Compliance officer Jobs in Lynn, MA
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Compliance officer • lynn ma
Last updated: 13 hours ago
We are a growing Registered Investment Advisory firm located in downtown Boston.Our primary distribution channels are in the US broker-dealer and investment advisor marketplace.We are seeking a Chi...Show moreLast updated: 23 days ago
Consulting specializes in recruitment across diverse sectors, including Healthcare, Health Tech, Government, Municipalities, Non-Profits, Legal, Public Accounting, Food and more.We are proactively ...Show moreLast updated: 6 days ago
ExecHQ is an advisory firm comprised of executives with extensive C-Suite (e.Business Owners, CEOs, Boards, Private Equity Firms, Family Offices, Non-Profits, and other entities.Our clients range i...Show moreLast updated: 27 days ago
COMPANY OVERVIEWKKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions.
KKR aims to generate attractive investment return...Show moreLast updated: 16 days ago
Reporting to the University Chief Research Compliance Officer, the Research Compliance Officer (RCO) works closely with various stakeholders to develop and implement research compliance policies.Th...Show moreLast updated: 30+ days ago
University Relations comprises departments that serve the entire university community and act as a liaison to our host communities and to the general public.
The University Relations division streng...Show moreLast updated: 30+ days ago
This individual will act as a Compliance Officer for Leerink Partners, an institutional brokerage and investment-banking firm specializing in the healthcare sector.
The broker-dealer has a need for ...Show moreLast updated: 1 day ago
The Massachusetts Commission Against Discrimination (MCAD) is the independent state agency that enforces the Massachusetts anti-discrimination laws by investigating Discrimination Complaints to det...Show moreLast updated: 30+ days ago
Mid-sized global asset manager in Boston is looking for two compliance officers.Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in.The Compl...Show moreLast updated: 30+ days ago
Managing Director & Chief Investment Officer, Wealth Management.Hybrid - Boston, MA - 60 State St.The VP, Compliance Officer - Asset Management will develop, strengthen, and maintain the compliance...Show moreLast updated: 7 days ago
This role focuses on ensuring the organization's business activities are conducted ethically and in compliance with relevant regulations, laws, and standards.
In addition, this role focuses on perfo...Show moreLast updated: 30+ days ago
Bank, we’re on a journey to do our best.Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.We b...Show moreLast updated: 13 hours ago
Join Ironhorse Funding LLC as the Director of Compliance and be part of a dynamic and energetic team based in Beverly, MA.
This onsite role offers the unique opportunity to lead compliance efforts i...Show moreLast updated: 9 days ago
Chief Compliance Officer / In-House Counsel to join their leadership team.Reporting directly to the executive leadership, this individual will play a vital role in overseeing the firm's regulatory an...Show moreLast updated: 28 days ago
ExecHQ is an advisory firm comprised of executives with extensive C-Suite (e.Business Owners, CEOs, Boards, Private Equity Firms, Family Offices, Non-Profits, and other entities.Our clients range i...Show moreLast updated: 30+ days ago
Continue to improve and build upon a strong global compliance program in support of the fourth largest asset management firm in the world that keeps pace with applicable global regulations, includi...Show moreLast updated: 18 hours ago
Senior Compliance Officer - Investment Advisor.Senior Compliance Officer - Investment Advisor.Senior Compliance Officer - Investment Advisor.
Be among the first 25 applicants.Senior Compliance Offic...Show moreLast updated: 2 days ago
Play a critical role in national security by ensuring compliance.Work in a secure, high-demand field supporting defense and government.
Our Client, located in the north shore of Massachusetts is a g...Show moreLast updated: 30+ days ago
The Massachusetts Commission Against Discrimination (MCAD) is the independent state agency that enforces the Massachusetts anti-discrimination laws by investigating Discrimination Complaints to det...Show moreLast updated: 30+ days ago
- Promoted
Chief Compliance Officer
PeopleFluentBoston, MA, USFull-time
- Promoted
COMPLIANCE OFFICER
destinationone ConsultingBoston, MA, United StatesFull-time
- Promoted
Deputy Chief Compliance Officer
Boston Children's MuseumBoston, MA, USFull-time +1
Conflicts Compliance Officer
Careers at KKRCambridge, MA, United StatesFull-time
Research Compliance Officer
Harvard UniversityCambridge , MA, USAFull-time
Deputy Chief Compliance Officer
Tufts UniversityMedford, Massachusetts, United StatesFull-time
- Promoted
COMPLIANCE OFFICER
Leerink PartnersBoston, MA, United StatesFull-time
- Promoted
Compliance Officer I (Employment)
MASSBoston, MA, USFull-time +1
- Promoted
COMPLIANCE OFFICER
The CERES GroupBoston, MA, United StatesFull-time
- Promoted
VP, Compliance Officer - Asset Management
Berkshire BankBoston, MA, USFull-time
Chief Compliance Officer
Tufts MedicineBoston, MA, USFull-time
- Promoted
- New!
