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Salt Creek Capital
San Francisco, CA, United States
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Job Source: Salt Creek CapitalConfidential
San Francisco, CA, United States
Chief Development Officer & Vice President About the Company Mission-driven organization providing clean water & sanitation services to indigenous communities Industry Non-Profit Organization Management Type Non Profit Founded 2000 Employees 2-10 Specialties WASH programming and slow sand filtration About the Role The Company is seeking a Vice Pr
Job Source: ConfidentialForge Global, Inc.
San Francisco, CA, United States
The Role: We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the San Francisco Bay Area. This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. You’ll effectively manage and mitigate risk, establish robust controls, support busine
Job Source: Forge Global, Inc.Forge Global
San Francisco, CA, United States
At Forge (NYSE: FRGE), we know our team is our greatest asset. As technology innovators in the private market, our vision is to deliver a richer future for everyone. We live that vision through our values of being bold, humble and accountable. We experience the value that our vision brings to the world every day, helping the teams behind the greate
Job Source: Forge GlobalConfidential
San Francisco, CA, United States
Vice President of Compliance About the Company Industry-shaping mobile application empowering employees to improve heart health Industry Health, Wellness and Fitness Type Privately Held, VC-backed Founded 2013 Employees 201-500 Categories Health & Wellness Fitness Health Care Medical mHealth Wellness About the Role The Company is seeking a Vice P
Job Source: ConfidentialConfidential
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Chief Information Officer (CIO) & Vice President About the Company Innovative provider of cloud-based software solutions for property management & legal industries Industry Computer Software Type Public Company Founded 2006 Employees 1001-5000 Categories Information Technology & Services Real Estate Legal Services Property Management Cloud Service
Job Source: ConfidentialOrange County Korean American Bar Association
San Francisco, CA, United States
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Job Source: Orange County Korean American Bar AssociationConfidential
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: ConfidentialSan 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
Financial Services
Investing
Marketplaces
Venture Capital
Finance
FinTech
Marketplace
Trading Platform
Information Technology & Services
Technology
Specialties
secondary shares trading platform
private markets
fintech
and invest in pre-ipo companies
Business Classifications
B2B
Marketplace
About the Role
The Company is seeking a VP, CCO for its Broker-Dealer and Registered Investment Advisor. This critical role is responsible for overseeing compliance for the company's core business, ensuring adherence to regulatory requirements, and managing a staff of experienced compliance personnel. The successful candidate will be the designated point of contact with the SEC, FINRA, and state regulatory bodies, and will be tasked with managing regulatory examinations, audits, and inquiries. Additionally, the role involves developing and maintaining the company's compliance programs, providing support and training on FINRA and SEC rules, and assessing the compliance implications of new business initiatives. The VP, CCO will also be expected to have a deep understanding of financial regulations, excellent communication skills, and the ability to work effectively with both internal and external stakeholders.Applicants for the VP, CCO position at the company should have a minimum of 10 years of compliance experience in a registered broker-dealer, with a strong knowledge of financial regulations including Regulation D, the Securities Act of 1933, and the Investment Advisers Act of 1940. The role requires the ability to manage and mitigate risk, establish controls, and protect the company from legal and regulatory issues. The candidate must be detail-oriented, organized, and able to multitask, with the capacity to identify and address emerging regulatory risks. A Series 7 and 24 license are mandatory, as well as a Bachelor's degree. The position demands a professional who can work well under pressure, is adaptable to changing priorities, and can interact effectively with all levels of the organization.
Hiring Manager Title
Head of Compliance
Travel Percent
Less than 10%
Functions
General Management
Strategy
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Email Alert for Chief Compliance Officer & Vice President jobs in San Francisco, CA, United States
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