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Veritas Partners
, PA, United States
Oversee compliance with federal and state laws and regulations governing various areas within the Bank; develop, administer, and monitor internal programs, including the Bank’s Compliance Management Program, to ensure compliance with applicable federal and state laws and regulations. Stay abreast of new laws, rules, products, technologies and appli
Job Source: Veritas PartnersConfidential
Philadelphia, PA, United States
Chief Compliance Officer About the Company Leading pharmaceutical Industry Pharmaceuticals Type Privately Held About the Role The Chief Compliance Officer will be responsible for establishing healthcare programs, providing comprehensive compliance advice, and supporting strategic initiatives. Travel Percent Less than 10% Functions Legal Known Re
Job Source: ConfidentialConfidential
Philadelphia, PA, United States
Deputy Chief Compliance Officer About the Company Reputable local financial services provider Industry Financial Services Type Privately Held About the Role The Deputy Chief Compliance Officer will be responsible for overseeing and directing the organization's regulatory filings as well as developing comprehensive compliance training programs. Tr
Job Source: ConfidentialSoFi
Claymont, DE, United States
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach the
Job Source: SoFiConfidential
Philadelphia, PA, United States
Chief Compliance Officer (CCO) About the Company Flourishing hospitality company Industry Hospitality Type Privately Held About the Role The Company is seeking a Chief Compliance Officer (CCO) to join their team and play a pivotal role in fostering a culture of compliance. The CCO will be responsible for developing and implementing comprehensive
Job Source: ConfidentialSelect Recruiting Group
Philadelphia, PA, United States
Risk and Compliance Professional - Compliance Officer Location: Philadelphia Our client, a global investment management firm, is looking for a Risk and Compliance Professional to work on their Distribution Compliance team. This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in the Philadelphia o
Job Source: Select Recruiting GroupSelect Recruiting Group, LLC
Philadelphia, PA, United States
Risk and Compliance Professional – Compliance Officer Location: Philadelphia Our client, a global investment management firm, is looking for a Risk and Compliance Professional to work on their Distribution Compliance team. This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in the Philadelphi
Job Source: Select Recruiting Group, LLCEssent Guaranty Inc.
Wayne, PA, United States
Essent Group Ltd. (NYSE: ESNT) is a Bermuda-based holding company (collectively with its subsidiaries, "Essent") which serves the housing finance industry by offering private mortgage insurance, reinsurance, risk management products and title insurance and settlement services to mortgage lenders, borrowers, and investors to support homeownership. W
Job Source: Essent Guaranty Inc.Claymont, DE, United States
Chief Compliance Officer
About the Company
Leading personal finance & individualized wealth management platform
Industry
Financial Services
Type
Privately Held, VC-backed
Founded
2011
Employees
1001-5000
Funding
$200+ million
Categories
Financial Services
Auto Loans
Banking
Communities
Consumer Lending
Debt
Finance
Investing
Lending
Mortgage
Mortgages
Personal Finance
Social Commerce
Student Loans
Education
FinTech
Life Insurance
Wealth Management
Social Networks
Information Technology & Services
Specialties
Refinancing Student Loans
Student Loan Consolidation
Mortgages
Mortgage Refinancing
Personal Loans
MBA Loans
Wealth Management
Life Insurance
Career Strategy
Business Classifications
B2C
Marketplace
About the Role
The Company is seeking a Chief Compliance Officer to join their dynamic team. The successful candidate will be a key leader in the Compliance organization, with a primary focus on the development, implementation, and administration of the company's Compliance Management Program for the Invest business unit. This strategic role involves general oversight of the compliance program for the company's brokerage and investment adviser activities. The Chief Compliance Officer will lead a team of compliance professionals, build and maintain a risk-based compliance program, and serve as a trusted resource for the business units, ensuring regulatory compliance while supporting the growth of the Invest product.Applicants must have a minimum of 15 years' of relevant work experience and hold Series 4, 7, 24, 63, and 65 (or 66) licenses. A degree from an accredited university or significant relevant experience is strongly preferred. The role requires excellent communication skills, the ability to work in a fast-paced environment, and a superior understanding of securities markets and compliance obligations. Experience with the Google and Microsoft Office suites is essential, particularly with Excel. The ideal candidate will also have a thorough understanding of BSA/AML compliance obligations, trade surveillance, complaint handling, and experience with bank-owned or affiliated broker-dealers' compliance standards. Additional licenses and experience in related areas are a plus.
Hiring Manager Title
Enterprise Chief Compliance Officer
Travel Percent
Less than 10%
Functions
Finance
Legal
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Email Alert for Chief Compliance Officer jobs in Claymont, DE, United States
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