chief compliance officer

Digital Service Tamil

<p><b>Overview:</b></p><p>Digital Service Tamil is seeking a skilled <b>Chief Compliance Officer</b> to lead our compliance initiatives and ensure adherence to laws and regulations. This key role will involve establishing a strong compliance culture across the organization to mitigate risks and uphold ethical standards.</p><p><b>Key Responsibilities:</b></p><ul><li>Develop and implement compliance policies and procedures that align with regulatory requirements and industry standards.</li><li>Conduct regular audits and assessments to identify compliance risks and recommend appropriate measures.</li><li>Provide guidance and training to employees on compliance issues and best practices.</li><li>Monitor changes in regulations and ensure the organization adapts to new legal requirements.</li><li>Collaborate with senior management to promote a culture of integrity and accountability within the organization.</li><li>Serve as the primary point of contact for regulatory agencies and manage communications related to compliance matters.</li></ul><p><b>Qualifications:</b></p><ul><li>Bachelor&rsquo;s degree in Law, Business Administration, or a related field; advanced certifications in compliance or risk management are a plus.</li><li>Proven experience as a Chief Compliance Officer or in a similar compliance role.</li><li>Strong knowledge of compliance regulations and industry best practices.</li><li>Excellent analytical, organizational, and leadership skills.</li><li>Ability to communicate complex compliance topics effectively to varied audiences.</li></ul><p><b>Why Join Us?</b></p><p>At Digital Service Tamil, we are dedicated to providing high-quality digital solutions while maintaining strict compliance with legal standards. Join our team to play a vital role in fostering a culture of compliance and ethical business practices.</p><p>نوع الوظيفة: دوام كامل, دائم, عقد</p><p>الراتب المدفوع: ﷼١٠٠٫١٤&nbsp;لكل ساعة</p><p>موقع العمل: على الطريق</p>

