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CHIEF COMPLIANCE OFFICER (CCO)

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Sandlot Partners

Orem, UT, USA

Mar 19, 2026

CHIEF COMPLIANCE OFFICER (CCO) Location: Orem, UT (Silicon Slopes) Reports To: General Counsel Firm Profile: SEC-Registered Private Equity Advisor (~$600M AUM) ABOUT SANDLOT PARTNERS Sandlot Partners is a private equity firm built around high-conviction investing and a high-touch, relationship-driven model with LPs and founders. Internally, we value speed, accuracy, and an ownership mindset. We’re small by design and expect everyone to operate like a partner. THE OPPORTUNITY We are seeking a high-integrity, detail-oriented Chief Compliance Officer to lead our regulatory program. Reporting directly to the General Counsel with a direct line to senior leadership, the CCO will be responsible for the day-to-day management of our compliance framework, ensuring our firm remains at the forefront of SEC best practices. This is an ideal role for a compliance professional with 2–4 years of experience (or a JD) looking to step into a leadership seat within a sophisticated private...

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Compliance Manager

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Capital Investment Advisors

Hybrid

Mar 19, 2026

At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives.   Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable....

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Fund Compliance Manager

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Bitwise Asset Management, Inc.

Hybrid (New York, NY, USA)

Feb 24, 2026

It’s rare that a new asset class is born. Nevertheless, we’re witnessing exactly that with the rise of crypto. Over just the last few years, since Bitwise was founded, crypto has evolved from an embryonic $50B market to a growing $3T+ juggernaut. At Bitwise, we believe that crypto has reached a turning point, and is headed north of $10T over the next few years. This is an exciting moment for Bitwise as a firm. For eight years, we have established a track record of excellence managing a broad suite of index and active solutions across ETFs, separately managed accounts, private funds, institutional staking, and hedge fund strategies. This year, we crossed $15B in client assets and are growing quickly. Thousands of financial advisors, family offices, and institutional investors partner with Bitwise to understand and access the opportunities in crypto. We are known for providing unparalleled client support through expert research and commentary, a nationwide client team of...

Ap

Financial Crimes Compliance Officer

Apollo

New York, NY, USA

Mar 20, 2026

Position Overview Apollo is seeking a Compliance Officer to join its Financial Crimes Compliance (FCC) team, whose mission is to prevent, detect, and address illicit financial activity across the firm. This individual will play a critical role in developing, implementing, and overseeing the firm’s global strategy to prevent, detect, and mitigate financial crime and reputational risks, including money laundering, terrorist financing, sanctions violations, fraud, bribery, and corruption risks, to ensure the Firm’s compliance with applicable international Anti-Money Laundering (AML), sanctions, and other financial crime regulations. The Compliance Officer will also help establish a compliance program for its digital assets business, including closely following regulatory developments and rulemaking in this space. The Compliance Officer will work closely with members of Apollo’s broader Compliance team, as well as with investment, operations, and legal stakeholders, to design,...

Housing Compliance Officer

City of Somerville

Somerville, MA, USA

Mar 20, 2026

Statement of Duties The Housing Compliance Officer engages in an array of activities and projects that aid the City of Somerville in developing and implementing federal housing programs such as CDBG and HOME, and other programs to meet community needs. General responsibilities include providing assistance and support in the administration of Somerville’s affordable housing programs. Specific duties include monitoring Housing Division projects to ensure compliance with loan restrictions including owner-occupancy requirements, affordable rental restrictions, affordable resale restrictions, housing quality standards, income eligibility requirements, and other assignments. Among other assignments, the Housing Compliance Officer is responsible for recording new mortgages, mortgage discharges, and restrictive covenants at the Registry of Deeds; maintaining loan files, project monitoring files, and project compliance tracking spreadsheets; and coordinating loan payoffs and...

BA

Senior Compliance Officer

Brown Advisory

Baltimore, MD, USA

Mar 20, 2026

Company Overview Every firm has a culture – the values, beliefs, methodology, attitudes and standards that reflect an organization’s DNA. But the truly inspiring firms – the game-changers, the industry leaders and the disruptors – have cultures that propel them to innovate and stand out. At Brown Advisory, we aim to be one of those inspired firms. Over the years, we have purposefully built and nurtured our client-first culture. Brown Advisory is an independent investment management and strategic advisory firm committed to delivering a combination of first-class performance, strategic advice and the highest level of client service. The firm’s clients—including individuals, families, family offices, endowments, foundations, charities, institutions, consultants, and financial intermediaries—are served by over 950 colleagues worldwide, all of whom are equity owners of the firm. Abu Dhabi | Austin | Baltimore | Boston | Delaware | Frankfurt | London | Nashville | New York |...

