Chief Compliance Officer Salary at Elequin Capital Lp BETA

Job Overview: We are seeking a highly skilled and experienced part-time Chief Compliance Officer to join our team. As the Chief Compliance Officer, you will be responsible for ensuring that our organization operates in compliance with all relevant laws, regulations, and internal policies. You will oversee and implement our compliance program, monitor regulatory changes, and provide guidance to executives and management on compliance matters. If you have a passion for compliance and a desire to ensure ethical business practices, we would love to hear from you. Apply today to join our dynamic team as our Chief Compliance Officer. Responsibilities: - Develop and implement an effective compliance program to ensure adherence to applicable laws, regulations, and internal policies - Complete filings and renewal requirements for the firm - Conduct regular audits and reviews to identify potential compliance issues, including client communication monitoring, media monitoring, and usage of disclo

Overview: The Chief Compliance Officer (CCO) (Compliance Officer Lead) provides administration, vision, strategic direction, coordination, and implementation of a comprehensive and cohesive compliance and ethics program at Utah State University (USU). The CCO leads the Office of University Ethics & Compliance (UEC) within USUs Legal Affairs and reports directly to the Vice President of Legal Affairs. The CCO informs and advises the USU Board of Trustees Audit, Risk, Compliance Committee and implements this committees recommendations regarding university compliance and ethics efforts. The CCO provides oversight and coordination of campus compliance officers and stakeholders to ensure implementation and maintenance of effective compliance systems. The CCO assists senior leadership, mid-level management, and staff to advance a university-wide culture of legal compliance and ethical conduct. The CCO monitors international, federal, and state regulations and works with USU administrators to

Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper. The Chief Compliance Officer is responsible for managing the firm’s compliance and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong partnerships across teams and stakeholders. Responsibilities: Lead compliance program in accordance with the Investment Advisers Act of 1940, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance training Guide, develop, and support members of theCompliance team Develop, oversee, and prepare periodic reports to senior management and the Executive Committee Eval

Overview: A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. This individual will be responsible for developing and managing a comprehensive compliance management program, including regulatory change oversight, risk assessments, internal reviews, and regulatory reporting. The role also includes accountability for identity theft, privacy, accessibility, and customer complaint programs. Required Qualifications: Bachelor's degree in Business or related field, or equivalent work experience in banking At least 5 years of direct experience with federal and state consumer compliance regulations Prior management or team leadership experience Proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook Preferred Qualifications: CRCM certification (Certified Regulatory Compliance Manager) Core Responsibilities: Lead the institution’s efforts to comply with consumer-related lending and deposit regula

CHIEF COMPLIANCE OFFICER The Chief Compliance Officer shall be responsible for leading, overseeing, and managing the Compliance Program and all affiliated programs. The role shall ensure the overall effective operations of our Compliance Program and will coordinate efforts across the enterprise including, but not limited to, health plan operations, functional leadership, Clinical Delivery Entities, and delegated entities. ESSENTIAL FUNCTIONS: Participating in enterprise strategy and organizational change planning as a thought leader to ensure compliance program functions meet the organization's goals proactively over time evaluating risk, talent, process and technology ongoing to stay apace with change. Developing, updating, and implementing Compliance Policies and Procedures ("P&Ps") and supporting protocols required to maintain compliance with all federal and state healthcare program requirements, health plan regulations, and accreditation standards, while ensuring that all Complianc

Job Description Job Description We are seeking a Chief Compliance Officer for our wealth management firm in our Bellevue office in Bellevue, WA. Candidates who fit into our firm and culture will desire to be in a small firm environment, embrace technology, work collaboratively, and want to be involved in all aspects of the business. Position Overview This is a professional position that will primarily be responsible for providing leadership and vision to the Compliance function of the firm. This would include designing, implementing, and overseeing our organization's compliance program, ensuring adherence to all applicable laws, regulations, and internal policies across all business functions, by monitoring activities, conducting audits, and investigating potential violations to mitigate legal and reputational risks; essentially acting as the guardian of ethical business practices within the company. Adaptive and in-depth understanding of computer skills is essential for the position a

Job Summary The Chief Compliance Officer (CCO) is responsible for developing, implementing, and overseeing Summit Healthcare's compliance program to ensure adherence to all applicable federal, state, and local laws, regulations, and industry standards. This role requires a deep understanding of the healthcare industry, including reimbursement, coding, billing, and privacy regulations. The CCO will collaborate with leadership to foster a culture of compliance and ethical conduct. This position is responsible for working closely with the Governing Board (Board) and Administration to ensure the consistent readiness of all regulatory requirements. The CCO reports directly to the Chief Executive Officer. Essential Functions - Proactively reports to and educates the Board, Administration, and the management team regarding regulatory compliance and related issues, new statutes/guidelines. - Consults with Administration, medical staff and department directors on compliance issues. - Develops r

Job Description Job Description We’re looking for a licensed compliance specialist that has been honing their craft and is ready to take the next step in their career. We create industry-leading trading software for retail and professional equity traders. We cover the full spectrum of the trading lifecycle. We consume market data directly from major exchanges such as NYSE and NASDAQ. We facilitate order executions with some of the world’s largest broker-dealers and market makers. We also settle and book all trading activity. This role will provide access and exposure to the electronic trading industry not ordinarily available at other firms. Help build, maintain, and support our platform with some of the best financial technology developers in the industry. Responsibilities: The primary focus will be managing compliance and firm risk Ensure compliance with industry rules, regulations, and policy Collaborate with other development teams Collaborate with our business teams Must be soluti