- Aegon Asset Management (Denver, CO)
- …regulatory requirements. Develop and assist in the preparation of reports for the TAM Chief Compliance Officer concerning these programs. + Direct and assign ... reviews, regulatory examinations, investigations, rule changes and/or industry trends. Advise Chief Compliance Officer of regulatory risks, gaps, and… more
- Coinbase (Denver, CO)
- …*What you'll be doing (ie. job duties):* * Serve as trusted partner to the Chief Compliance Officer , driving strategic and operational alignment across the ... collaboration, connection, and alignment. Attendance is expected and fully supported. The CCO leads Coinbase's global compliance strategy, ensuring the company… more
- Janus Henderson Investors (Denver, CO)
- …and Rule 206(4)-7. The key duties and responsibilities include: + Prepare quarterly and annual chief compliance officer ( CCO ) reports under Rule 38a-1 ... with your own, we would love to hear from you! Your opportunity The Senior Compliance Analyst performs a variety of activities in the Corporate Compliance group… more
- Prime Therapeutics (Denver, CO)
- …collect, prepare, and maintain records and related documentation for reporting to the Chief Compliance Officer , Prime's senior leadership team, executives, ... effectiveness through compliance hotline inquiry management and investigations, compliance education and communications , governance reporting, as well as… more