Chief Compliance Officer Jobs


696 Chief Compliance Officer jobs found on Monster.

Jobs 1 to 20 of 696
Chief compliance officer role for a small buy side firm based in New York City. You will take responsibility for broker dealer, advisory and mutual fund units, reporting into the Company Secretary. Who we're looking for You will have a proven track record either as a CCO or deputy, and have detailed practical exposure to the 1940 company and 1940 advisory acts. You should also have a JD, and ideal...
The Chief Compliance Officer ("CCO") oversees all regulatory compliance for the UBS Global Asset Management ("UBSAM") business in the Americas. The CCO reports to the UBS Head of Americas Compliance & Operational Risk Control (C&ORC), the Global Head of Global Asset Management Compliance and the Independent Board Members of the Funds ("Independent Directors"). The CCO will represent UBSAM in vario...
Chief Compliance Officer We have a new opportunity for a Chief Compliance Officer in the Syracuse, NY area. The Corporate Compliance Officer is responsible for developing, implementing, and administering all aspects of the Compliance Management Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. This person must...
An international bank located midtown seeks a Deputy Compliance Officer. Required: BA/BS in business, 10+ years experience in related bank compliance and management. Know US banking business including commercial lending, private banking, correspondent banking. Proficient in BSA, AML, OFAC plus consumer regulations required (Reg. B, D, E, F, O, P, U, Z, AA, CC, DD). Able to use various internal sof...
A mid-sized asset management company with a focus on ETF’s and closed-end funds seeks a Chief Compliance Officer who will be responsible for the firm’s exchange-traded funds complex and their closed-end fund complex. She/he will responsible for a wide array of responsibilities including, but not limited to, the following: § Implementing and overseeing the 38a-1compliance program of the Funds, incl...
A Commercial and Retail bank seeks a Chief Compliance Officer who will perform diversified functions in connection with the management of the compliance staff and management of the overall functions and processes of the Compliance Program consistent with policies and procedures. She/He will report administratively to the Chief Risk Officer, and provides a quarterly update to the Board of Directors...
A Commercial bank seeks a Deputy Chief Compliance Officer who will be responsible for ensuring that the Compliance Programs appropriately addresses the regulatory risks relative to the Division/Unit’s business activities. The Candidate will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective programs. She/he will report directly to the C...
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...
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...
Position Description Deputy Chief Compliance Officer, Investments Picture yourself building a successful career at AIG working alongside other talented, highly motivated individuals committed to reaching our goal of becoming our industry’s employer of choice. We believe that our success depends on a world class team with diverse and unequaled expertise. If you would like to be part of a strategic...
Chief Financial Officer - Masco Cabinetry Position Profile Position: Chief Financial Officer Company: Masco Cabinetry Position Location: Ann Arbor, Michigan The Company Masco Corporation (NYSE:MAS) today is one of the world’s largest manufacturers of brand-name products for the home improvement and building product markets. Masco is also a leading provider of a variety of building products and ser...
The primary responsibility of the Chief Credit Officer is to approve, review and restructure large and complex credits prior to submission to the loan committee (s). This position is also responsible for strategic oversight of the Commercial Credit Department . The Regional Chief Credit Officer is also responsible for establishing, enforcing and overseeing the commercial credit policies and proced...
Marsh & McLennan Companies is a global professional services firm providing advice and solutions in the areas of risk, strategy and human capital. It is the parent company of a number of the world's leading risk experts and specialty consultants, including Marsh, the insurance broker and risk advisor; Guy Carpenter, the risk and reinsurance specialist; Mercer, the provider of HR and related financ...
Our client is seeking a Chief Financial Officer in Irvine, California (CA). The Chief Financial Officer (CFO) directly participates with strategic and tactical matters relating to budget management, cost benefit analysis, forecasting needs, taxation activity and compliance, for-profit and not-for profit business entities, trust accounting, and funding management. This position will provide operati...
Company Confidential Los Angeles, CA, 90014
Premier Property Development Company with offices across the West Coast is seeking a Chief Financial Officer. The Chief Financial Officer will work as part of a close-knit senior management team and take on a pivotal role in the long-term financial goals of this rapidly growing company. In this leadership Chief Financial Officer role, you will act as a trusted resource for financial guidance and p...
TrueBridge Resources, a North Highland Company and #4 - "Fastest-Growing U.S. Staffing Firms" Staffing Industry Analysts' 2013 List. We work with clients to fill Contract, Contract-to-Hire, and Direct Hire opportunities within Management Consulting, IT, Accounting/Finance, Human Resources, and Marketing areas. Bridge your career to the next level and experience what sets TrueBridge apart. Our clie...
US $1+ Billion “Tier 1” automotive parts supplier is seeking a Chief Legal Officer to direct their global legal operations. The position is based in Michigan, at the company's global headquarters. The company has 3000+ employees in 15 countries, with 20 manufacturing facilities, with most of their products having a leading share in their respective markets. The Chief Legal Officer will report to t...
25 Bed Not for Profit, Critical Access Hospital seeking a Chief Nursing Officer in Hot Springs, WY. Provides leadership for the Strategic and operational planning for the Nursing and Cardiopulmonary Services area. Contributes to the strategic and opera­tional planning with emphasis on establishment of objectives, long range planning and program development. Participates in regional and statewide p...
Chief Financial Officer NW Recruiters is currently conducting a search for one of our key clients, a provider of custom automated packing solutions, who is adding an operationally-minded CFO to their leadership team, due to current and forecasted growth. This client provides customers innovative packaging solutions through: a broad range of capabilities, dependable equipment, excellent technical a...
Chief Financial Officer NW Recruiters is currently conducting a search for one of our key clients, a provider of custom automated packing solutions, who is adding an operationally-minded CFO to their leadership team, due to current and forecasted growth. This client provides customers innovative packaging solutions through: a broad range of capabilities, dependable equipment, excellent technical a...
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Answers for Chief Compliance Officer Jobs

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I am a Senior Finance Executive with job positions as Senior Controller and Chief Financial Officer (CFO). I also have expertise in financial accounting management, banking, cash management, budget...
How much does a chief compliance officer make?
At a mid size brokerage or securities firm

Government Career Tools

Compliance Director


$48,000.00 - $168,000.00
Typical Salary for Compliance Director
(178 Respondents)
Source: Careerbenchmarking Tool

Education / Training

Some College Coursework Completed
High School
(106 Respondents)
Source: Careerbenchmarking Tool

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