Compliance & Privacy Officer Salary in the United States

Responsibilities: Risk and Compliance Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures Provide timely written reports to document findings and corrective actions to branch offices Track findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or changes to policy in order to meet regulatory obligations Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators Investigate complex issues, including internal investigations and customer complaints, as needed Perform onboarding due diligence on prospective individuals wanting to affiliate with the firm Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies Keep current with federal and state laws and regulations, assisting with updating Wealth Solutions policies

ABS Global Investments is a global investment firm specializing in sourcing alpha opportunities across global equity strategies. ABS’s diverse global team and collaborative environment promote independent thinking and constructive debate. Our employees share an ownership mentality and a common commitment to the long-term success of our firm and an alignment of interest with our investors. Creating a vibrant ecosystem, we are driven by diligence, curiosity, and the pursuit of excellence. Role: Compliance Professional ABS Global Investments (Greenwich, CT) is looking for an onsite compliance professional with 5-10 years of experience. The ideal candidate will have worked at or provided extensive outsourced service to a registered investment adviser specializing in global equity long/short strategies. This person will report to the CCO and be responsible for the day to day administration of the firm’s compliance program. Responsibilities will include: Implementation and/or supervision of

Responsibilities: Risk and Compliance Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures Provide timely written reports to document findings and corrective actions to branch offices Track findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or changes to policy in order to meet regulatory obligations Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators Investigate complex issues, including internal investigations and customer complaints, as needed Perform onboarding due diligence on prospective individuals wanting to affiliate with the firm Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies Keep current with federal and state laws and regulations, assisting with updating Wealth Solutions policies

Joining Goodwill means being part of an organisation that is committed to making an impact in the community. If you are a strategic thinker, possess strong leadership skills, and have a passion for Risk Management then this is the role for you! This is an in Person position based out of Gorham, Maine! Job Summary: The Director of Risk Management is expected to: Partner with the Agency's Compliance/Privacy Officer in the development and oversight with risk/compliance programs to effectively detect and prevent violations of law, regulations, agency policies and code of ethics. Conduct investigations on non-compliance and/or violations of law or policy. Identify risk potential throughout the Agency and collaboratively develop processes to mitigate the risk for the protection of strategic, financial, legal, regulatory, operational, and reputational components through the development of controls and contingency plans. Oversee core functions of risk management to include; risk analysis/asses

ABS Global Investments is a global investment firm specializing in sourcing alpha opportunities across global equity strategies. ABSs diverse global team and collaborative environment promote independent thinking and constructive debate. Our employees share an ownership mentality and a common commitment to the long-term success of our firm and an alignment of interest with our investors. Creating a vibrant ecosystem, we are driven by diligence, curiosity, and the pursuit of excellence. Role: Compliance Professional ABS Global Investments (Greenwich, CT) is looking for an onsite compliance professional with 5-10 years of experience. The ideal candidate will have worked at or provided extensive outsourced service to a registered investment adviser specializing in global equity long/short strategies.This person will report to the CCO and be responsible for the day to day administration of the firms compliance program. Responsibilities will include: Implementation and/or supervision of new

Help at Home Senior Compliance Program Analyst Chicago , Illinois Apply Now Help at Home is the leading national provider of in-home personal care services, where our mission is to enable individuals to live with independence and dignity at home. Our team supports 66,000 clients monthly with the help of 53,000 compassionate caregivers across 12 states. Were looking for people who care about others, who are willing to listen, lean in and make impactful change. Each role at Help at Home can have a positive impact in supporting our caregivers and clients. If you are someone who leads with passion and integrity and are looking to join a rapidly growing, industry leading team, Help at Home may be a good fit for you.Job Summary:The Senior Compliance Program Analyst is responsible for supporting the FSC-Corporate ethics, compliance, and privacy program (ECP) through data analysis and reporting key performance indicators to the Chief Ethics and Compliance Officer. This includes researching ind