Deputy Chief Compliance Officer
Confidential
Deputy Chief Compliance Officer
About the Company
Respected ETF investment technology platform
Industry
Financial Services
Type
Privately Held
Founded
2012
Employees
51-200
Specialties
- trust services
- strategy & planning
- product development
- marketing
- business development
- distribution & sales
- business growth assessment
- etf think tank
- advisory services
- national accounts
- product launch
- and consulting
About the Role
The Company is seeking a Deputy Chief Compliance Officer to play a pivotal role in modernizing and leading the next generation of compliance. This is a hands-on, proactive position that goes beyond maintenance to integrate and elevate the entire compliance structure. The successful candidate will be responsible for day-to-day leadership across various compliance areas, including investment company trust compliance, investment guideline compliance, investment adviser compliance, and due diligence. A key focus is on leveraging technology, data, and AI to enhance surveillance, testing, and issue management while ensuring that human judgment remains central to the process. The role also involves setting standards, establishing accountability, and driving a culture of compliance that extends to enterprise-wide privacy, cybersecurity, and regulatory change. Applicants must have at least 12 years' of progressive investment management compliance experience, with a strong background in ETF, Rule 38a-1, and Rule 206(4)-7 programs. The ideal candidate will have a proven track record of simplifying and building scalable systems to reduce risk, as well as exceptional judgment and communication skills. A builder's mindset, independent judgment, and the ability to operate with a boardroom-to-workflow range are essential. The Deputy Chief Compliance Officer will be expected to proactively de-risk the organization, anticipate and resolve issues, and ensure that compliance is embedded in the development of new products. The role requires a leader who can challenge the business, make risk visible, and is prepared to take on the responsibilities of a Chief Compliance Officer in the future.
Hiring Manager Title
Chief Compliance Officer
Functions
- Legal
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Deputy Chief Compliance Officer in Fort Worth, TX vacancy
- ...BrightPath Kids / Busy Bees is seeking a Director of Real Estate to oversee CACFP subsidy administration, reimbursements, and regulatory compliance across our childcare centers. You will manage budgets, coordinate reporting, and ensure federal nutrition standards are met. This...Suggested
BrightPath Early Learning & Child Care
Fort Worth, TX5 days ago - ...Chief Commercial Officer (CCO) About the Company Successful, privately held packaging manufacturer serving foodservice and commercial markets. Industry Packaging and Containers Type Privately Held About the Role The Company is in search of a Chief...Suggested
- ...Chief Commercial Officer (CCO) About the Company Promising biotechnology company Industry Biotechnology Type Privately Held About the Role The Company is in search of a Chief Commercial Officer to lead its commercial strategy and drive growth through...Suggested
- ...Chief Commercial Officer (CCO) About the Company Innovative healthcare technology (HealthTech) company Industry Information Technology and Services Type Privately Held Founded 2014 Employees 51-200 Specialties healthcare information technology...Suggested
- ...Associate Director in Fort Worth, Texas, responsible for overseeing and enhancing the Branch Inspection Program. This role ensures compliance with regulatory requirements and drives the quality and effectiveness of the program. The ideal candidate has 8+ years in...Suggested
- ...public concerns to maximize resources and client benefit. Supports Administration and Quality and Monitoring to track and manage compliance with all regulatory requirements associated with Board funding sources. Assists with the budget preparation and recommends budgetary...Contract workLocal areaShift work
Workforce Solutions for Tarrant Co.
Fort Worth, TX2 days ago - ...Head of Compliance, Prediction Markets About the Company Peer-to-peer betting exchange for smart bettors seeking more value. Industry Gambling & Casinos Type Privately Held About the Role The Company is seeking a Head of Compliance for Prediction...
- ...Deputy Chief Technology Officer (CTO) About the Company Top-tier investment bank Industry Investment Banking Type Public Company About the Role The Company is seeking a Deputy Chief Technology Officer to serve as the primary execution arm of the...
- Alcon is seeking a Manager, Regulatory Affairs Strategy (Professional Path) to lead regulatory strategy, compliance, and lifecycle management for Dry Eye Ocular Health and Contact Lens Care products. You will influence global decisions and enable timely, compliant access...
- ...a team dedicated to ensuring our products meet global regulatory requirements and the highest standards of quality, safety, and compliance as we help people see brilliantly. The Manager, Regulatory Affairs Strategy (Professional Path) is responsible for leading regulatory...Hourly payWorldwideRelocationMonday to FridayFlexible hours
$160k - $190k
...risks. Review financial statements and related disclosures for compliance with U.S. GAAP and other applicable reporting frameworks.... ...priorities while meeting deadlines. ~ Proficiency with Microsoft Office and audit software platforms. Preferred Professional...Work at officeMonday to FridayFlexible hoursMESCH, PLLC
Fort Worth, TX3 days ago- ...business administration, organizational management, or regulatory compliance is required; Masters degree is preferred. A minimum of ten... ...two-way communication at all levels. Working conditions Office and outside environmental conditions found in the warehouse, hot...Summer workWork at office
Employee Magnets
Fort Worth, TX6 days ago - ...Compliance Director Job Duties: Accomplishes compliance human resource strategies by determining accountabilities; communicating and enforcing values, policies, and procedures; implementing recruitment, selection, orientation, training, coaching, counseling, disciplinary...
