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Compliance Officer Jobs

2 matches | 1 - 2 displayed
  1  
date  location  job detail
Nov 28,22 Charlotte, NC, United States Lead Compliance Officer
Sponsored Job  
Wells Fargo
Lead Compliance Officer The candidate will provide oversight and monitoring of business group risk-based Compliance programs. Maintain Compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines. Establish, imple...
Nov 26,22 Pittsburgh, PA, United States Compliance Officer - Securities Industry
Sponsored Job  
US Bank.
Compliance Officer Securities Industry The candidate will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange-traded funds (Trusts). Will assist in the Compliance oversight of service providers to t...
Nov 26,22 Cincinnati, OH, United States Compliance Officer - Securities Industry
Sponsored Job  
US Bank.
Compliance Officer Securities Industry The candidate will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange-traded funds (Trusts). Will assist in the Compliance oversight of service providers to t...
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/
Jul 08,2022 USA-NY-Albany Associate Compliance Officer
REMOTE
ASSOCIATE COMPLIANCE OFFICER
MORTGAGE BANKING
Fusco Personnel is actively recruiting for an Associate Compliance Officer to join a growing mortgage banking organization headquartered in Albany, NY. This is a FT Direct Hire opportunity.
QUALIFICATIONS:
Bachelor?s Degree required, advanced deg

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