FI

Investment Management Consultant II - Regional Centers

Fidelity Investments

Westlake, TX, USA

Mar 20, 2026

Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer. The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire. Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer...

Head of Content Operation, VP I - State Street Investment Management

State Street

Boston, MA, USA

Mar 20, 2026

State Street Investment Management is seeking a Head of Content Operations (VP) to help ensure our content is delivered efficiently, accurately, and in line with regulatory, brand, and editorial standards. In this role, you’ll focus on the operational backbone of content—how it is planned, created, reviewed, approved, published, maintained, and governed across digital and client-facing channels. You’ll partner closely with content, design, marketing, compliance, digital, and analytics teams to enable scalable, well-governed content delivery in a highly regulated yet agile environment. This is a hands-on, execution-oriented role centered on content governance, workflow design, taxonomy, operational agility, content UX enablement, and platform alignment—not content strategy or creative direction. This is an ideal role for someone who enjoys bringing structure, clarity, and momentum to complex workflows, and who takes pride in making content systems and processes work better for...

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Senior Credit Underwriter - Custom Lending - Global Wealth & Investment Management

Bank of America

St. Louis, MO, USA

Mar 19, 2026

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Job...

AI

VP Deputy General Counsel / Chief Compliance Officer| Hybrid

Allianz Insurance

St. Louis Park, MN, USA

Mar 19, 2026

At Allianz Life, we are driven by our mission – we secure your future – and by our common goal of caring for tomorrow. We care for our employees by promoting an inclusive culture where everyone has the opportunity to grow and be rewarded for their success. We care for our customers by creating new products that help them protect their families and pursue their retirement goals. We care for our community by giving time, resources, and donations. And we care for the future by supporting sustainability, protecting the local environment, and promoting equality in our communities. What you do: Reporting directly to the Chief Legal Officer of Allianz Life Insurance Company of North America (“Allianz Life”) the VP Deputy General Counsel & AIM LLC & AIM US CCO position will have the dual responsibilities of leading the Compliance and Legal functions of AIM LLC and AIM US (collectively “AIM”) and Allianz Life’s investment portfolios. This includes AIM’s asset...

BM

Senior Compliance Officer

BMO

Chicago, IL, USA

Mar 19, 2026

Application Deadline: 04/09/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance The Compliance Program Management Team is a central compliance governance function that establishes, implements, and administers processes that support the Compliance function. The responsibilities of the Senior Compliance Officer position include identification of risk and undertaking actions to mitigate risk, improving/streamlining processes, project management, and support of 2L stakeholders. Additional specifics are noted below: Builds effective professional relationships with business groups, internal/external stakeholders, and trust with regulators. Analyses and reports on compliance related data to provide insights on regulatory risk. Assists with Quality Assurance activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Elevates high profile issues/risk cases to Compliance and...

PI

Vice President, Compliance Officer

PIMCO

Newport Beach, CA, USA

Mar 19, 2026

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-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Location: Newport Beach, CA (Corporate...

BM

Compliance Officer, Legal & Regulatory Compliance

BMO

Chicago, IL, USA

Mar 19, 2026

Application Deadline: 03/31/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to...

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Compliance Team Lead for Private Bank Americas – Senior Compliance Officer - Vice President

Deutsche Bank

Jacksonville, FL, USA

Mar 19, 2026

Job Description: Job Title Compliance Team Lead for Private Bank Americas – Senior Compliance Officer Corporate Title Vice President Location Jacksonville, FL Overview You will work in the Compliance Department to provide oversight of Deutsche Bank's Private Bank (PB) Americas as the senior business line compliance officer for Jacksonville operations. Responsibilities will involve all aspects of Compliance support, including advising and providing guidance to multiple lines of business of a sophisticated full-service broker/dealer and banking business. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting with Compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working...

MI

Compliance Officer - Trading

MFS Investment Management

Boston, MA, USA

Mar 19, 2026

At MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. Because what we do matters – to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures. THE ROLE The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program and provides real time compliance support to the Trading Department. The role is responsible for overseeing the firm’s compliance framework related to critical business areas including best execution, fairallocation, trade errors and cross trades. The role ensures that trading activity is conducted fairly, transparently, and in the best interests of clients, in accordance with applicable...

