Outsourced CCO & Compliance Leader - SEC/FINRA Expert
$125k - $150k6AM City, LLC
6AM City, LLC is seeking a Chief Compliance Officer for a regional law firm. The role requires overseeing compliance programs, developing policies, and ensuring regulatory standards are met for various clients. The ideal candidate will have extensive SEC and FINRA knowledge, strong analytical abilities, and experience in compliance, along with exceptional communication skills. A competitive salary between $125,000 to $150,000 annually is offered. #J-18808-Ljbffr 6AM City, LLC
- Rutherford Search is seeking an experienced Chief Compliance Officer in New York to lead the compliance function for a respected investment... ...developing and overseeing the compliance programme, managing SEC inquiries, and advising on regulatory matters across various investment...Suggested
$160k - $180k
Betterment, based in New York City, is seeking a Compliance Manager to manage a dynamic team and oversee compliance functions within... ...department. The ideal candidate will have significant experience with SEC and FINRA marketing rules, strong management skills, and the ability to...Suggested- Webull in New York, NY is seeking an Associate Director of Compliance. In this role, you will leverage your senior compliance expertise focusing on FINRA and SEC regulations, draft and maintain Written Supervisory Procedures, and manage training programs. The ideal candidate...Suggested
$135k - $165k
Webull-Financial is looking for an Associate Director of Compliance based in New York. This role involves overseeing compliance with FINRA and SEC regulations, drafting supervisory procedures, and providing regulatory guidance to business partners. The ideal candidate will...Suggested- ...Chief Compliance Officer (CCO), CFTC Swap Dealer & SEC Security-Based Swap Dealer About the Company Global financial institution with complex derivatives... .... The successful candidate will be a strategic leader with the ability to operate in a highly regulated, fast...Suggested
- ...leading firm in the investment management sector seeks a Chief Compliance Officer/ General Counsel to manage global compliance across multiple... ...will be a credible lawyer with extensive experience in SEC and FCA compliance, and exceptional communication abilities, ready...
- ...A leading virtual care company is seeking a Chief Compliance Officer to lead its compliance department. The ideal candidate will have over 10 years of experience in healthcare compliance, including at least 5 years in a leadership role within a Virtual Care or Telehealth...Remote work
- ...Avance Clinical is seeking a Chief Commercial Officer (CCO) to lead market expansion and drive business development. You will be an integral part of the executive leadership team, reporting directly to the CEO, and responsible for crafting the commercial strategy in the...Remote work
- ...are looking for a Lead Compliance Manager to provide senior... ...Compliance Officer (CCO) for the U.S. broker-dealer... ...governance for Wise's FINRA-regulated broker-dealer... ...with FINRA, the SEC, state regulators, and... ...experienced compliance leader with deep broker-dealer...
$125k - $150k
...Description LHH is recruiting a Chief Compliance Officer for a regional law... ...Serving as an outsourced chief compliance officer for... ...Securities and Exchange Commission, FINRA, and state securities commissions... .... Serving as the appointed SEC, FINRA, CFTC, state securities...OutsourceFor contractorsWork at officeLocal area- A globally recognized staffing firm is seeking a Manager of SEC Reporting in New York. This role requires preparing quarterly and annual SEC filings, ensuring compliance with regulations, and leading a team to improve financial reporting processes. The ideal candidate should...
$92k - $96k
...looking for an experienced EDGAR Specialist to ensure precise SEC filings and support both partners and clients. This fully remote... ...skills and excellent attention to detail, with a commitment to compliance and quality control. The position offers a competitive salary ranging...Remote job- ...quarterly reviews, managing non-GAAP adjustments, and liaising with various corporate functions. Candidates should have 7-10 years of SEC reporting experience, preferably with a Bachelor's degree in accounting. The position requires strong communication skills and...