Chief Compliance Officer

State of Utah

<div><p><b>Chief Compliance Officer</b></p><p><b>
FT / PT Status &ndash; </b>Full-Time<br>
<b>Salary &ndash; </b>$65.00 - $95.00 Hourly Wage
<br>
<b>Remote Work / In-Office &ndash; </b>In-Office / On-Site<br>
<br>
<b>Recruiter &ndash; </b>Jessica Camp | jcamp@utah.gov<br>
<b>Application Deadline &ndash; </b>5/18/2026</p><p></p><div><br>
The Chief Compliance Officer reports directly to the executive director. The Chief Compliance Officer serves in a close and confidential relationship with the executive director and may receive assignments from other department leaders, the Alcoholic Beverage Services Commission (Commission), or the Governor's Office.</div><div></div><p><b>
Key Responsibilities</b></p><div><br>
The Chief Compliance Officer will perform a variety of office functions including but not limited to:<b><br>
</b><br>
<br>
</div><div><b>Licensing and Compliance</b></div><ul><li>
Direct and oversee all compliance and regulatory functions, including licensing, audits, and administrative enforcement.</li><li>
Ensure consistent and equitable application of statutes, administrative rules, and agency policies.</li><li>
Establish and maintain compliance standards for licensees, permittees, and vendors.</li><li>
Oversee the issuance, renewal, and administration of licenses and permits.</li><li>
Ensure vendor qualification, monitoring, and ongoing compliance with regulatory requirements.</li><li>
Initiate administrative actions, including fines, suspensions, and revocations as necessary.</li><li>
Lead a statewide inspection program to ensure compliance across licensees and permittees.</li><li>
Establish inspection protocols, reporting standards, and follow-up procedures.</li><li>
Monitor compliance trends and recommend corrective actions.</li><li>
Supervises subordinate licensing and compliance personnel including: hiring, determining workload and delegating assignments, training, monitoring and evaluating performance, and initiating corrective or disciplinary actions.</li></ul><div></div><div><b><br>
Regulatory Affairs</b></div><ul><li>
Direct the development and interpretation of administrative rules and regulatory policies.</li><li>
Provide guidance to leadership and stakeholders on regulatory matters.</li><li>
Collaborate with legislative affairs on statutory changes and policy impacts.</li></ul><div></div><div><b><br>
Contracts</b></div><ul><li>
Review department procurements and contracts for compliance with administrative rules and statute.</li></ul><div></div><div><b><br>
Commission Support</b></div><ul><li>
Serve as primary staff liaison to the Commission on regulatory and compliance matters.</li><li>
Prepare and present agenda items, reports, and recommendations related to licensing, enforcement actions, and regulatory policy.</li><li>
Ensure timely and accurate execution of Commission decisions, including licensing determinations and disciplinary actions.</li><li>
Coordinate with outside legal counsel and executive leadership to ensure actions are legally sound and procedurally compliant.</li><li>
Support Commission meetings, hearings, and adjudicative processes, including recordkeeping and documentation.</li><li>
Provide training and orientation to Commission members on regulatory frameworks, statutes, and administrative rules.</li></ul><div></div><div><b><br>
Training and Education</b></div><ul><li>
Develop and implement compliance training programs for employees, licensees, and vendors.</li><li>
Promote responsible sales and regulatory awareness through education initiatives.</li></ul><p></p><p><b>
</b><b>Qualifications</b></p><div><b><br>
Skills and Qualifications:</b></div><div><b>
</b></div><ul><li>
Strong knowledge of regulatory frameworks, compliance principles, and enforcement practices</li><li>
Ability to interpret and apply statutes, rules, and policies</li><li>
Excellent leadership, communication, and stakeholder management skills</li><li>
High level of integrity, professionalism, and sound judgment</li><li>
Ability to manage sensitive and high-profile issues in a public-facing environment</li><li>
Attention to detail</li><li>
Cross-functional leadership and collaboration</li></ul><p><b>
Minimum Requirements</b></p><br>
<ul><li>
Bachelor&rsquo;s degree in public administration, business, law, or a related field</li><li>
At least five years of experience in regulatory compliance, enforcement, or public administration</li><li>
21 years of age or older</li><li>
Able to pass a background check</li></ul><p><b>
Preferred Requirements</b></p><br>
<ul><li>
JD or Master&rsquo;s degree</li><li>
Experience in state, local, or federal government or highly regulated industry</li></ul><p></p><p><b>
About the Role</b></p><p><b>
Location</b> &ndash;
<br>
1625 S 900 W<br>
Salt Lake City, UT, 84104<br>
United States
<br>
<b>Background Check Required</b> &ndash; You must successfully pass a criminal history check.<br>
<b>Schedule Code</b> &ndash; AD - Employees Reporting to Dept. Head, Commissioners, or Dept. Director</p><p><b>
Why You Should Join Our Team</b><br>
In Utah, we believe hard work is important, but balance is essential. Finding work/life balance is a vital element to our culture. To find out more about WHY Utah, click here. Other benefits may include:</p><ul><li><b>
Job Stability: </b>Enjoy the security and reliability of employment within a well-established organization.</li><li><b>
Career Growth:</b><b> </b>Develop valuable skills and gain opportunities for leadership within a large organization.</li><li><b>
Meaningful Work: </b>Contribute to an important service that benefits the community and supports organizational goals.</li><li><b>
Supportive Work Environment:</b><b> </b>Be part of a team that values cooperation, strong work ethics, and mutual support.</li></ul><p><b>
The Agency</b><b>At the Utah Department of Alcoholic Beverage Services (DABS), we provide you with great experiences through our unique setting that crosses between a retail business and a government agency. This hybrid environment offers something rare in the industry:</b></p><p><b><br>
Guaranteed Time Off: </b>All our stores are closed on Sundays and all state/federal holidays.<br>
<b>Stability &amp; Growth: </b>We are a statewide agency focused on modernizing technology and investing in our workforce.<br>
<b>Total Rewards:</b> Enjoy the security of being a State of Utah employee, which includes a comprehensive benefits package, retirement options, and a culture that values service excellence.</p><p><br>
For more information about the Department of Alcoholic Beverage Services please visit our website at https:/ abs.utah.gov/.</p><p><b>
EEO Statement</b><br>
The State of Utah is committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. We also consider qualified applicants regardless of criminal histories, consistent with legal requirements. For accommodations, please contact (801) 957-9390.</p></div><div></div>

