Compliance Officer Salary at Norgren Inc BETA

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

Required Skills & Experience: • Law / Juris Doctor (JD) degree or equivalent legal qualification PREFERRED. • Minimum of 6 years of experience in compliance within financial brokerages, FCM, futures trading, or trading software. • Extensive knowledge of CME, CFTC, FTC regulations and other relevant regulatory bodies. • Proven track record of managing compliance programs and conducting audits. Job Description: A client of Insight Global is seeking a highly experienced Compliance officer to join their team. The ideal candidate will be a lawyer or possess senior experience within financial brokerages, Futures Commission Merchants (FCM), futures trading, or trading software. This role requires deep industry knowledge and experience with regulatory bodies such as CME, CFTC, FTC, etc. Responsibilities: • Develop, implement, and oversee compliance policies and procedures to ensure adherence to regulatory requirements. • Monitor and interpret regulatory changes and ensure the company’s complia

Broker/Dealer based in mid-town NYC. Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations. 7+ years applicable experience is needed. Series 7 required, Series 24 preferred. Knowledge of TRILIUM and SMARTS software a plus.

Chesapeake Search Partners has partnered with an established financial services firm in Baltimore, MD, to identify a detail-oriented and self-motivated Compliance Officer. This individual will be responsible for administering the firm’s Code of Ethics, reviewing marketing materials and other collateral to ensure compliance with regulatory and policy requirements, supporting the development and execution of the firm’s Compliance Testing Program, and serving as a resource for general compliance matters. The ideal candidate will possess all required qualifications, demonstrate strong ownership over their responsibilities, and work effectively under moderate supervision. The Compliance Officer must exhibit exceptional communication and organizational skills, attention to detail, a commitment to excellent client service, and a collaborative approach to risk reduction and continuous improvement of the firm’s compliance program. Key Responsibilities: Administer the firm’s Code of Ethics progr

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.

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 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

Company Description Standish Compliance Services, LLC (Standish Compliance) is comprised of a team of former SEC regulators, seasoned private fund experts, certified AML/KYC specialists, IT-proficient staff, and professional compliance consultants. We serve as an extension of our clients’ in-house compliance team to provide the regulatory and compliance expertise firms need and that institutional LPs and regulators expect. We assign a dedicated team that works proactively with each client, getting to know and understand their business to design, implement, and administer an effective compliance solution. We provide proactive high-touch compliance expertise and services to leading and emerging private fund managers. Our clients include private equity funds, real-asset funds, hedge funds, venture capital funds, real estate funds, oil and gas funds, other alternative investment funds, and select family offices and private wealth managers. Standish Compliance is a subsidiary of Standish Ma