BMO Financial Group-New York, NYEstimated: $120,000 - $160,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Compliance Leadership Team. The Chief Compliance Officer, Capital Markets oversees the preparation and delivery of compliance reporting to U.S....

COR Clearing LLC-Omaha, NEEstimated: $100,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Chief Compliance Officer*. The CCO develops and implements compliance policies, manages the day-to-day compliance activities, works closely with Senior...

Fortune Financial Services, Inc.-Pittsburgh, PAEstimated: $58,000 - $86,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Support Fortune's and the Agent Advisors' compliance with rules and regulations, policy and procedures. Our Agent Advisors have many different methods of...

LVW Advisors-Pittsford, NYEstimated: $65,000 - $87,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

LVW Advisors (LVW) is an independent Registered Investment Advisor based in Rochester (Pittsford), New York. Actively participate in the firm’s compliance and...

USAA-RemoteEstimated: $72,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

We are currently seeking talented Senior Compliance Advisor, San Antonio, TX, Phoenix, AZ office location or remote....

PNC Financial Services Group-Pittsburgh, PAEstimated: $59,000 - $77,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Ability to ensure compliance with same. As a(n) Credit Risk Review Advisor within PNC's Credit Risk Review organization, you will be based in Pittsburgh, PA....

Capital One-McLean, VAEstimated: $92,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Manager - Compliance Advisor. Active involvement with compliance testing and third party compliance. While working within the Compliance Management Program...

RAYMOND JAMES FINANCIAL-Saint Petersburg, FLEstimated: $46,000 - $68,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Researches compliance issues. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas....

AIG-Houston, TXEstimated: $73,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Maintain Compliance Policies and Procedures for Transfer Agent. Provide Compliance support for regulatory inquiries and exams impacting VRSCO....

Brown Brothers Harriman-New York, NYEstimated: $100,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The Compliance Manager is responsible for compliance aspects of the US Markets products (FX and Securities Lending) within the Compliance Division and serves as...

City National Bank-Los Angeles, CAEstimated: $99,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

As an internal advisor to Relationship Managers, this position identifies, recommends and effects process changes regarding credit risk management activities,...

Penn Mutual Life Insurance-Horsham, PAEstimated: $81,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Minimum 10 years mutual fund and/or investment adviser compliance, preferably as a senior compliance officer....

Vanguard-Malvern, PAEstimated: $81,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

To manage compliance staff, develop and maintain departmental compliance processes, support departmental projects, build relationships with business and...

Amazon.com-New York, NY

Management responsibility for global customer-facing Financial Services Compliance Specialists and all customer-facing compliance programs....

New York Life Insurance Co-New York, NYEstimated: $99,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Maintain Form ADV Part2 (including Eagle’s Firm and Wrap Fee Brochures, over 1,000 Form ADV Part 2Bs-for each Advisor, training for the Field, and annual...

Booz Allen Hamilton-Arlington, VAEstimated: $100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Governance Risk and Compliance Analyst, Senior. Act as strategic, Segregation of Duties (SoD) risk advisor to the Department of the Navy (DON) Financial Systems...

Silicon Valley Bank-San Francisco, CAEstimated: $100,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The Investment Compliance Manager will primarily be responsible for ensuring compliance with SEC regulations for a Registered Investment Advisor FINRA...

Invesco-Downers Grove, ILEstimated: $100,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Undertakes special compliance-related projects assigned by the Chief Compliance Officer, Compliance Director, or Senior Manager (e.g....

Invesco-Downers Grove, ILEstimated: $100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Undertakes special compliance-related projects assigned by the Chief Compliance Officer, Compliance Director, or Senior Manager (e.g....

Advisor Group-Phoenix, AZEstimated: $54,000 - $67,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Advisor Group Careers. Advisor Group is currently looking to hire a Senior Branch Examiner within the Compliance Department....

Financial Advocates-Olympia, WAEstimated: $88,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Administration of RIA Compliance. Responsible for drafting, revising, implementing and updating all WSPs, compliance manuals, policies and procedures, and...

BAE Systems-San Diego, CAEstimated: $88,000 - $120,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Ship Repair Compliance Manager:. Develops Compliance function’s budgets, schedules, and performance standards....

Blackstone-New York, NYEstimated: $110,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Working with Blackstone compliance regarding firm wide compliance issues and projects; The Legal & Compliance department seeks a mid-level compliance officer...

Parsonex Securities-Englewood, CO $50,000 - $60,000 a year

This role is critical to the overall compliance initiatives of our firm and requires an experienced compliance professional with a results-oriented approach to...

Pettinelli Financial Partners-Redwood City, CAEstimated: $85,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The Service Advisor:. An advisory team consists of a Service Advisor, a Support Advisor and an Intern/Paraplanner....

Mortgage Broker-Chicago, ILEstimated: $110,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

(4) managing compliance staff. In particular, the Chief Compliance Officer will be an advisor and resource for company’s leadership, sales and operations teams,...


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