Behzad Trading Enterprises

<p><b>Chief Compliance Officer (CCO) &mdash; Job Description</b></p><p><b>Role summary</b></p><p>Senior executive accountable for designing, implementing, and overseeing the compliance program to ensure the organization meets legal, regulatory, and internal policy obligations while enabling business objectives.</p><p><b>Key responsibilities:</b></p><ul><li>Compliance program strategy: Develop and maintain an enterprise-wide compliance framework, policies, standards, and compliance risk appetite aligned with business strategy and regulatory expectations.</li><li>Regulatory monitoring &amp; interpretation: Monitor applicable laws, regulations, supervisory guidance, and industry standards; interpret implications for the business and update policies accordingly.</li><li>Policy development &amp; implementation: Draft, maintain, and communicate compliance policies, procedures, and codes of conduct; ensure consistent application across the organization.</li><li>Monitoring &amp; testing: Design and manage compliance monitoring, testing, and control assurance programs (including transaction testing, surveillance, and program effectiveness reviews).</li><li>Advisory &amp; control integration: Provide proactive compliance advice to business units on product launches, marketing, contracts, partnerships, and operational changes to ensure compliant design and rollout.</li><li>Training &amp; culture: Develop and deliver compliance training, awareness programs, and communications to embed a strong compliance culture and ethical behavior across the firm.</li><li>Incident management &amp; investigations: Lead investigations of potential compliance breaches, remedial action plans, disciplinary recommendations, and reporting to senior management and regulators as required.</li><li>Regulatory engagement &amp; exams: Serve as primary liaison with regulators, external auditors, and industry bodies; prepare the organization for regulatory exams and manage responses to findings.</li><li>Third‑party &amp; vendor compliance: Oversee third‑party due diligence, ongoing monitoring, and contractual compliance obligations for critical vendors and partners.</li><li>Reporting &amp; governance: Prepare compliance reporting for the board, executive management, and relevant committees; chair or support compliance committees and ensure clear escalation channels.</li><li>Data privacy &amp; AML/KYC (as applicable): Oversee compliance functions for anti‑money laundering, sanctions screening, Know Your Customer (KYC), consumer protection, data privacy, and other jurisdiction‑specific regimes, or coordinate with specialists if separate.</li><li>Team leadership: Build and lead the compliance organization, including hiring, development, performance management, and collaboration with legal, risk, audit, and business teams.</li></ul><p><b>Required qualifications &amp; experience:</b></p><ul><li>Bachelor&rsquo;s degree in law, finance, business, or related field; advanced degree or legal qualification preferred.</li><li>10+ years of progressive compliance, regulatory, or legal experience; 5+ years in a senior leadership role for regulated industries.</li><li>Deep knowledge of relevant regulatory frameworks (banking, securities, insurance, healthcare, data protection, or industry-specific regimes as applicable).</li><li>Experience managing regulatory examinations, remediation programs, and multi-jurisdictional compliance challenges.</li><li>Strong analytical, investigative, and judgment skills; ability to translate regulatory requirements into practical business controls.</li><li>Excellent stakeholder management, communication, and board-level reporting experience.</li></ul><p>Pay: QAR321.12 - QAR1,229.29 per hour</p><p>Work Location: In person</p>

