Compliance Officer Salary at Pbz Llc BETA

Description COMPLIANCE OFFICER Location: Washington DC (preferred); Huntsville AL; San Antonio, TX US Citizens Only STAR LAB In a world increasingly driven by software innovation, Star Lab is pioneering the technologies to protect mission critical systems and devices from sophisticated cyber threats. Armed with a long, successful track record securing combat systems, we employ an emerging approach to systems security engineering: secure tactical virtualization with integrated hardware and software protections. Our products are designed at the outset to handle worst-case threat scenarios. We prevent attackers from tampering with and altering software and firmware, and severely limit maneuverability, to ensure that mission critical systems remain resilient and operate normally even during an attack. We are looking for individuals to join our team to accelerate the digital transformation of our customers with a new generation of Mission Critical AI Systems in an AI-first world with the mo

About Us: Brookstone Capital Management is a dynamic and forward-thinking national Financial Services firm with $11B in Assets Under Management (AUM) providing a Turnkey Asset Management Platform (TAMP) to Financial Advisors. We are committed to providing innovative services, technology, and investment solutions to Financial Advisors and their clients. As we continue to rapidly grow, we are seeking a Compliance Officer to join our team. The successful candidate will be a high-energy, team-oriented, collaborative individual who supports the oversight needs of the firm's Investment Advisers. Must be able to successfully operate as a hands-on contributor in a fast-paced, team-oriented, and deadline-sensitive environment. This is an onsite role working in our home office located in Wheaton, IL supporting our network of 750+ Advisers across all 50 states. We are looking for high performing individuals with a strong work ethic, passion for what they do, and positive attitude to join our high

Compliance Officer Position Details Assist in the management of the Firm's global Quantitative Trading Compliance program, including ownership of the initial vetting and ongoing review processes of portfolio management teams against the Firm's Algorithmic Trading Policy Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance Firm's global Quantitative Trading Compliance program Update senior team members on status of the Quantitative Trading Compliance program, including current reviews completed, ongoing enhancements and global updates Assist with regulatory examinations, inquiries, investigations and projects, as necessary Assist with drafting and amending compliance related policies and procedures Prepare and conduct compliance trainings Qualifications/Skills Required 7+ years of experience Experience at a regulatory authority, bank/broker or buy-side firm Experience with addressing algorithmic/systematic trading matters

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

Description Position at Star Lab COMPLIANCE OFFICER Location: Washington DC (preferred); Huntsville AL; San Antonio, TX US Citizens Only STAR LAB In a world increasingly driven by software innovation, Star Lab is pioneering the technologies to protect mission critical systems and devices from sophisticated cyber threats. Armed with a long, successful track record securing combat systems, we employ an emerging approach to systems security engineering: secure tactical virtualization with integrated hardware and software protections. Our products are designed at the outset to handle worst-case threat scenarios. We prevent attackers from tampering with and altering software and firmware, and severely limit maneuverability, to ensure that mission critical systems remain resilient and operate normally even during an attack. We are looking for individuals to join our team to accelerate the digital transformation of our customers with a new generation of Mission Critical AI Systems in an AI-fi

If you are an internal associate, please login to Workday and apply through Jobs Hub. Working at PPM America, Inc. PPM America, Inc. (PPM) is a client-focused investment manager, and our mission is to deliver client-specific solutions and world class service to investors in the pursuit of their unique investment objectives. PPM prides itself on being a nimble, investment-led organization that is responsive to the opportunities that our teams discover together. Click here for a description of our assets under management and our investment strategies. PPM was named one of the Best Places to Work in Money Management by Pensions & Investments in 2024. We attract professionals who exhibit humbleness, directness, and dedication. Our communication style is informal, and we encourage collaboration by giving our teams the freedom to speak openly and share new ideas. PPM's values guide our internal conduct and help define the type of relationships we share with our investors, affiliates, and oth

Compliance Officer (San Francisco, CA): Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GC/CCO touching US and international compliance. Highlights: Opportunity to join a growing firm in a newly created capacity working alongside a talented GC/CCO as the first fully dedicated compliance hire Firm encourages an open door policy and values kind, smart, collaborative people Highly visible and interactive role across teams and all levels internally Hybrid work (4 days in) and excellent work/life balance, benefits, and compensation Responsibilities: Conduct general compliance reviews including: personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing Design and implement compliance policies, procedures and related controls and testing protocols Prepare regulatory filings (i.e. ADV, Form

Compliance Officer (San Francisco, CA): Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GC/CCO touching US and international compliance. Highlights: Opportunity to join a growing firm in a newly created capacity working alongside a talented GC/CCO as the first fully dedicated compliance hire Firm encourages an open door policy and values kind, smart, collaborative people Highly visible and interactive role across teams and all levels internally Hybrid work (4 days in) and excellent work/life balance, benefits, and compensation Responsibilities: Conduct general compliance reviews including: personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing Design and implement compliance policies, procedures and related controls and testing protocols Prepare regulatory filings (i.e. ADV, Form