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Compliance officer • san francisco ca

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Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

ConfidentialSan Francisco, CA, United States
[job_card.full_time]
Chief Compliance Officer (CCO).Pioneering healthcare solutions provider for the agriculture industry.The Company is seeking a Chief Compliance Officer to join their team. The successful candidate wi...[show_more][last_updated.last_updated_variable_hours]
Senior Compliance Officer, Card Schemes

Senior Compliance Officer, Card Schemes

AdyenSan Francisco, CA, United States
[job_card.full_time]
Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice.At Adyen, everyt...[show_more][last_updated.last_updated_variable_days]
  • [promoted]
Chief Compliance Officer : Digital Assets & Broker-Dealer

Chief Compliance Officer : Digital Assets & Broker-Dealer

P2PSan Francisco, CA, United States
[job_card.full_time]
A digital asset firm is seeking a Compliance Director to lead compliance programs for its broker-dealer and transfer agent operations. The successful candidate will manage compliance with SEC and FI...[show_more][last_updated.last_updated_30]
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Manager, Compliance Investigations

Manager, Compliance Investigations

SnapSan Francisco, CA, United States
[job_card.full_time]
We believe the camera presents the greatest opportunity to improve the way people live and communicate.Snap contributes to human progress by empowering people to express themselves, live in the mom...[show_more][last_updated.last_updated_1_day]
  • [promoted]
Payroll / Compliance Specialist

Payroll / Compliance Specialist

PrideStaffOakland, CALIFORNIA
[job_card.full_time]
[filters_job_card.quick_apply]
Certified payroll experience is a must!.We are seeking a detail-oriented and experienced Payroll Specialist to join our finance team. The ideal candidate will be responsible for managing payroll pro...[show_more][last_updated.last_updated_variable_days]
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Digital Assets Compliance Officer

Digital Assets Compliance Officer

Figure LendingSan Francisco, CA, US
[job_card.full_time]
Figure (NASDAQ : FIGR) is transforming capital markets through blockchain.We're proving that blockchain isn't just theory - it's powering real products used by hundreds of thousands of c...[show_more][last_updated.last_updated_30]
Senior Director, Conduct Compliance Programs Officer

Senior Director, Conduct Compliance Programs Officer

KPMGSan Francisco, CA
[job_card.full_time]
Known for being a great place to work and build a career, KPMG provides audit, tax and advisory services for organizations in today's most important industries. Our growth is driven by delivering re...[show_more][last_updated.last_updated_variable_days]
Compliance Analyst

Compliance Analyst

San Francisco StaffingSan Francisco, CA, US
[job_card.full_time]
Snap Inc is a technology company.We believe the camera presents the greatest opportunity to improve the way people live and communicate. Snap contributes to human progress by empowering people to ex...[show_more][last_updated.last_updated_variable_days]
License Compliance Manager

License Compliance Manager

Cypress HCMSan Francisco, CA, US
[job_card.full_time]
Using industry best practices, develop and drive projects and the license compliance program to ensure software and hardware licensees meet our licensing obligations. Drive our license compliance pr...[show_more][last_updated.last_updated_30]
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Compliance Engineer

Compliance Engineer

ConductorOne Inc.San Francisco, CA, United States
[job_card.full_time]
ConductorOne is the first AI-native identity security platform that protects every identity : human, non-human, and AI.With powerful automation, platform-level AI, and out-of-the-box connectors, it ...[show_more][last_updated.last_updated_30]
Compliance Engineer

Compliance Engineer

ConductorOneSan Francisco, CA, United States
[job_card.full_time]
ConductorOne is the first AI-native identity security platform that protects every identity : human, non-human, and AI.With powerful automation, platform-level AI, and out-of-the-box connectors, it ...[show_more][last_updated.last_updated_variable_days]
  • [promoted]
Environmental Compliance Specialist

Environmental Compliance Specialist

Terraphase Engineering IncOakland, CA, US
[job_card.full_time]
Terraphase Engineering is seeking a Project or Senior Project Environmental Engineer / Scientist to fill our position as an Environmental Compliance Specialist in one of our California offices (Sac...[show_more][last_updated.last_updated_30]
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Compliance Director