Confidential Careers

<div>
 <p>
  <strong>
   Position Title
  </strong>
  Chief Compliance Officer
 </p>
 <p>
  <strong>
   Reports To
  </strong>
  CEO / Board of Directors
 </p>
 <p>
  <strong>
   Location
  </strong>
  Riyadh
 </p>
 <p>
  <strong>
   Employment Type
  </strong>
  Full-Time, Permanent
 </p>
 <p>
  <strong>
   License Status
  </strong>
  CMA License Application In Progress
  <strong>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   1. ABOUT THE ORGANIZATION
  </strong>
 </p>
 <p>
  Our client offers round-the-clock, fast-execution trading with connectivity to global financial markets, delivering comprehensive investment and wealth management solutions for both retail and corporate clients. Its enduring success is grounded in a deep commitment to client-first values &mdash; the belief that doing business is not about maximising profit, but about being fair to clients and earning their trust through professionalism and reliability. With a vision rooted in Hong Kong and oriented towards China and the broader Asia Pacific region, the organization is now executing a strategic international expansion.
 </p>
 <p>
  <br/>
 </p>
 <p>
  As part of this growth trajectory, the firm is in the process of applying for a Capital Markets Authority (CMA) license in the Kingdom of Saudi Arabia, with the intention of offering securities dealing and related capital markets services to Saudi retail and institutional clients from its Riyadh office. This is a landmark moment for the organization &mdash; bringing 46 years of Asian capital markets expertise, a strong compliance culture, and a client-centric philosophy to one of the world&rsquo;s fastest-growing capital markets. The Saudi operation will uphold the organization&rsquo;s mission of providing sincere, integrity-oriented, and pragmatic financial services that add real value to clients&rsquo; wealth.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   2. POSITION SUMMARY
  </strong>
 </p>
 <p>
  The Chief Compliance Officer (CCO) is a senior executive role responsible for establishing, overseeing, and continuously enhancing the compliance framework of the Saudi entity in accordance with the regulatory requirements of the Capital Markets Authority (CMA) of the Kingdom of Saudi Arabia. The CCO will play a pivotal role during the CMA licensing phase and serve as the primary point of contact between the organization and the CMA. This is a rare opportunity to build a compliance function from the ground up within a highly experienced international brokerage that brings significant global best practice, technology, and institutional
 </p>
 <p>
  knowledge to the Saudi market &mdash; backed by the credibility and track record of 46 years of regulated operations in Hong Kong.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3. KEY DUTIES &amp; RESPONSIBILITIES
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.1 CMA Licensing &amp; Regulatory Affairs
  </strong>
 </p>
 <p>
  &bull; Lead and manage all compliance-related workstreams in support of the organization&rsquo;s CMA license application, including preparation, review, and submission of all required regulatory documentation.
 </p>
 <p>
  &bull; Serve as the designated compliance contact and primary liaison with the Capital Markets Authority (CMA) throughout the licensing process and on an ongoing basis post-licensing.
 </p>
 <p>
  &bull; Ensure the organization meets all CMA conditions precedent, fit and proper requirements, and ongoing regulatory obligations under the Capital Market Law and its implementing regulations, including the Securities Business Regulations.
 </p>
 <p>
  &bull; Support the establishment of the Saudi entity&rsquo;s legal, operational, and governance infrastructure in a manner consistent with CMA requirements, drawing on the parent organization&rsquo;s international brokerage experience while ensuring full local regulatory compliance.
 </p>
 <p>
  &bull; Monitor and respond to CMA circulars, directives, and regulatory updates, ensuring timely assessment and implementation within the organization.
 </p>
 <p>
  &bull; Prepare and submit all periodic regulatory reports, notifications, disclosures, and filings to the CMA as required under the applicable regulatory framework.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.2 Compliance Framework &amp; Policies
  </strong>
 </p>
 <p>
  &bull; Design, implement, and maintain a comprehensive compliance management framework for the Saudi entity, aligned with CMA regulations, the Capital Market Law, and applicable Saudi laws, while leveraging the parent organization2019s international brokerage compliance standards and best practices.
 </p>
 <p>
  &bull; Develop, review, and update compliance policies, procedures, and manuals covering all activities of the Saudi retail brokerage operation, ensuring they remain current, effective, and consistent with CMA requirements.
 </p>
 <p>
  &bull; Establish and oversee a compliance monitoring and testing program to proactively identify, assess, and remediate compliance risks across retail client-facing and back-office functions.
 </p>
 <p>
  &bull; Develop and maintain a robust Anti-Money Laundering (AML), Know Your Customer (KYC), and Customer Due Diligence (CDD) compliance program in line with CMA/SAMA requirements and FATF standards, with particular attention to onboarding Saudi retail clients.
 </p>
 <p>
  &bull; Implement and oversee a conflicts of interest policy, insider trading prevention program, market conduct standards, and suitability/appropriateness frameworks applicable to a retail securities dealing business.
 </p>
 <p>
  &bull; Ensure compliance with the CMA2019s client asset protection and segregation requirements applicable to a securities dealing license.
 </p>
 <p>
  &bull; Establish and oversee a compliance monitoring and testing program to proactively identify, assess, and remediate compliance risks.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.3 Risk Management &amp; Internal Controls
  </strong>
 </p>
 <p>
  &bull; Identify, assess, and prioritize compliance risks across business lines, products, and operational functions, and develop risk mitigation strategies.
