Investment Advisor Compliance Officer Jobs

... search for a Part Time Compliance Officer to join our corporate legal ... Austin So, SVP, Chief Legal Officer and Secretary. rnrnThe Compliance Officer (“CO”) is responsible for supporting..

... Information Deloitte Corporate Finance Senior Compliance Analyst in Chicago Illinois Corporate ... in Chicago Illinois Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..

... Information Deloitte Corporate Finance Senior Compliance Analyst in Charlotte North Carolina ... Charlotte North Carolina Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..

Job Description The Deputy of Compliance Technology position requires knowledge and ... commodities regulatory reporting obligations. Provide compliance guidance and input regarding business ... and tested as appropriate in compliance..

... Information Deloitte Corporate Finance Senior Compliance Analyst in New York New ... York New York Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..

... for a motivated and talented compliance officer who is familiar with securities ... foreign exchange activity. Responsibilities: The Compliance Officer – Forex and Commodities will ... will be responsible..

... for a motivated and talented compliance officer who is familiar with securities ... back office functions. Responsibilities: The Compliance Officer – Special Products and Back ... stock lending and..

... sophisticated platform to manage their investment portfolios. We provide our clients ... management tools, research facilities and investment products at low or no ... seeks a motivated and talented..

... for a motivated and talented compliance officer who is familiar with securities ... and back-office functions. Responsibilities: The Compliance Analyst – Special Products and ... various responsibilities, including: Providing..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..

... is looking to hire a Compliance Project Manager in the Chicago ... to the Deputy Chief Regulator Officer and will work closely with ... work closely with other senior..

... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..

... for a motivated and talented compliance officer who is familiar with securities ... federal regulations pertaining to Registered Investment Advisors and Commodity Trading Advisors. ... Advisors. Knowledge of foreign..

... and procedures to determine ongoing compliance Perform trading and best execution ... and enhancement of a full-scale compliance program Ability to work independently ... more experience in financial industry..