.S. Branch. She/He will contribute proactively to developing, enhancing and maintaining a compliance culture within the firms’ supporting compliance leadership initiatives of management, setting an example on ethical best practices, communicating often with management and staff on compliance issues, proactively contribu...
A global provider of support sources for the financial services industry seeks Division Chief Compliance Officer. The candidate will be responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository under Dodd-Frank, the Commodity Exchange Act and other applicable laws and regulations. The Chief Compliance O...
A global investment bank seeks a compliance officer who primarily focuses on the Compliance oversight of Domestic and International Equities Trading platform, including the Firm’s NYSE Trading Floor personnel. The Candidate will be in oversight of the following businesses: ETFs, Equity Convertible Bonds, Program Trading, Securities Based Swaps and CFTC Regulated Swaps, Securities Lending, Electron...
A global money management firm seeks a Senior Compliance Officer in the Fund Chief Compliance Officer Group which supports the firms Fund Chief Compliance Officer and Fund Boards. The candidate will report to the Compliance Manager within the group and work with the other Compliance Officers in the group. Responsibilities: •Analyze Fund Service Providers’ Compliance Programs: o Perform reviews of...
A global bank seeks a Compliance Officer who will join a growing team of compliance officers responsible for the review and testing the firm’s activities as newly-registered Swap Dealers (“SD”). Responsibilities include: • Review of the SD policies and procedures and test for effectiveness, including analysis of resources set aside for compliance and discussion of any necessary improvements. • Det...
Mutual Fund and Asset Management Compliance Officer The Compliance Search Group Contact:Jack Kelly - ***** Description: A global money management firm seeks a Senior Compliance Officer in the Fund Chief Compliance Officer Group which supports the firms Fund Chief Compliance Officer and Fund Boards. The candidate will report to the Compliance Manager within the group and work...
Chief Compliance officer- Independent Community Bank An independent community bank, with a multi-state branch network, seeks a Chief Compliance Officer who will be responsible for developing, implementing and administering all aspects of the Bank's Compliance Risk Management Program through close working relationships with Management and Compliance Coordinators for each Line of Business and Suppor...
Alternatives Investment Compliance Officer An Investment bank seeks a Compliance professional to oversee their alternatives investments division. This unit includes hedge funds, private equity, real estate and other non-traditional asset classes. Responsibilities Include: • Provide advisory Compliance support to the Alternatives businesses which offer investment solutions to institutional and high...
Position Description The VP, Regulatory and Operations Compliance Officer (VP) will manage the Compliance Programs and Monitoring team as well as the newly created Regulatory Exams team. This person will be responsible for a consolidated function that oversees and supports implementation efforts surrounding new firm and regulatory requirements, monitors changes to regulatory requirements, and mana...
Compliance Officer - $85K Financial services firm in Boston is in need of a Compliance Officer with Series 7, 66, 8 (or 9 & 10) licenses. The Compliance Officer will support the Controller and ensure compliance with guidelines and policies. The individual in this roll will: Supervise operational risk and audit process Respond to client issues and complaints Oversee client accounts and transactions...
Our esteemed client, one of the 20 largest banks in the U.S. is looking for an experienced Deputy Compliance Officer for their Buffalo, NY office. Our client is one of the country’s leading depository and lending franchises, a premier wealth advisory firm, and the partner of choice for corporate transactions and structures. Client will pay relocation for the right candidate. Responsibilities for D...
POSITION: Compliance Officer DEPARTMENT: Compliance/Legal REPORTS TO: Chief Compliance Officer JOB SUMMARY: Support the Chief Compliance Officer and executive staff in administering the firm’s compliance policies and procedures by performing the following duties. JOB RESPONSIBILITIES: · Examines Hanlon’s policies, procedures, and practices to ensure compliance with laws and regulations. · Stays ab...
First Century Bank, N.A., in Rancho Cordova, CA is seeking a Mortgage Compliance Officer to support the Retail and Wholesale Mortgage Origination efforts of the bank throughout the U.S. by staying informed on regulatory pronouncements from such organizations as OCC, Federal Reserve, CFPB, State Regulatory functions, and informing the company and staff of these updates and suggested necessary chang...
Company Confidential Columbus, OH, 43240
Fast-paced financial organization in the Polaris area seeking equally fast-paced administrator. Must be detail oriented as well as multi-tasker. Successful candidate will serve as Agency Compliance Officer as direct report to President, and will assist the firm’s Investment Specialist (I/S) in: application review; processing/submitting new business; business tracking. Series 24 license required. E...
OPEN DOOR INDIANA, 15701
Administrative/ Compliance Officer Full time with benefits position in licensed Behavioral Health Organization. Position is responsible for performing a wide variety of administrative duties to assist in the management of agency programs, licensure and compliance related matters. Work involves analyzing administrative operations, policies and procedures. Applicants must possess initiative to pursu...
Our well established Philadelphia, PA client is actively seeking an experienced Mutual Fund Compliance Officer to join their growing team. Ideal candidates will have 5 years of progressive investment experience and a strong working knowledge of SEC rules and regulations. In this role you will oversee the preparation of complex compliance reporting. This role will ensure that the company is within...
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Answers for Compliance Officer Jobs
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Confused- Customer Compliance Officer from Jcp?
Wants to visit me at my home next monday, i recieved my letter today which states a query has arisen on my claim and they need to ensure my payments are correct. I will need to provide proof of id su...
What is a compliance officer and what is there job?
Customer compliance officer?
Today i recieved a letter from the job center from a customer compliance officer saying a query has arose that may effect my benifit.ive read up and realised it fraud officers that suspect im cheating...
Business Career Tools
$31,200.00 - $97,200.00
Typical Salary for Compliance Coordinator
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Provides audit information to management by researching and analyzing data; preparing reports.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Administrative Writing Skills
Supports departments by collecting and coordinating internal compliance data with auditors and various departments.
Complies with federal, state, and local legal requirements by studying existing and new legislation; enforcing adherence to requirements; advising management on needed actions.
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