Compliance Director

TradeJobsWorkForce94125 San Francisco, CA, US
[job_card.full_time]
Compliance Director Job Duties : Accomplishes compliance human resource strategies by determining acco...[show_more][last_updated.last_updated_30]
  • [promoted]
Compliance Analyst I

Compliance Analyst I

The Voleon GroupBerkeley, CA, US
[job_card.full_time]
Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the ...[show_more][last_updated.last_updated_variable_days]
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Compliance Officer

Compliance Officer

VirtualVocationsOakland, California, United States
[job_card.full_time]
A company is looking for a Compliance Officer responsible for managing its compliance program and ensuring adherence to laws and regulations. Key Responsibilities Oversee the development and monit...[show_more][last_updated.last_updated_variable_days]
  • [promoted]
Chief Finance & Compliance Officer

Chief Finance & Compliance Officer

Family and Child Empowerment Services - San FranciscoSan Francisco, CA, United States
[job_card.full_time]
At Family & Child Empowerment Services (FACES), we envision a future where all families have what they need to live, grow, and thrive in San Francisco. We provide families with high-quality early ch...[show_more][last_updated.last_updated_1_day]
  • [promoted]
VP, Compliance Officer - Global Control Group (IB & Research)

VP, Compliance Officer - Global Control Group (IB & Research)

Jefferies Financial GroupSan Francisco, CA, US
[job_card.full_time]
Focus on the core content of the job post, removing any extra metadata, navigation mentions, and redundant headers.Keep the formatting beautiful and high signal to noise ratio.[show_more][last_updated.last_updated_30]
Compliance Coordinator

Compliance Coordinator

University of California - RiversideOakland, CA, United States
[job_card.full_time]
Under the direction of the Senior Associate Athletics Director for Compliance Services, the Compliance Coordinator provides support in the areas of rules, education, initial and continuing eligibil...[show_more][last_updated.last_updated_30]
  • [promoted]
Chief Compliance Officer (CCO) - US

Chief Compliance Officer (CCO) - US

Allocator One GroupSan Francisco, CA, United States
[job_card.full_time]
Allocator One Group is a global investing platform redefining how institutional capital reaches private markets.We operate through two synergistic businesses : . We are already live and serving in the...[show_more][last_updated.last_updated_variable_days]
Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

ConfidentialSan Francisco, CA, United States
[job_card.variable_hours_ago]
[job_preview.job_type]
  • [job_card.full_time]
[job_card.job_description]

Chief Compliance Officer (CCO)

About the Company

Pioneering healthcare solutions provider for the agriculture industry

Industry

Hospital & Health Care

Type

Privately Held

Founded

1957

Employees

201-500

Specialties

  • medical health plan
  • health & wellness
  • cobra administration
  • care management
  • field services
  • bilingual field services
  • health centers
  • rural health centers
  • mexico health network
  • mexico clinic network
  • online tools and resources
  • and health & wellness centers

About the Role

The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for the day-to-day supervision and activities of the broker-dealer / investment advisor, client accounts and investment administration, and broker and banking relationships. This role requires enhancing and maintaining written supervisory procedures, training, licensing, internal controls, and various regulatory responsibilities. The Chief Compliance Officer will also be involved in managing compliance, administration, and overall supervision of registered representatives and investment advisers, as well as conducting regulatory examinations and ensuring adherence to laws.

Applicants for the Chief Compliance Officer position at the company should have a BA / BS and / or 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm. A proven track record in the field is preferred. The role demands excellent familiarity with the SEC and FINRA environment, as well as a clean U-4 with current Series 7, 24, 53, 99, and 66 licensing. The ideal candidate will have experience with commission vs. advisory business, knowledge of trading, and be familiar with OATS / CATS and TRACE reporting. High standards of integrity, ethical judgment, and excellent communication skills are essential. The Chief Compliance Officer will also be responsible for administrative tasks, including updating business continuity and cybersecurity plans, and serving as the Corporate Secretary for the financial services division.

Travel Percent

Less than 10%

Functions

  • Finance