 </p>
 <p>
  &bull; Collaborate with the internal audit function to ensure alignment between compliance monitoring and audit activities.
 </p>
 <p>
  &bull; Oversee the compliance aspects of new product approvals, client onboarding, and business initiatives.
 </p>
 <p>
  &bull; Maintain and test the organization&rsquo;s Business Continuity and Compliance Contingency Plans.
 </p>
 <p>
  &bull; Ensure controls are in place to prevent breaches of regulatory obligations, including data protection, information barriers, and client asset protection requirements.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.4 Governance &amp; Board Reporting
  </strong>
 </p>
 <p>
  &bull; Report directly and regularly to the Board of Directors and/or the Board Audit &amp; Compliance Committee on the state of compliance, material breaches, and regulatory developments.
 </p>
 <p>
  &bull; Prepare and present comprehensive compliance reports, dashboards, and risk assessments to senior management and the Board.
 </p>
 <p>
  &bull; Advise the Board and executive management on regulatory and compliance implications of strategic decisions and business plans.
 </p>
 <p>
  &bull; Maintain and update the compliance risk register, escalating material issues to the Board promptly.
 </p>
 <p>
  &bull; Ensure proper record-keeping and documentation of all compliance activities, regulatory correspondence, and board decisions.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.5 Training, Culture &amp; Awareness
  </strong>
 </p>
 <p>
  &bull; Develop and deliver a compliance training and awareness program for all staff, tailored to roles and responsibilities.
 </p>
 <p>
  &bull; Foster a culture of compliance and ethical conduct throughout the organization, embedding compliance into day-to-day business operations.
 </p>
 <p>
  &bull; Advise and guide business units and employees on compliance matters, providing practical guidance on regulatory requirements.
 </p>
 <p>
  &bull; Oversee the organization&rsquo;s whistleblowing framework, ensuring confidentiality and proper investigation of reported concerns.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   3.6 Investigations &amp; Breach Management
  </strong>
 </p>
 <p>
  &bull; Investigate potential compliance breaches, suspicious activities, and regulatory violations, and manage the remediation process.
 </p>
 <p>
  &bull; Report material breaches and regulatory incidents to the CMA within the timeframes prescribed by regulation.
 </p>
 <p>
  &bull; Maintain a breach register and ensure corrective actions are tracked and completed.
 </p>
 <p>
  &bull; Manage relationships with external legal counsel and compliance advisors as necessary.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4. QUALIFICATIONS &amp; REQUIREMENTS
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4.1 Nationality &amp; Regulatory Requirements
  </strong>
 </p>
 <p>
  &bull; Must be approved or eligible for approval by the CMA as the designated Chief Compliance Officer.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4.2 Education
  </strong>
 </p>
 <p>
  &bull; Bachelor&rsquo;s degree (minimum) in Finance, Law, Business Administration, Economics, or a closely related field from a recognized university.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4.3 Required CMA Examinations &amp; Certifications
  </strong>
 </p>
 <p>
  &bull; CME 1
 </p>
 <p>
  &bull; CME 2
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Additional certifications considered highly advantageous:
  </strong>
 </p>
 <p>
  &bull; CAMS (Certified Anti-Money Laundering Specialist) &ndash; strongly preferred given the retail brokerage client onboarding requirements.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4.4 Professional Experience
  </strong>
 </p>
 <p>
  &bull; Minimum of 8&ndash;10 years of progressive experience in compliance, legal, or regulatory affairs within the financial services or capital markets sector.
 </p>
 <p>
  &bull; Minimum of 5 years of direct experience in a compliance role within a CMA-regulated or equivalent GCC/MENA capital markets or brokerage entity.
 </p>
 <p>
  &bull; Demonstrated experience navigating the CMA regulatory framework, including dealing with the CMA on licensing applications, inspection, and enforcement matters.
 </p>
 <p>
  &bull; Hands-on experience establishing or managing compliance frameworks for a retail securities brokerage or dealing business, including client onboarding, AML/KYC, and suitability programs.
 </p>
 <p>
  &bull; Experience supporting or leading a regulatory license application (CMA or equivalent) is a significant advantage.
 </p>
 <p>
  &bull; Exposure to cross-border brokerage operations or international financial institutions entering the Saudi or GCC market is highly desirable.
 </p>
 <p>
  &bull; Prior experience in a Head of Compliance or CCO capacity is strongly preferred.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   4.5 Skills &amp; Competencies
  </strong>
 </p>
 <p>
  &bull; Comprehensive knowledge of the Capital Market Law, CMA regulations, and relevant Saudi and international regulatory standards (IOSCO, FATF, Basel III, etc.).
 </p>
 <p>
  &bull; Strong Arabic and English language skills (written and verbal); bilingual proficiency is essential.
 </p>
 <p>
  &bull; A solid understanding of Hong Kong / Greater China&rsquo;s financial culture would be considered highly advantageous.
 </p>
 <p>
  &bull; Excellent interpersonal, presentation, and stakeholder engagement skills.
 </p>
 <p>
  &bull; High ethical standards, sound judgment, and the ability to act with independence and integrity.
 </p>
 <p>
  &bull; Proven ability to build and lead a compliance function from an early stage, including managing the extensive foundational work required during the pre-launch and licensing phases.
 </p>
 <p>
  &bull; Analytical mindset with the ability to interpret complex regulations and translate them into practical, actionable policies.
 </p>
 <p>
  &bull; Proficiency in compliance technology tools, reporting systems, and risk management platforms.
 </p>
</div>


