- LGBT Great (Newport Beach, CA)
- Vice President, Compliance Officer at PIMCO On-site Newport Beach, California, United States Full-time Posted 3 months ago Description PIMCO is a global leader ... clients. Position Overview PIMCO is seeking a seasoned VP, Compliance Officer to join our global Legal...enhancements and ensure global consistency Provide expert guidance on regulatory compliance for the firm's separate accounts… more
- Western Growers (Irvine, CA)
- …a rich benefits package that includes profit-sharing. Job Description Summary The Chief Compliance Officer position reports to the Vice President, Investments & ... review Website and all advertising for WGFS; advise business management on regulatory and compliance requirements, making effective use of information systems.… more
- PIMCO Europe Ltd. (Newport Beach, CA)
- …leader and trusted advisor to our clients.**Position Overview**PIMCO is seeking a seasoned VP, Compliance Officer to join our global Legal and Compliance ... program enhancements and ensure global consistency* Provide expert guidance on regulatory compliance for the firm's separate accounts and alternatives/private… more
- Allocator One Group (San Francisco, CA)
- …and investor eligibility questions. Participate in investment committee meetings to flag compliance or regulatory risks early. Own conflicts of interest ... substance and when it allows flexibility. Communicator: you can distill complex regulatory requirements into actionable policy for non‑ compliance teams. Nice to… more
- Major, Lindsey & Africa (Los Angeles, CA)
- …firm is seeking a Chief Compliance Officer to lead its compliance function and ensure adherence to regulatory standards. This role involves building a ... the organization. The ideal candidate will have extensive experience in securities compliance , particularly with SEC regulations, and a keen interest in the evolving… more
- Western Growers (Irvine, CA)
- …seeking a Chief Compliance Officer to oversee broker-dealer compliance and regulatory examinations. The ideal candidate will possess extensive experience ... in compliance , particularly within a regional or national retail brokerage...53, 99, and 66 licensing. This role includes developing compliance training and maintaining internal controls to enhance the… more
- Major, Lindsey & Africa (Los Angeles, CA)
- Overview: Reporting to Wave's General Counsel, the Chief Compliance Officer and Head of Anti-Money Laundering will be responsible for building, leading, and ... overseeing Wave's compliance function, to help ensure continued compliance with regulatory requirements as well as to foster a culture of compliance and… more
- Allocator One Group (San Francisco, CA)
- A global investing platform is seeking a Compliance Chief Officer to design and implement a comprehensive regulatory operating system. You will lead SEC ... registration and ensure ongoing compliance while advising on fund structuring decisions. The ideal...ideal candidate brings over 7 years of experience in compliance at investment firms and possesses knowledge of SEC… more
- Medium (Irvine, CA)
- …their legal team. Responsibilities include negotiating enterprise contracts, managing regulatory compliance , and developing intellectual property strategies. The ... ideal candidate has a JD from a top-tier law school, proven experience in complex legal environments, and strong strategic thinking abilities. This fully onsite role is based in Irvine, California, offering a competitive salary range of $70,000 to $300,000,… more
- Mvp VC (San Diego, CA)
- …a Compliance Officer to design and manage its compliance program. Responsibilities include providing regulatory guidance, designing compliance ... an active member of a US state bar, and has experience with compliance programs. This role offers a competitive salary and comprehensive benefits package including… more