COMPLIANCE OFFICER
U.S. BankBoston, MA, United StatesFull-time
- Promoted
DIRECTOR OF COMPLIANCE / COMPLIANCE OFFICER
Ironhorse Funding LLCBeverly, MA, United StatesFull-time
- Promoted
Chief Compliance Officer
Harrison Gray Search and Consulting LLCBoston, MA, USFull-time
- Promoted
DEPUTY CHIEF COMPLIANCE OFFICER
Boston Children’s MuseumBoston, MA, United StatesFull-time +1
- Promoted
- New!
SVP, Chief Compliance Officer, SSGA
Todd & Weld, LLPBoston, MA, USFull-time
- Promoted
SENIOR COMPLIANCE OFFICER - INVESTMENT ADVISOR
Victory CapitalBoston, MA, United StatesFull-time
- Promoted
Compliance & Security Officer - Manufacturing - Boston
Michael PageBoston, MA, USFull-time
Compliance Officer I (Employment)
Commonwealth of MassachusettsBoston, MassachusettsFull-time +1
- dentist (from $ 103,750 to $ 233,500 year)
- general dentist (from $ 157,500 to $ 220,000 year)
- hospital (from $ 84,338 to $ 209,500 year)
- nurse practitioner (from $ 40,000 to $ 197,600 year)
- software engineer (from $ 54,925 to $ 172,350 year)
- truck driving (from $ 68,000 to $ 171,600 year)
- driving (from $ 68,188 to $ 167,400 year)
- scheduler (from $ 38,610 to $ 165,750 year)
- Houston, TX (from $ 83,750 to $ 195,200 year)
- New York, NY (from $ 92,369 to $ 190,065 year)
- Boston, MA (from $ 83,750 to $ 185,000 year)
- Chicago, IL (from $ 88,125 to $ 176,900 year)
- San Francisco, CA (from $ 78,000 to $ 175,000 year)
- San Diego, CA (from $ 69,689 to $ 173,250 year)
- Miami, FL (from $ 33,880 to $ 165,000 year)
- Tampa, FL (from $ 74,810 to $ 158,135 year)
- Los Angeles, CA (from $ 79,950 to $ 150,573 year)
- Dallas, TX (from $ 74,700 to $ 146,100 year)
The average salary range is between $ 54,499 and $ 150,995 year , with the average salary hovering around $ 85,967 year .
Chief Compliance Officer
PeopleFluentBoston, MA, US23 days ago
Job type
- Full-time
Job descriptionBachelor's Degree Strong knowledge of legal requirements Requires attention to detail, as well as the ability to work independently Strong analytical and problem-solving skills Ability to multi-task, meet deadlines Excellent verbal and written communications skills Compensation is commensurate with experience Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k). Investment Management Finance
We are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business. The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and detailed experience with 1940 Act (Mutual Funds).
Key Responsibilities :
- Develop a detailed understanding of firm's business to manage compliance and federal securities law and regulations for mutual funds, separately managed accounts, and variable insurance trusts.
- Ensure advertising / marketing materials for products and their use by Sales & Marketing are compliant with applicable regulatory requirements
- ADV Reviews and Updates
- Prospectus, Annual Reports, SAI filings and Updates
- Onboarding new personnel with FINRA Registrations / Compliance Meetings / Training Materials / Code of Ethics / Compliance Manual
- Lead person for audits, legal, and business partners for ongoing business changes, and regulatory expectations
- Develop and implement effective surveillance oversight for sales, marketing, trading, products
- Prepare Board Report and presentation
Requirements :
Benefits :
Seniority Level
Mid-Senior level
Industry
Employment Type
Full-time
Job Functions
How you match