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NerdWallet
San Francisco, CA, United States
The Chief Compliance Officer ("CCO") will be responsible for developing and implementing compliance programs, including compliance reporting, training, and testing, reviewing company policies, and advising management on compliance matters. Additionally, the CCO will ensure that our operations, third-party providers, and business transactions adhere
Job Source: NerdWalletConfidential
San Francisco, CA, 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
San Francisco, CA, 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: ConfidentialSoFi
San Francisco, CA, 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: SoFiUniversity of California
San Leandro, CA, United States
Home > Chief Compliance and Privacy Officer Chief Compliance and Privacy Officer Location : 1000 San Leandro Blvd San Leandro , CA 94577 United States Job Posted Date : February 7, 2024 Full-time Positions Population : Population & Social Sciences Other PLEASE READ THIS JOB ANNOUCEMENT IN ITS ENTIRETY . An Alameda County Job Applicatio
Job Source: University of CaliforniaConfidential
San Francisco, CA, 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: ConfidentialConfidential
San Francisco, CA, United States
Chief Compliance Officer & Vice President About the Company Thriving financial marketplace providing liquidity solutions for private market investors & institutions Industry Financial Services Type Privately Held, VC-backed Founded 2014 Employees 201-500 Funding $200+ million Categories Internet Banking CEOs and Executives Finance Technology Finan
Job Source: ConfidentialBank of the Orient
San Francisco, CA, United States
Job Description Job Description Compliance Officer -BSA/AML Bank of the Orient is an independent Asian Community Bank that has proudly served the financial needs of multiple Bay Area communities for over 52 years. We are well known for our commitment to providing the highest level of personal service to our customers; we take a personal interest i
Job Source: Bank of the OrientSan Francisco, CA, 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 San Francisco, CA, United States
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