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compliance officer
Compliance Officer
Frec Markets, Inc.
San Francisco, CA
Jun 17, 2026
About Frec: Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption that returns and taxes belong in separate conversations. By building tax-aware investment tools once reserved for the ultra-wealthy, Frec empowers investors to hold onto more of what they earn. In the last year, Frec has been growing exponentially – 50% QoQ growth with over $1B in customer assets. We raised our Series A with Greylock Partners and have an impressive list of other funds and angel investors backing our company. If you’re looking to join a fast-growing team with high potential, Frec could be the place for you. Learn more about Frec as a company at www.frec.com . Please visit frec.com to learn more about us. The role: The Compliance Officer is an integral member of Frec's small but growing compliance function, reporting directly to the...
Senior Compliance Officer
Invesco Ltd.
Downers Grove, IL
Jun 17, 2026
About Invesco As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco. What’s in it for you? Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:   Flexible paid time off Hybrid work schedule  401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution  Health & wellbeing benefits  Parental Leave benefits  Employee stock purchase plan Job Description About...
Siting Compliance Officer (Utility & Energy Analyst 2) – Hybrid Remote Work Opportunity
State of Oregon
Salem, MA
Jun 17, 2026
Initial Posting Date: 06/16/2026 Application Deadline: 07/07/2026 Agency: Department of Energy Salary Range: $5,712 - $8,757 Position Type: Employee Position Title: Siting Compliance Officer (Utility & Energy Analyst 2) – Hybrid Remote Work Opportunity Job Description: WORKING AT THE OREGON DEPARTMENT OF ENERGY At the Oregon Department of Energy, we're helping shape the state's energy future. Our team is dedicated to keeping Oregon on the leading edge...
SVP, Senior Compliance Officer
PIMCO
Newport Beach, CA
Jun 17, 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. Role Overview PIMCO is seeking a seasoned and...
Chief Compliance Officer - NLG Capital
National Life Insurance Company
Addison, TX
Jun 17, 2026
Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. Job Summary The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies....
SVP, Senior Compliance Officer
PIMCO
Newport Beach, CA
Jun 16, 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. Role Overview PIMCO is seeking a...
Regional Compliance Officer (West) - Key Investment Services (KIS)
KeyBank
United States
Jun 14, 2026
Location: For Those Who Work At Home, Washington Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company.  KIS also offers insurance products in conjunction with an affiliated insurance agency...
Senior Compliance Officer II
Popular
New York, NY
Jun 13, 2026
US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team.  The role may be based in New York, NY or Miami Lakes, FL.  The right candidate will support the consumer regulatory compliance functions for Popular Bank, including the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, branches, and operating departments.   In this position, you will:   Participate in and contribute to the execution of Popular’s Compliance Program, ensuring alignment with Corporate compliance and strategic direction and recommend policy and/or actions based on internal and external industry developments for area of responsibility.   Serve as a compliance resource and SME (subject matter expert) to business units, internal team members, and management providing a range of support and analysis on regulatory compliance...
Investments Business Risk Partner - COO, VP I - State Street Investment Management
State Street
Boston, MA
Jun 17, 2026
The State Street Investment Management’s (IM) Business & Technology Risk and Resilience (BTRR) team is first line function that partners with business teams to properly manage operational, technology, and regulatory risk, together with business and technology resiliency. Business Risk Partners within BTRR are aligned to both IM business functions, and specific regions to ensure appropriate coverage for our global operating model. They act as operational risk experts to advise business stakeholders on the execution of risk programs and support their ongoing requirement to identify, assess and mitigate operational risk. This role will specifically serve as the Investments Business Partner. Seeking professional with 10 years of experience in operational risk, compliance or audit with a focus on risk assessment, monitoring, and effective program design and leadership. As the COO - Investments Business Risk Partner, you will: Maintain deep subject matter knowledge related to...
Senior Financial Analyst – Investment Management
National Life Insurance Company
Addison, TX
Jun 17, 2026
Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. About Us NLG Capital, the investment management company of NLG, manages approximately $40 billion in AUM. Our purpose is simple – to allow NLG to keep its promises. How we do this – an obsessive focus on delivering...
State Steet Investment Management - Transition Management Oversight, Assistant Vice President
State Street
Boston, MA
Jun 16, 2026
The Strategic Partner Oversight (SPO) team within the division of the Chief Operating Officer of State Street Investment Management (IM) is a group of experienced professionals responsible for overseeing critical outsourced services that support our investment process. We are seeking an Assistant Vice President to focus on oversight of investment services that support the Transition Management team within our Chief Investment Officer division– monitoring and governing transition management services delivered by our middle-office provider. In this role, you will ensure that all aspects of portfolio management for transition events interim portfolio management are planned, risk-managed, and executed seamlessly across asset classes, with robust controls, timely issue escalation in adherence to agreed service standards. Why this role is important to us The team you will be joining is part of State Street Investment Management, one of the world’s largest Investment managers serving...
Featured
Director of Policy and Regulatory Affairs
XY Planning Network
Remote
Jun 04, 2026
XYPN is a leading voice for independent, fee-only financial planners, and advocates for modernized regulation that elevates fiduciary financial planning, separates sales from advice, protects investors, and reduces unnecessary burdens on small advisory firms. With a network of more than 2,200 fee-only financial planners and experience registering more than 2,000 investment advisers nationwide, we support firms across all 50 states and the SEC, giving us unique insight into the regulatory and operational challenges faced by independent RIAs operating across multiple jurisdictions. As XYPN’s Director of Policy and Regulatory Affairs, you’ll translate our deep expertise into meaningful advocacy and regulatory influence. You’ll work closely with our Managing Director of Compliance and Regulatory Affairs to shape and execute XYPN’s advocacy roadmap, leading efforts to monitor State & federal regulatory developments, develop policy positions, build relationships with...
Featured
Senior Counsel, Investments
FM
Hybrid (Boston, MA)
May 01, 2026
Summary: Reporting to the Assistant General Counsel, Corporate Transactions, this Senior Counsel role supports the Company’s Investments group by providing end-to-end strategic guidance and legal support for a wide range of investment transactions. These transactions include private fund investments, direct investments, managed accounts across asset classes as well as derivatives transactions and pension plan investments.  The Senior Counsel will also play a critical role in supporting the Company’s M&A activity. This position requires a collaborative mindset, with focus on solutions and the ability to build constructive relationships with senior management and across Company stakeholders.  This position will be instrumental in managing risks and maintaining strong legal standards within the growing FM Investments portfolio.   Schedule & Location: This is a full-time office-based position in Boston, MA. Occasional overnight travel to other corporate...
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Compliance Officer

