Top 10 Compliance officer Jobs in Upper Marlboro Md

Chief Compliance Officer - Investment Advisor
Heritage Investors Management Corporation —Bethesda, MD
- $150,000 - $200,000 a year
- Full-time
- Microsoft Excel
- Customer service
- 5 years
- Profit sharing
- Disability insurance
Quick Apply
9d
Director/Senior Director of Compliance
Greater Baden Medical Services, Inc. —Brandywine, MD
- Full-time
- Office
- Master's degree
- Bachelor's degree
- Employee discount
Quick Apply
Defense & Systems Chief Compliance Officer (D&S CCO)
GE Aerospace —Washington, DC
- $225,000 - $325,000 a year
- Full-time
- Pass drug screening
- 11+ years
- Analysis skills
- Paid parental leave
- Disability insurance
Assistant Director of Compliance & Verification
University of Maryland Global Campus —Adelphi, MD
- $67,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- Supervising experience
- AD&D insurance
- Paid holidays
Chief Compliance Officer
EagleBank —Bethesda, MD
- $176,966 - $303,371 a year
- Full-time
- Hybrid work
- Bachelor of Science
- 11+ years
- Office
- Health savings account
- 401(k) 4% Match
Director, Compliance Advisor
Capital One —McLean, VA
- Email
- 5 years
- Office
- Bachelor's degree
- Health insurance
Director Compliance Advisory - Personal Loans
Capital One —McLean, VA
- Email
- 5 years
- Military
- Office
- Health insurance
Director, Compliance Advisor
Information Technology Senior Management Forum —McLean, VA
- $206,000 - $256,500 a year
- Email
- 5 years
- Office
- Bachelor's degree
- Health insurance
Cleared On Site Chief Security Architect for Governance, Risk and Compliance (5030)
cBEYONData + SMX —Washington, DC
- $137,600 - $231,200 a year
- Azure
- System design
- Office
Quick Apply
Cleared On Site Chief Security Architect for Governance, Risk and Compliance (5030)
SMX —Washington, DC
- $137,600 - $231,200 a year
- Azure
- System design
- Office
Quick Apply

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Director/Senior Director of Compliance
Greater Baden Medical Services, Inc. —Brandywine, MD
State & Local Guardrails: Actively monitor, interpret, and translate complex federal, state, and regional/local healthcare requirements into clear operational…
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SENIOR DIRECTOR OF CORPORATE AND FOUNDATION RELATIONS
The Salvation Army National Headquarters —Alexandria, VA
Strong attention to detail with the ability to proof one’s own work for accuracy and completeness. · Provides regular analysis and reporting related to…
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Vice President, Transmission Compliance
American Municipal Power, Inc —Columbus, OH
Participate in project field/site walkdowns and attend meetings/conference calls as needed. Must possess excellent communication, presentation, diplomacy,…
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8d
Chief Compliance & Quality Officer
Diversified Treatment Alternative Centers —Columbus, OH
Bachelor’s degree in Healthcare Administration, Human Services, Social Work, Business, or related field required; Master’s degree preferred.
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Chief Compliance Officer - Investment Advisor

Heritage Investors Management Corporation
Bethesda, MD

Quick Apply

Job Details

Full-time
$150,000 - $200,000 a year
9 days ago

Benefits

Profit sharing
Disability insurance
Health insurance
Dental insurance
401(k)
Paid time off
Vision insurance
Professional development assistance
Retirement plan

Qualifications

Customer service

Full Job Description

Chief Compliance Officer

Description:

Heritage Investors Management Corporation, is searching for a Chief Compliance Officer to manage all aspects of the firm’s compliance program. Heritage, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Manage, implement, operate and be responsible for the firm’s compliance program.
Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the firm’s compliance program.
Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
Train and educate employees on regulatory compliance matters.
Maintain well organized systemic records of the firm’s compliance program.
Act as a point of contact for regulators (SEC, FINRA).
Maintain ongoing expertise in federal and state regulatory policies.
Oversee employee personal trading and reporting.
Manage the firm’s surprise audit.
Assist with the firm’s corporate audit.
Support related activities.
Additional responsibilities as necessary.

QUALIFICATIONS:

5+ years of experience in Financial Services compliance, specifically working with Registered Investment Advisers
Strong knowledge and understanding of regulatory filings and relevant regulations and laws.
Experience with Greenboard is a plus.
Proficient in Microsoft Office (Word and Excel).
Excellent written and oral communication skills.
Strong customer service skills.
Ability to work and make decisions independently within a collaborative team environment.
High attention to detail and accuracy.
Unquestionable integrity and dependability.

Benefits include:

Company paid medical insurance, including company contribution to a Health Reimbursement Account
Company paid dental, life and disability insurance
Eligibility for 401k/retirement plan and profit sharing after 1 year of employment (at first opening thereafter)
Parking or public transportation assistance

Job Type: Full-time

Pay: $150,000.00 - $200,000.00 per year

Benefits:

401(k)
Dental insurance
Health insurance
Paid time off
Professional development assistance
Retirement plan
Vision insurance

Ability to Relocate:

Bethesda, MD 20814: Relocate before starting work (Required)

Work Location: In person

Quick Apply

Refine Your Search

compliance officer jobs in upper marlboro md

Chief Compliance Officer - Investment Advisor

Director/Senior Director of Compliance

Defense & Systems Chief Compliance Officer (D&S CCO)

Assistant Director of Compliance & Verification

Chief Compliance Officer

Director, Compliance Advisor

Director Compliance Advisory - Personal Loans

Director, Compliance Advisor

Cleared On Site Chief Security Architect for Governance, Risk and Compliance (5030)

Cleared On Site Chief Security Architect for Governance, Risk and Compliance (5030)

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