Regulatory Compliance Officer - California, United States - Madison-Davis, LLC

Compliance Officer

1 week ago

Compliance Officer - AVP (Los Angeles, California): Our client, a $30B+ alternative asset manager, is seeking a Compliance Officer to join their lean team of 4. This new hire will work closely with the CCO as a true compliance generalist. · Highlights: · Opportunity to work with ...

Senior Compliance Associate/Officer

1 week ago

The candidate should have at least 3-5+ years of experience, preferably at a private fund or major consulting firm. The individual must be very attentive to details, have strong writing skills, be able to craft compliance policies and procedures, and excel at project management. ...

Chief Compliance Officer/Counsel

5 days ago

Targeting 10+yrs exp. · MNPI exp, new marketing rules, fund formation, fund structuring. · Has completed an SEC exam. · Comfortable working on a small team and with outside consultants. · Office located in Orange County, California · ...

General Counsel/Chief Compliance Officer

3 days ago

Our client is a prominent investment management firm searching for a GC/CCO to manage, grow, and implement an SEC regulatory program and manage internal legal operations. · Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance progr ...

Vice President, Chief Compliance Officer of Broker-Dealer and RIA

6 days ago

The Role: · We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY 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 mana ...

Office Assistant

1 week ago

**Responsibilities**: · - Organize office and assist associates in ways that optimize procedures · - Sort and distribute communications in a timely manner · - Create and update records ensuring accuracy and validity of information · - Monitor level of supplies and handle shortage ...

Financial Accountant

1 week ago

Job Title: Financial Accountant · Reports to: CFO/Financial Controller · Classification: Exempt · Time Commitment: Full-time · **Primary Responsibilities** · - Prepare monthly journal entries and balance sheet reconciliations. · - Assist in the preparation of the Company's financ ...

Customer Service Representative

1 day ago

At Lendmark Financial Services, we believe the success of our company is specifically attributable to the quality of our employees and their commitment to our customers. We value each customer and understand that people want to do business with people who care. That's one way we ...

Program Analyst Associate

1 week ago

Type of Requisition: · Regular · Clearance Level Must Currently Possess: · None · Clearance Level Must Be Able to Obtain: · None · Suitability: · Public Trust/Other Required: · Job Family: · Program Management · Job Qualifications: · **Skills**:Finance, Invoices, Payment Handling ...

Independent Logistics Assessments

2 days ago

**The Organization: Sierra Management and Technologies, Inc.** · Sierra is a small, disadvantaged, minority-owned business that values its employees who provide superior services and solutions to our customers. Sierra has a proud history of hiring veterans and encourages those wh ...

Employee for operational project and order support

6 days ago

For our department "Customer and Product Management" we are looking for an employee for operational project and order support (m/f/d). The deployment can take place at our offices in Gießen, Darmstadt or Kassel. This position is a full-time position, which can also be divided. Th ...

Deputy Director Program Management

1 day ago

· GENERAL · The Deputy Director of Program Management and Environmental Compliance will report to the Director, Caltrain Design and Construction-Program Management. Responsibilities will include overseeing all levels of environmental compliance for all phases of Caltrain's capit ...

Doctor of Physical Therapy

5 days ago

Do you believe that physical therapy can play a bigger role in the overall health and wellness of our communities? Do you want to be on the leading edge of therapy treatment that focuses not only on physical pain but also the whole person? Yeah, we do too. · SpineZone is on a mis ...

Doctor of Physical Therapy

6 days ago

Do you believe that physical therapy can play a bigger role in the overall health and wellness of our communities? Do you want to be on the leading edge of therapy treatment that focuses not only on physical pain but also the whole person? Yeah, we do too. · SpineZone is on a mis ...

senior environmental compliance leader

1 week ago

Job Details · Level · Experienced · Job Location · California - ., CA · Position Type · Full Time · Education Level · Bachelor's Degree · ESA seeks a highly motivated Senior Environmental Compliance Leader to join us in any of our California offices on a hybrid schedule. We are l ...

Director of Compliance

10 hours ago

A growing private fund manager is looking to hire a Compliance Director. Reporting into the Chief Compliance Officer this individual will serve as a generalist in the compliance department and will assist with day-to-day administration of the compliance program. · Day-to-day you ...

Compliance & Legal Associate

3 days ago

Dynamic alternative asset manager in Menlo Park is on the market for an Associate in Legal & Compliance to work closely with the firm's Managing Partner, General Counsel and Chief Compliance Officer. We are seeking a dedicated professional with a keen interest in compliance and l ...

Meat Associate Team Leader

6 days ago

assists the team leader in all aspects of daily operations including profitability, expense control, buying, merchandising, labor, regulatory compliance, and special projects as assigned. leads and develops team members. all whole foods market retail jobs require ensuring a posit ...

Seafood Associate Team Leader

1 week ago

assists the team leader in all aspects of daily operations including profitability, expense control, buying, merchandising, labor, regulatory compliance and special projects as assigned. leads and develops team members. all whole foods market retail jobs require ensuring a positi ...

Legal/Compliance Analyst

1 week ago

A Hedge Fund is seeking a Legal/Compliance Analyst with experience working for a registered investment adviser. · This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). · Essential Duties and Responsibilities: · Maintain and organize internal compliance ...