Top 40 Regulatory compliance officer Jobs in Boulder, Co

Regulatory Compliance Officer
Partners Group —Broomfield, CO
- $130,000 - $160,000 a year
- Office
- 3 years
- Business development
- Disability insurance
- Health insurance
11d
Compliance and Privacy Officer
Boulder Community Health —Boulder, CO
- $139,000 - $258,000 a year
- 8 hour shift
- 7 years
- Hospital
- HIPAA
- Disability insurance
- Health insurance
Quick Apply
Sustainability and Energy Officer
Boulder Valley School District —Boulder, CO
- $89,313 - $133,971 a year
- Online Application
- Background check
- School experience
- English
- Health insurance
- Dental insurance
Environmental Risk Officer
U.S. Bank National Association —Denver, CO
- $124,355 - $146,300 a year
- Full-time
- Research
- Office
- 8 years
- Paid holidays
- Disability insurance
6d
Facility Security Officer
nLIGHT —Longmont, CO
- $130,000 - $175,000 a year
- Full-time
- Microsoft Excel
- 5 years
- Bachelor's degree
- Employee stock purchase plan
- Paid holidays
13d
Credit Approval Officer
U.S. Bank National Association —Denver, CO
- $149,515 - $175,900 a year
- Full-time
- Customer service
- 11+ years
- Office
- Paid holidays
- Disability insurance
Compliance Manager / AML Officer - Transamerica Asset Management
Transamerica —Denver, CO
- $135,000 - $159,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Office
- Wellness program
- Paid parental leave
Chief Operating Officer
IO Global —Longmont, CO
- $250,000 - $300,000 a year
- Full-time
- Computer science
- System design
- Office
- Health savings account
- Health insurance
Quick Apply
Director, Facilities Security Officer (FSO)
Infleqtion —Louisville, CO
- $161,000 - $252,000 a year
- Full-time
- 8 years
- Bachelor's degree
- Continuous improvement
- Paid parental leave
- Health savings account
Quick Apply
Contractor Program Security Officer
Vantor Inc. —Longmont, CO
- $78,000 - $114,400 a year
- Full-time
- 3 years
- Master's degree
- Bachelor's degree
- 401(k) matching
- Pet insurance
Quick Apply
13d
Loan Officer
Nova Home Loans —Broomfield, CO
- $35,568 - $200,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Health savings account
- Disability insurance
Sr. Cybersecurity Operational Risk Officer
KeyBank National Association —Denver, CO
- $96,000 - $181,000 a year
- Full-time
- Hybrid work
- Microsoft Outlook
- Computer Science
- Bachelor of Science
13d
Chief Financial Officer
Energy Outreach Colorado —Denver, CO
- $170,000 - $182,000 a year
- Microsoft Excel
- CPA
- Office
4d
Chief Lending Officer
Credit Union of Colorado —Denver, CO
- $252,600 - $328,400 a year
- Hybrid work
- Office
- Finance
- Master's degree
Quick Apply
12d
Impact Finance Officer
U.S. Bank National Association —Denver, CO
- $119,765 - $140,900 a year
- Full-time
- Office
- Finance
- 8 years
- Paid holidays
- Disability insurance
Security Officer PRN
Intermountain Healthcare —Wheat Ridge, CO
- $20.45 - $27.04 an hour
- Part-time
- Hybrid work
- Hospital
- BLS Certification
- HIPAA
Chief Financial Officer – Economic Security
State of Colorado —Denver, CO
- $106,776 - $170,856 a year
- Online Application
- Hybrid work
- Background check
- Customer service
- Writing skills
- Wellness program
- Health savings account
12d
Security Officer I
Caesars Entertainment —Black Hawk, CO
- From $21 an hour
- Full-time
- Hotel
- High school diploma or GED
- Entry level
Security Officer
Intermountain Healthcare —Denver, CO
- $20.45 - $27.04 an hour
- Full-time
- Hybrid work
- Hospital
- BLS Certification
- HIPAA
Escrow Officer w/ Book
Orchard —Denver, CO
- $80,000 - $90,000 a year
- Full-time
- Remote
- Customer service
- 3 years
- Organizational skills
Quick Apply

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Regulatory Compliance Officer

Partners Group -
Broomfield, CO

Apply Now

Job Details

$130,000 - $160,000 a year
11 days ago

Benefits

Disability insurance
Health insurance
Dental insurance
401(k)
On-the-job training
Vision insurance
Sabbatical
Life insurance

Qualifications

Securities & Exchange Commission
Securities law compliance support experience
Bachelor's degree
Securities law
Experience practicing in the securities industry

Full Job Description

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Regulatory Compliance Officer

Location:
Broomfield, US

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We are one of the largest global private markets investment managers, serving over 800 institutional investors worldwide. We have USD 185 billion in assets under management and around 2,000 professionals across 24 offices worldwide. Partners Group is an equal opportunity employer committed to cultural diversity.

