- Western Growers (Irvine, CA)
- A leading agricultural advocacy organization in California is 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 firm, alongside Series… more
- Moose Enterprise Pty Ltd (Los Angeles, CA)
- …Title General Counsel Classification Exempt Position Status Full Time Reports To Chief Risk , Legal, and Compliance Officer Direct Reports Senior Legal ... Risk , Regulatory and Compliance Leadership Support the Chief Risk , Legal, and Compliance Officer , offer authoritative guidance on regulatory issues, … more
- Pacific Asset Management, LLC (Newport Beach, CA)
- AVP, Chief Risk Officer Workforce Benefits page is loaded## AVP, Chief Risk Officer Workforce Benefitslocations: Newport Beach CA-700time type: Full ... R15923**Job Description:**We're actively seeking a talented AVP - Chief Risk Officer , Workforce Benefits Division ("WBD") to...of defense activities within the Division where needed (eg, Risk , Compliance , CISO)* Promote a risk… more
- 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 ... and trusted advisor to our clients. Position Overview PIMCO is seeking a seasoned VP, Compliance Officer to join our global Legal and Compliance team. This… 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 ... ERISA compliance , monitoring and surveillance, global policy implementation, regulatory risk assessment, annual risk assessments, testing, and compliance … 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 & ... regulatory responsibilities that arise. Qualifications BA/BS and/or 10 years relevant compliance experience, preferably at a regional or national retail brokerage… more
- Adyen (San Francisco, CA)
- …innovative and ethical solutions that help businesses achieve their ambitions faster. Senior Compliance Officer - Card Networks Our fast-paced Compliance ... team is looking for a Senior Compliance Officer for our San Francisco Office with experience with...education management across the global business; Participate in Product Risk Assessments and advise other compliance verticals;… more
- Arm Limited (San Jose, CA)
- …continues to grow, along with the importance of our brands. Reporting to Arm's Chief Compliance Officer , you will be a licensed attorney and compliance ... can demonstrate their ability to program build from an ethics and compliance perspective Experience using in-house vendor management risk platforms… more
- Mulligan Funding LLC (San Diego, CA)
- …and plays a key role in shaping credit strategy through modeling, forecasting, and risk assessment. Reporting to the Chief Credit Officer , this position also ... risk models, including development, validation, documentation, monitoring, and compliance , ensuring alignment with internal policies and regulatory expectations.… more
- Allocator One Group (San Francisco, CA)
- …of the SEC, Infra One's platform vision, and every GP who will depend on our compliance infrastructure. You are not a compliance checker; you are the designer of ... the world. You will own SEC registration (Form ADV), policy architecture, compliance monitoring across multiple fund vehicles, and the relationship with securities… more
