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The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”) . LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all ad…
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Job Description Job Description Description: The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”) . LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively th…
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Larson Financial Group, LLC seeks a Compliance Officer to support the Legal & Regulatory Compliance department within our financial services firm focused on medical professionals. You will oversee compliance programs, monitor regulatory changes, conduct reviews, and advise leadership and Financial Advisors on SEC/FINRA and state regulations. Partnering closely with our client-centric advisory team, you will help ensure ethical practices, mitigate risk, and support compliant delivery of tailored…
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The Compliance Officer ("CO") is a key role within Larson Network Services ("LNS") . LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC ("LFS") and two Registered Investment Advisors, Larson Financial Group, LLC ("LFG"), Larson Wealth Partners, LLC ("LWP") and Larson Capital Management, LLC ("LCM") (collectively the "Firm"). The CO helps to ensure that all ad…
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PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adju…
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PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adju…
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Connecting clients to markets – and talent to opportunity. With 5,400 employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading…
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With 5,400 employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institu…
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Job Description Job Description POSITION LOCATION IS ON-SITE IN MADISON, WI. Position contingent upon award of contract. SUMMARY: The Compliance Officer ensures inspections, reporting, and Officer related field and administrative processes are being performed as directed. Inspects provider motor vehicles for compliance with statutory regulations by performing the following duties. Serves as Instructor or Facilitator for Driver Training. Acts as a liaison in the field for contractual requirement…
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Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division. - Review marketing material for consist…
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Position Information Position Title Compliance Officer Posting Category Full-Time Staff/Management Starting salary range $67,055-$87,171 Faculty Position (if applicable) About Harford Community College Harford Community College (HCC) has been a vital part of Harford County since 1957. As a mid-sized, comprehensive institution, we're committed to delivering high-quality education and cultural enrichment to our community. Our mission is to provide relevant, accessible education and training that …
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Description We are looking for an experienced Compliance Officer to support a long-term contract opportunity in Burlington, Massachusetts. This part-time role is suited for someone who is detail oriented and has a strong background in ethics and compliance, including trade-related regulatory matters such as sanctions and export controls. The ideal candidate brings experience advising organizations with software offerings across both on-premise and SaaS models, along with knowledge of corporate …
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Overview Compensation: $175,000 – $325,000 total compensation , depending on experience, licensing, and scope of responsibility Chief Compliance Officer Caldwell Sutter Capital Location: Sausalito, CA (Preferred) | Hybrid / Remote Considered Compensation: $175,000 – $325,000 total compensation , depending on experience, licensing, and scope of responsibility About Caldwell Sutter Capital Caldwell Sutter Capital is a growing, dually registered financial services firm operating as both a FINRA re…
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Overview We are a values driven organization putting Relationships FIRST . EagleBank (NASDAQ – EGBN) is focused on being Flexible, Involved, Responsive, Strong, and Trusted . By prioritizing meaningful connections with our customers, employees, and shareholders, we relentlessly deliver the most compelling, valuable service to our customers. EagleBank is committed to inclusion, equity, and respect. We celebrate diversity and intentionally seek out opportunities to learn from one another’s experi…
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EXCLUSIVE — Our client, a leading, public, technology manufacturing company with 7,000 employees and sales, engineering, and manufacturing locations in North America, Europe, Middle East, and Asia, seeks a Chief Compliance Officer in its Chicago headquarters. Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the company’s adherence to relevant laws, regulations, and ethical standards.…
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The Chief Compliance Officer (CCO) is responsible for the design, implementation, and ongoing administration of the firm’s compliance program across both its CFTC/NFA and SEC regulatory obligations. The CCO advises senior management on regulatory matters and fosters a strong culture of compliance throughout the organization. This role reports directly to senior management and has regular interaction with the firm’s principals, operations, trading, and legal functions. Responsibilities Own and a…
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Chief Compliance OfficerTyree & D'Angelo Partnersc\_suitePrivate EquityOn-siteLocationDallas, United StatesDate PostedJune 5, 2026Stay ahead of the marketGet instant notifications when new job openings matching Private Equity / c\_suite jobs in Dallas, United States are published. About This RoleTyree & D'Angelo Partners (TDP), a private equity investment firm with offices in Chicago and Dallas, is seeking a Chief Compliance Officer for one of its portfolio companies in the wealth management s…
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Chief Compliance Officer Duties: Establish, maintain and upgrade standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues. Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risks. Oversee and manage the compliance program functions for the BD and IRA, including implementation of wri…
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The Chief Compliance Officer (CCO) of H. Lee Moffitt Cancer Center and Research Institute, Inc. (Center) provides business leadership and vision for the strategic planning and management of a comprehensive healthcare compliance program in support of the mission and strategic goals of the Center. The CCO establishes and oversees an effective healthcare compliance program intended to prevent, detect and deter illegal, unethical or improper conduct. The CCO leads the independent review and evaluat…
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As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its investment affiliate. The CCO is responsible for maintaining a sustainable Compliance Management Program (CMP), including Fair Lending and Community Reinvestment Act (CRA) programs, to ensure compliance with applicable laws and regulations while proactively identifying and mitigating emerging risks. Report…
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