Compliance Officer Salary at Efg Hermes Holding BETA

About the Job JCW is partnering with a Community Bank who is looking to bring on a new Compliance Officer to their team. This role would be involved with the management of the firm's Compliance program, reporting to the Bank's COO. Role Responsibilities Assist in the oversight the Compliance department for the Bank. Oversee the development of the annual CRA performance plan. Implement new and maintain current policies and procedures for the Bank. Dealing with Regulatory inquiries examinations for the Bank. Assist with the development of Compliance Training programs. Qualifications 5+ years of relevant Banking Compliance experience. ICBA/ABA Compliance certifications preferred.

Title: Compliance Officer Firm: $10B+ Private Equity Firm Location: New York, New York Highlights: Opportunity to oversee and manage the firm's compliance program as the first US based legal/compliance hire Opportunity to learn every aspect of investment advisor compliance and improve upon new processes, automation, etc. Phenomenal culture, perks, and benefits - close knit team who has a great sense of humor CCO is eager to hand off large pieces of the program in order to give this individual autonomy and growth Description: Oversee and monitor the firm's overall compliance program Ensure compliance with Code of Ethics (managing personal trading, political contributions, outside business activities, and compliance certifications Conduct testing and surveillance of key compliance controls Lead the annual compliance review in collaboration with external consultants Manage regulatory filings including Form ADV and Form PF Review marketing materials to ensure compliance with SEC filings Re

Job Description Job Description Do you like helping organizations meet compliance? Do you want to have the ability to build something brand new? Do you enjoy learning everything you can while helping others. If so, we have a position just for you. We are looking for an experienced compliance analyst to help us build out a dedicated compliance program for our clients. An ideal fit would be someone who likes being part of a small laid back group excited to build something from the ground up. This is a fast paced role where you get to have personal relationships with coworkers and clients. Working with multiple clients helping them determine their compliance needs, scope their requirements and consult with them to help them meet the specific compliance goals. Responsibilities: - Develop and implement a scalable compliance program for clients. - Help develop strategies and consult on the software development lifecycle of the company's in house compliance solution. - Consult with clients on

About the job Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Responsibilities

Job Duties 1. Compliance Officer's primary responsibility is design, implementation and effective operation of the compliance program. 2. In carrying out policies and responsibilities of the office, Compliance Officer: •Have direct access to CEO and Board of Trustees. •Not be subordinate to financial business office director/manager. •Have authority to investigate compliance violations and act as needed. •Have access to all needed information, including contracts, billing records and contractual arrangements. 3. Board of Trustees will provide oversight of Compliance Officer's activities. 4. Compliance Officer provides updates on a regular basis to CEO and Board of Trustees on progress of implementation and improvement of the compliance program. Procedure 1. Oversee and monitor design, implementation and improvement of the compliance program in light of changes in regulatory and legal environment and conformity to ethical standards. 2. Be responsible for developing, coordinating and par

Russell Tobin's client is hiring a Compliance Officer (AML/BSA Specialist) in Tempe, AZ Employment Type: Contract Location: Hybrid, Tempe, AZ 85281 Schedule: 8am-4:30pm Pay rate: $24-$26.43/hr Responsibilities: Responsible for the reviewing of currency transactions and suspicious activity in accordance with the Bank Secrecy Act. Under general supervision and guidance, responsibilities are varied and moderate to complex. Follows defined procedures, policies, and precedents and refers to unusual situations that require exceptions to the Manager or Supervisor. Supervisor schedules work however incumbent prioritizes assigned tasks. May serve as a resource for less experienced staff and assist in their training. Strong ability to identify and interpret data and resolve exceptions. Good interpersonal, verbal, and written communication skills. Good knowledge of PC-based software, i.e., Word, Excel, etc., and applicable business line systems. Strong analytical skills and one to three or more y

Job Title: Compliance Officer Location: Jersey City, NJ (3 Days/Week onsite from start of assignment) Duration: 6 Months Business Overview: The Registrations Compliance team supports client’s Securities Corp. (U.S. SEC/FINRA registered broker-dealer; NFA/CFTC registered futures commission merchant/swap firm; holds memberships with various principal U.S./Non-U.S. Exchanges/Regulators) and its registered personnel from a licensing and registration perspective. In addition, the team supports client (CFTC registered swap dealer) from an entity perspective and registration of its principals. The team collaborates closely across all business lines to ensure the firm and its registered employees are satisfying their regulatory obligations. Responsibilities: Registrations Compliance is responsible for maintaining accurate and complete FINRA and CFTC/NFA registration for Registered Representatives of client’s Securities Corp and the swap dealer(s). In addition, ensuring the appropriate corporat

Join Our Team as a Compliance Officer – Be the Champion of Compliance Excellence at First Secure Bank Group! Are you a detail-driven professional with a passion for doing things the right way? Do you thrive on creating order out of complexity and staying one step ahead of regulations? If so, First Secure Bank Group wants to meet you! We’re seeking a Compliance Officer who’s ready to take ownership of our Compliance Program and champion a culture of accountability across our community-focused financial institution. This is your opportunity to play a key leadership role supporting all three of our bank charters and departments under the holding company umbrella. You’ll be the go-to expert, advisor, and watchdog—helping us navigate the ever-evolving regulatory landscape while making sure our practices are solid, ethical, and efficient. About the Role - CORE RESPONSIBILITIES: Demonstrate highest standards of personal and professional integrity, adhere to company’s policies and procedures,