TradeJobsWorkforce
Watauga, TX3 days ago - ...customers. Are you ready to join us? Alcon is looking to hire a Manager I, Regulatory Affairs Strategy. You will support regulatory compliance and strategy activities for Alcon's Intraocular Device portfolio, including intraocular lenses (IOLs), implantable glaucoma...Temporary workFlexible hours
Alcon
Fort Worth, TX3 days ago - ...a key member of the extended Regulatory Leadership Team, providing strategic direction and operational oversight for promotional compliance to ensure the alignment with commercial execution. The role involves leading and developing a global team, owning the global material...
- Stronghold Investment Management in Dallas, TX is seeking a GIS Manager to lead and expand our geospatial capabilities. You will own strategy, standards, and execution of GIS operations across a fast-moving, multi-disciplinary team while remaining hands-on. The ideal candidate...
- At Alcon, we are driven by the meaningful work we do to help people see brilliantly. We innovateboldly, champion progress, and act with speed as the global leader in eye care. Here, you’ll be recognized for your commitment and contributions and see your career like never...Full timeRemote workFlexible hours
$144.6k - $265.1k
Position Summary The Emerging ERP Solutions practice is all about bringing you the best in cloud-based ERP applications like Workday Financials and Infor. We're here to help transform finance and supply-chain processes, making them more efficient and cost-effective...Local area- Title: Institutional Review Board Compliance Manager Employee Classification: Compliance Manager Campus: University of North Texas - Health... ...Retirement Eligibility: TRS Eligible Department Summary The Office of Research Compliance (ORC) at the University of North Texas...Work at officeLocal area
- Additional Job Description:At Alcon, we are driven by the meaningful work we do to help people see brilliantly. We innovate boldly, champion progress, and act with speed as the global leader in eye care. Here, you’ll be recognized for your commitment and contributions and...Full timeFlexible hours
- ...modeling economic scenarios for areas of spendAct as an advisor on the selection of suppliersDaily work is conducted in an indoor office environment.Relocation assistance may be available based on business needs.The duties and responsibilities in this posting are representative...Full timeH1bWork at officeRemote workRelocation package1 day per week
- ...accuracy and revisions, work cooperatively and jointly with stakeholders to provide quality, seamless customer service.Responsible for compliance and adherence with stated policies and procedures to maintain a certified procurement system under the FAR. EAR and ITAR...Contract workTemporary work
- HedgeServ Corporation in Fort Worth, TX, seeks an AML Supervisor to support HedgeServ’s AML Officer Services team. The role focuses on compliance checks, risk management, and governance for fund clients, with an emphasis on accuracy and timely reviews. The candidate will...
- The University of North Texas Health Science Center is hiring an Institutional Review Board Compliance Manager. In this role, you will collaborate with the North Texas Regional Institutional Review Board, ensuring compliance with human subject research regulations and...
- ...systems in a highly regulated aviation environment. The role combines hands-on system administration with strategic leadership, managing vendors and projects, ensuring FAA and DOD compliance, and driving security, reliability, and operational excellence. #J-18808-Ljbffr...
Gridiron Air
Fort Worth, TX1 day ago - ...compensation, benefits, payroll, and employee development on the NTE extension project. You will lead annual performance reviews, ensure compliance with federal and state laws, manage immigration and vendor relationships, and shape a competitive compensation plan to retain #J...
- Intro Are you ready to explore a world of possibilities, both at work and during your time off? Join our American Airlines family, and you’ll travel the world, grow your expertise and become the best version of you. As you embark on a new journey, you’ll tackle challenges...Work experience placementWork at officeFlexible hours
American Airlines
Fort Worth, TX4 hours ago - ...opportunities.Support business case development and financial evaluation of growth initiatives and strategic investments.Ensure financial compliance, data integrity, and adherence to corporate policies and internal controls.Serve as a trusted finance business partner,...Full timeFlexible hours
- ...operations. This role will oversee all quality functions, ensure compliance with Weatherford's Global QMS and customer requirements, and... ...suppliers, and third-party auditorsStrong proficiency in Microsoft Office applications (Word, Excel, PowerPoint, Outlook)Excellent verbal...Contract workWork at office
- ...Director of Site Quality. In this role, you will lead the quality organization to develop and execute quality strategies, ensuring compliance with customer and regulatory standards. Successful candidates will have extensive experience in quality management systems,...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Deputy Chief Compliance Officer. Be the first to apply!
Related searches
- corporate compliance Fort Worth, TX
- code compliance Fort Worth, TX
- compliance audit Fort Worth, TX
- regulatory compliance analyst Fort Worth, TX
- regulatory affairs part time Fort Worth, TX
- compliance team leader Fort Worth, TX
- health compliance Fort Worth, TX
- finance compliance Fort Worth, TX
- dot compliance Fort Worth, TX
- regulatory affairs assistant Fort Worth, TX