9 chief compliance officer jobs found

Refine Search
Refine Search
Job Categories
Compliance  (9)
chief compliance officer
Featured
Chief Compliance Officer
Heritage Investors Management Corp
Bethesda, MD
Jul 22, 2026
Heritage Investors Management Corporation is searching for a Chief Compliance Officer to manage all aspects of the firm’s compliance program. Heritage, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy. ESSENTIAL DUTIES AND RESPONSIBILITIES Manage, implement, operate and be responsible for the firm’s compliance program. Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the firm’s compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Train and...
Fractional Chief Compliance Officer (Advisor Network)
Jobgether
United States
Jul 22, 2026
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Fractional Chief Compliance Officer (Advisor Network) based in the United States. This opportunity is designed for experienced compliance executives seeking flexible, project-based advisory work within the alternative investment industry. The successful candidate will join a network of senior professionals supporting hedge funds, private equity firms, and family offices with complex compliance and governance needs. This role provides the opportunity to apply deep regulatory expertise across a variety of strategic engagements while maintaining flexibility around existing commitments. Advisors will support organizations in strengthening compliance programs, improving operational controls, and navigating evolving regulatory expectations. The position is ideal for a seasoned compliance leader who enjoys solving complex challenges and providing...
Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Frec Markets, Inc.
San Francisco, CA
Jul 21, 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 . About the Role Frec operates two regulated entities: a broker-dealer and a registered investment advisor. Today a single individual holds both seats. As we scale, we're adding a second...
Chief Compliance Officer
Five Star Bank
Buffalo, NY
Jul 18, 2026
Purpose: As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its investment affiliate, Courier Capital. The CCO is responsible for maintaining a sustainable Compliance Management Program (CMP), including Fair Lending and Community Reinvestment Act (CRA) programs, to ensure compliance with applicable laws and regulations while proactively identifying and mitigating emerging risks. Reporting regularly to the Board of Directors, Risk Oversight Committee, and executive leadership, the CCO provides strategic oversight of compliance risk within the Company's established risk appetite. The role leads the Compliance Committee and serves on key cross-functional committees to align compliance and ethics strategies with business objectives and regulatory expectations. The CCO is accountable for Board-approved compliance and risk...
Chief Compliance Officer
Multnomah Group, Inc.
Portland, OR
Jul 17, 2026
Description Position Overview The Chief Compliance Officer is responsible for the development and maintenance of the firm’s compliance program. The position is also responsible for preparation and submission of the firm’s regulatory filings and the preparation of the firm’s client services agreements. The position also oversees the firm’s human resources function, including human resources compliance, payroll and employee benefits. Primary Responsibilities Compliance Program Oversight Develop, implement, and maintain the firm’s compliance program, policies, and procedures in accordance with SEC regulations and industry best practices Perform periodic reviews and testing of policies and procedures to ensure effectiveness and adherence Serve as the primary point of contact for regulatory examinations and inquires, including the preparation of responses and management of follow-up actions Completion of an annual review of the firm’s compliance program...
VP Governance & Regulatory Compliance Officer
Fortis Bank
Denver, CO
Jul 18, 2026
Summary The Governance and Regulatory Compliance Officer is responsible for overseeing key regulatory governance frameworks to ensure the bank operates in compliance with applicable laws, regulations, rules, and supervisory expectations. This role provides strategic oversight and program management for the Community Reinvestment Act (CRA) program and the bank’s vendor management. Responsibilities include developing and maintaining policies and procedures, coordinating regulatory reporting and examinations, monitoring regulatory developments, and working cross-functionally with business, technology, risk, and senior management to ensure effective risk management and regulatory compliance with respect to these programs. The position supports board and senior management oversight by preparing governance reporting, facilitating committee activities, and promoting a culture of compliance and accountability across the organization.    Responsibilities Regulatory Compliance...
VP Governance & Regulatory Compliance Officer
Fortis Bank
Midvale, UT
Jul 18, 2026
Summary The Governance and Regulatory Compliance Officer is responsible for overseeing key regulatory governance frameworks to ensure the bank operates in compliance with applicable laws, regulations, rules, and supervisory expectations. This role provides strategic oversight and program management for the Community Reinvestment Act (CRA) program and the bank’s vendor management. Responsibilities include developing and maintaining policies and procedures, coordinating regulatory reporting and examinations, monitoring regulatory developments, and working cross-functionally with business, technology, risk, and senior management to ensure effective risk management and regulatory compliance with respect to these programs. The position supports board and senior management oversight by preparing governance reporting, facilitating committee activities, and promoting a culture of compliance and accountability across the organization.    Responsibilities Regulatory Compliance...
Compliance Officer
U.S. Bank National Association
Milwaukee, WI
Jul 17, 2026
  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description This position within RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC). This position will assist the CCO in the continuous compliance oversight of service providers to the Trusts...
Compliance Officer
U.S. Bank
Milwaukee, WI
Jul 17, 2026
  At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description This position within RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC). This position will assist the CCO in the continuous compliance oversight of service providers to the Trusts...
Back to job list
Back

Chief Compliance Officer

Heritage Investors Management Corp
Apply Now
Bethesda, MD, USA
Jul 22, 2026
Compliance Full time

Heritage Investors Management Corporation is searching for a Chief Compliance Officer to manage all aspects of the firm’s compliance program. Heritage, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Manage, implement, operate and be responsible for the firm’s compliance program.
  • Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the firm’s compliance program.
  • Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
  • Train and educate employees on regulatory compliance matters.
  • Maintain well organized systemic records of the firm’s compliance program.
  • Act as a point of contact for regulators (SEC, FINRA).
  • Maintain ongoing expertise in federal and state regulatory policies.
  • Oversee employee personal trading and reporting.
  • Manage the firm’s surprise audit.
  • Assist with the firm’s corporate audit.
  • Support related activities.
  • Additional responsibilities as necessary.

QUALIFICATIONS:

  • 5+ years of experience in Financial Services compliance, specifically working with Registered Investment Advisers
  • Strong knowledge and understanding of regulatory filings and relevant regulations and laws.
  • Familiarity with Greenboard a plus.
  • Proficient in Microsoft Office (Word and Excel).
  • Excellent written and oral communication skills.
  • Strong customer service skills.
  • Ability to work and make decisions independently within a collaborative team environment.
  • High attention to detail and accuracy.
  • Unquestionable integrity and dependability.

BENEFITS INCLUDE:

  • Company paid medical insurance, including company contribution to a Health Reimbursement Account
  • Company paid dental, life and disability insurance
  • Eligibility for 401k/retirement plan and profit sharing after 1 year of employment (at first opening thereafter)
  • Parking or public transportation assistance

 

About Heritage Investors Management Corp

Heritage Investors Management Corporation, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy.

Go to job list