- 6AM City, LLC is seeking a Safety Specialist in New Jersey to manage compliance processes and deliver safety training across locations. The candidate will lead safety meetings, conduct safety observations, and ensure adherence to federal, state, and local regulations....Local area
- ...regulations. Support permitting strategies and construction compliance efforts. Conduct code and zoning analyses for proposed developments... ...landscape and can help support the successful execution and approval of complex projects. #J-18808-Ljbffr Outsource ConsultantsOutsourceFor contractors
- Menarini in New York is seeking a Head of US Compliance and Deputy Chief Compliance Officer (ED) to lead the Compliance program for Stemline’s US business. This senior role involves navigating compliance in a high-growth environment while collaborating with various departments...
- ...ensuring high-quality execution within a model involving both an outsourced vendor and a US partner bank. You will take full ownership of... ...with FinCEN requirements. You will collaborate closely with Compliance, Legal, and banking partners while continuously improving processes...OutsourceLocal area
- ...leadership responsibilities in the pharmaceutical industry. The successful candidate will deliver regulatory strategies, ensure compliance, and manage a high-performing team. Strong knowledge of ICH-GCP and excellent interpersonal skills are necessary. This position does...Permanent employmentFull timeRemote work
$250k - $275k
...RIA) seeking an experienced compliance professional to manage its... ...responsibilities Support CCO: Assist the Chief... ...compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.... ...community knowledge in a new way. Experts add insights directly into...16 hoursFull time$160k - $180k
...Director of Transportation and Customs Compliance is responsible for the movement of products... ...thinking of a global operations leader who embraces technology and continuous improvement... ...lead a team of internal resources and outsourced partners to effectively balance service...OutsourceFull timeWorldwideFlexible hours$106k - $166k
...manage executive priorities, and coordinate complex schedules. Candidates must have over 6 years of experience supporting C-suite leaders, exceptional communication skills, and proficiency in tools like Google Workspace and Salesforce. The role includes a competitive salary...- A financial services innovator is seeking a Chief Compliance Officer to build and oversee compliance strategies for banking and credit card products. This role involves working closely with product, engineering, and legal teams to ensure regulatory adherence and to foster...
$110k - $130k
...knownwell is looking for a strategic IT Manager to oversee IT functions while collaborating with an outsourced provider. This role requires an experienced IT generalist with strong knowledge of Microsoft environments and healthcare technologies. The ideal candidate will...OutsourceFull timeRemote work$156.17k - $192.61k
...Compliance Lead, Broker-Dealer & Investment Adviser Denver, CO; San Francisco, CA; New... ...documented thoroughly, and defensible under SEC and FINRA scrutiny. This is not a policy-only... ...and AI governance ~ Experience with outsourced compliance models (e.g., third-party consulting...OutsourceFull timeWork at officeLocal area2 days per week3 days per week- ...NightOwl Consulting is seeking a Disclosure Specialist/Manager to ensure accuracy in loan processing and maintain compliance with mortgage lending regulations. The ideal candidate will possess advanced expertise in Encompass error analysis and Mavent, alongside solid...
$155k - $175k
..., reporting, regulatory and compliance needs of the investment sector... ...tools supported by in-house experts. Above all, what makes us... ...supporting regulatory exams and outsourced Chief Compliance Officer... ...provide hands-on support during SEC and FINRA examinations You'll stay...OutsourceLocal areaWorldwide- ...federal customers. You will collaborate with business development, engineering, and legal teams to support contract execution and compliance. The ideal candidate has over 7 years of experience in federal contracting and strong knowledge of FAR/DFARS. Join us to help...Contract work
- ...Candidates should hold a Masters in Pharmacy and have 8-10 years of experience in regulatory affairs. This position emphasizes document review and preparation for regulatory submissions, aiming to support the company's growth and compliance standards. #J-18808-Ljbffr...
$75 - $150 per hour
...Domain Expert - Finance We are hiring experienced accounting... ...driven accounting decisions SEC / External Reporting... ...controls, operational audits, and compliance testing Control design, control... ...Bookkeeping, outsourced accounting, or advisory work...OutsourceHourly payContract workLocal areaRemote workFlexible hours- ACG Texas, based in New York, is seeking an experienced Chief Compliance Officer. The ideal candidate will have a minimum of five years in a senior compliance role within a Self-Clearing Broker Dealer and extensive knowledge of regulatory requirements and compliance management...
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