Frec Markets, Inc.
Apply Now
San Francisco, California, United States
Jun 17, 2026
Compliance

About Frec:

Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption that returns and taxes belong in separate conversations. By building tax-aware investment tools once reserved for the ultra-wealthy, Frec empowers investors to hold onto more of what they earn.

In the last year, Frec has been growing exponentially – 50% QoQ growth with over $1B in customer assets. We raised our Series A with Greylock Partners and have an impressive list of other funds and angel investors backing our company. If you’re looking to join a fast-growing team with high potential, Frec could be the place for you. Learn more about Frec as a company at www.frec.com.

Please visit frec.com to learn more about us.


The role:

The Compliance Officer is an integral member of Frec's small but growing compliance function, reporting directly to the Chief Compliance Officer. This role sits at the intersection of day-to-day operational compliance and regulatory integrity, supporting both our Broker-Dealer and Registered Investment Adviser entities.

In this role, you'll be hands-on from day one, reviewing and approving marketing and advertising materials to ensure alignment with FINRA Rule 2210 and SEC 206(4)-1 standards, and supporting the new account opening process to ensure proper documentation, suitability, and regulatory requirements are met. You'll work closely with the CCO to help maintain a compliance program that is thorough, defensible, and scalable as Frec grows.

Since we're a growing team, we need someone who takes ownership, pays attention to the details, and understands what it means to operate in a regulated financial services environment where getting it right matters.

What you bring:

  • FINRA Licenses: SIE, Series 7 & 24 (active and in good standing)

  • 4-7 years experience, preferably at a fintech/wealthtech

  • Proficient with using brokerage platforms and Microsoft Office suite (Word and Excel)

  • Degree from an accredited university or significant relevant experience preferred

  • Ability to work in a fast-paced, changing environment

  • An attention to detail and solution oriented thinking

  • Excellent communication and interpersonal skills

What you’ll do:

  • Review and approve marketing, advertising, and client-facing materials for FINRA and SEC compliance using Hadrius tool

  • Assist with quarterly employee personal trading, OBA, and gifts and entertainment review

  • Support the new account opening process, ensuring all documentation and regulatory requirements are satisfied

  • Assist with cash transfer review and SARS filings

  • Assist in maintaining and updating Written Supervisory Procedures (WSPs) and compliance policies

  • Help monitor for regulatory developments and assess their impact on Frec's BD and RIA programs

  • Partner with the CCO on exam readiness and regulatory inquiries

Location:

Remote (based in the US) with the willingness to travel to San Francisco for a week 2 - 4 times per year for onsite events.

Salary:

  • Remote in USD per year is: $85,000 - $100,000 USD.

About Frec Markets, Inc.
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