Ha

Knowledge Management and Innovation Attorney - Investment Management

Haynes and Boone, LLP

Dallas, TX, USA

Mar 19, 2026

At Haynes and Boone, our people are the driving force behind our success. Because we value the role every individual plays in how we deliver exceptional legal services, we hire people who will contribute to our professional reputation, enhance client relationships and share in our success. Haynes and Boone is one of the largest law firms in Dallas, and it continues to grow. In 2023, Haynes and Boone moved its headquarters to a new 27-story office tower in the Harwood District of uptown Dallas. Lawyers in our Dallas office serve all the firm’s practice and industry areas – including corporate, litigation, banking/finance, insurance law, healthcare law, labor and employment, estate planning, real estate, bankruptcy, intellectual property, white collar crime, and antitrust. Our Dallas lawyers are widely recognized in their practice areas in publications such as The Best Lawyers in America directory (Woodward/White, Inc.) and the Chambers USA legal directory (Chambers &...

PF

AVP – Global Head of Investment Management Technology, Principal Asset Management

Principal Financial Group

Des Moines, IA, USA

Mar 19, 2026

What You'll Do We’re looking for an AVP – Global Head of Front Office Investment Technology to join our Asset Management team. The AVP is accountable for defining and executing a forward‑looking global front‑office technology strategy that directly enables investment performance, scale, and competitive advantage. Reporting to the Executive Managing Director - Chief Information Officer, this leader will partner closely with investment professionals, front‑office leadership, and business stakeholders to deliver modern, resilient, and data‑driven technology capabilities that support portfolio management, trading, research, and investment decision‑making across public and private asset classes. As the organization continues on an ambitious growth trajectory, this role is critically important to evolving front‑office technology platforms and data capabilities that enhance alpha generation, improve speed to insight, and strengthen risk management. The AVP will play a central...

Senior Compliance Officer (Wealth Management)

Sanctuary Wealth Group LLC

Indianapolis, IN, USA

Mar 19, 2026

Description Job Title: Senior Compliance Officer Reports to: Managing Director / Chief Compliance Officer of tru Independence Department: Compliance Location: Portland, OR or Indianapolis, IN **Please do not apply if you are unable to reliably commute to Portland OR or Indianapolis, IN at the time of submitting your application** About tru - Founded in 2014, tru Independence, LLC ('tru') partners with breakaway advisor teams and established RIAs seeking independence, equity ownership, and long-term succession planning. tru provides comprehensive transition support, including custodian selection, compliance setup, technology implementation, and practice management resources. In May 2024, tru was acquired by Sanctuary Wealth, enhancing the combined organization’s ability to deliver premier support to elite financial advisors while maintaining a commitment to independence. Culture and Benefits - tru fosters a culture of collaboration, gratitude, positivity, and...

Investment Management 6 Months Full-time Internship (Jul- Dec 2026)

State Street

Boston, MA, USA

Mar 18, 2026

We are seeking a highly motivated intern to support our Chief Investment Strategist across a broad range of market- and investment-related activities. This role offers hands-on exposure to global markets, investment themes, and strategic communication, and is ideal for someone who is intellectually curious, detail-oriented, and eager to learn by doing. Key Responsibilities • Monitor recent market news and economic developments • Conduct targeted research on specific investment and macroeconomic topics • Assist in drafting clear, compelling talking points and written commentary • Support the preparation of presentations and briefing materials • Help develop coherent narratives around markets, investment themes, and strategy • Organize meetings and assist with logistical and follow-up tasks • Provide general analytical and organizational support as needed Candidate Profile & Requirements • Passion for investing and financial market research •...

Model Markets Analyst, AVP - State Street Investment Management

State Street

Boston, MA, USA

Mar 18, 2026

The AVP – Model Markets Analyst will support the growth and evolution of State Street Investment Management’s Model Portfolio and Multi Asset Solutions business by delivering data‑driven insights, market intelligence, and analytical support across model strategists, clients, distribution, product development, and investment teams. This role sits at the intersection of markets, technology, analytics, and product strategy, helping inform new model development, platform decisions, and client‑specific opportunities. The role is designed to enhance analytical depth across the model business, and improve efficiency through cross‑functional collaboration and the integration of advanced analytics and AI into reporting and decision‑making processes. This role will report to the Global Head of Multi Asset Solutions and ETF model portfolios Key Responsibilities Market & Client Analytics Partner with Markets Intelligence, Distribution, and internal stakeholders to...

31 jobs found

CHIEF COMPLIANCE OFFICER (CCO)