We are looking for a Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees’ work and provide advice on compliance.
To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry’s standards. If you also have a sharp business acumen, we’d like to meet you.
Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.
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Position OverviewThis position reports to a Research Compliance Manager in the Research Integrity unit of the Office of Research and works closely with compliance personnel and research administrators to provide administrative and programmatic support for Conflicts of Interest compliance and analysis, plus duties in related areas such as restricted research, responsible conduct of research, and...
27870BRJob Description:The Chief Compliance Officer ("CCO) is responsible for the overall development, oversight and administration of the compliance function and the managing and directing of the investment adviser compliance program for Lionstone Investments. Lionstone Investments is a Houston-based SEC-registered Investment Adviser that is currently primarily focused on the management of.....
TelComm Credit Union
Job Description...
Title: Compliance Officer
Department: Operations
Reports To: Director of Operations
Overview:
Performs functions essential to ensuring risk and compliance requirements as set forth by the State, HCUA, NCUA, and other regulatory agencies. Responsible for the development and implementation of credit union policies and procedures to ensure compliance w...