What it's about

Partners Group’s Compliance business unit is responsible for ensuring that the firm complies with all applicable regulatory requirements and protecting the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian affiliate and regulated activities in the Cayman Islands. The team's responsibilities include, among other things, oversight of 4 offices in the US, offices in Brazil and Canada, over 400 employees and all marketing and distribution activities in the western hemisphere. The Regulatory Compliance team Americas also assists in implementing Partners Group's overall global compliance framework.

Responsibilities

Serve as key Regulatory Compliance resource for Partners Group private market business in the Americas, providing day-to-day compliance support and helping ensure alignment with applicable regulatory requirements and global policies.
Support the SEC-registered investment adviser compliance program through oversight of the execution and continuous enhancement of policies, procedures, and controls under Rule 206(4)-7 of the Investment Advisers Act of 1940, as well as other applicable federal and state securities laws and regulations.
Assist in the management of the regional compliance program including partnering with and supporting senior members of the Compliance team on key initiatives, ongoing monitoring, and remediation efforts.
Assist in monitoring, interpreting, developing and implementing US Securities law requirements as they apply to the firm's business activities, products, and client relationships.
Assist with the preparation, review, and submission of regulatory filings such as Form ADV, Form PF and other federal securities law filings.
Identify and address regulatory risk areas through ongoing monitoring, targeted reviews, and recommendations for policy, process, and control enhancements.
Research key considerations relevant to specific clients, products and jurisdictions in the Americas, including strategic initiatives to support business development efforts.
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What we expect

3-5 years of relevant work experience in registered funds, private markets and/or asset management
Bachelor's Degree.
Knowledge of the Investment Advisers Act of ‘40, Investment Company Act of ‘40, Securities Act of '33, and applicable US Securities Law is required.
General understanding of private funds (structure and regulations) is required.
Working knowledge of U.S. securities laws and regulations applicable to marketing and advertising, including the Investment Advisers Act of 1940, the SEC Marketing Rule, and FINRA advertising rules.
FINRA Series 7 and Series 24 and Series 63 licenses preferred.
Possess the necessary skillset to quickly learn new technologies and the analytical skills required to drivecritical issues to resolution within a global compliance team and collaboration with other internal stakeholders.
Team player and collaborative approach is a must.
Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
Excellent analytical, interpersonal and project & task management skills to manage multiple projects at any one time.

What we offer

Partners Group is a global financial institution that retains the culture, pace and agility of a start-up. As a growing firm, we are committed to attracting, developing and retaining the very best talent, by offering a workplace where results are truly recognized and rewarded.

Our offerings include:
Professional, international, and high-performing work-environment
Challenging, rewarding career within a growing company
Collaborative environment, with on-the-job training and mentorship opportunities
Competitive benefits and wellness package, including medical, dental and vision coverage
401k (Roth and pre-tax options) with company-match
25 vacation days, and 13 holidays annually
One-month sabbatical after every five years of service
Company paid life and disability insurance
Education assistance program
Lunch stipend
Domestic and international events, including offsites and volunteer opportunities
Partners Group compensation has a long-term outlook and philosophy, and our total compensation emphasizes performance based long term incentives. Base pay range for this role is $130,000 - $160,000 and a performance-based bonus are additional parts of the total compensation package.

Make an impact on the organization by taking a leading role in the growth of our US business. Our working environment is humble, inclusive and transparent; the structure of the firm is flat.

At Partners Group, we thrive on new ideas for the benefit of our clients, our employees and our communities. We are proud to be an equal opportunity employer and support diversity of perspectives.

www.partnersgroup.com

Please be aware, fraudsters may pose as Partners Group recruiters. All genuine representatives can be identified by a verified sign on their LinkedIn profiles. If you suspect fraud or have doubts, contact us immediately at [email protected]

Job Segment: Compliance, Law, Series 7, Advertising, Regulatory Affairs, Legal, Finance, Marketing

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Refine Your Search

regulatory compliance officer jobs in boulder, co

Regulatory Compliance Officer

Compliance and Privacy Officer

Sustainability and Energy Officer

Environmental Risk Officer

Facility Security Officer

Credit Approval Officer

Compliance Manager / AML Officer - Transamerica Asset Management

Chief Operating Officer

Director, Facilities Security Officer (FSO)

Contractor Program Security Officer

Loan Officer

Sr. Cybersecurity Operational Risk Officer

Chief Financial Officer

Chief Lending Officer

Impact Finance Officer

Security Officer PRN

Chief Financial Officer – Economic Security

Security Officer I

Security Officer

Escrow Officer w/ Book

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