King County, WA

<div><div><div><h2 class="jobSectionHeader"><b>Summary</b></h2></div><br>
<p></p><div><br>
<div><b>The Department of Community and Human Services values diverse perspectives and life experiences. The Department encourages people of all backgrounds to apply, including Black, Indigenous, and People of Color, immigrants, refugees, women, LGBTQ, people with disabilities, veterans, and those with lived experiences.</b></div><p><br>
<br>
 King County's Department of Community and Human Services (DCHS) provides equitable opportunities for people to be healthy, happy, and connected to community.</p><p><br>
The King County Department of Community and Human Services&rsquo; (DCHS) Chief Compliance Officer (CCO) oversees and manages DCHS&rsquo;s compliance program, ensuring adherence to laws, regulations, internal policies, and ethical standards. The person in this role will report to the Director of DCHS and provide updates on compliance program effectiveness, violations, emerging issues and risks.</p><p></p><div><b><br>
WHO MAY APPLY: </b>This position is open to all qualified candidates who meet the minimum qualifications. Interviews for this selection process will take place on or around 5/25/2026.</div><div></div><p><b><br>
APPLICATION PROCESS</b><br>
If you are interested in pursuing this position, please follow the application instructions carefully. If you need this announcement in an alternate language or format, would like to request accommodation or assistance in the application or assessment process, or if you have questions, please contact the recruiter listed on this job announcement.<br>
The following items are required to be considered for this vacancy:</p><ul><li><b>
NeoGov Job Application </b><i>(The responses on your job application should be thorough and complete, and will be used in the screening process)</i></li><li><b>
Supplemental Questions </b><i>(The responses to the supplemental questions should be thorough and complete, and will be used in the screening process)</i></li></ul><p>
Your application may be rejected as incomplete if you do not include the relevant information in the application. Cover letters and/or resumes are not accepted in lieu of a completed application. Applications and/or Supplemental Questionnaires that state &quot;see my resume&quot; or &quot;see my personnel file&quot; are considered incomplete and will not be accepted.</p><p>
This selection process may also be used to create a pool of candidates for current and future career service, term-limited temporary, and special duty opportunities. The pool will be active for 6 months.</p><div></div><p><b><br>
WORK SCHEDULE/CONDITIONS:</b> This position is exempt from the provisions of the Fair Labor Standards Act and is not eligible for overtime. Typical hours are Monday - Friday, 8 am - 5 pm.</p><div></div><div><b><br>
MISSION CRITICAL POSITION STATUS: </b>This position has been designated Mission Critical. Unless otherwise directed by the County Executive, department director or agency head, all employees, regardless of designation, are expected to report to work or request leave during an emergency or inclement weather. For more detailed information, please visit HR Policy County Operations During Emergency Situations and the King County Guidelines for Workforce Management in an Emergency.</div><div></div><div><b><br>
TELEWORKING REQUIREMENT: </b>DCHS works in a hybrid model, with days in the office as well as telecommuting. The ratio of remote to onsite work will be dependent on business needs and is subject to change. The primary onsite location is the Chinook Building at 401 Fifth Avenue, Seattle, WA 98104.</div><div></div><div><br>
Employees must reside in Washington state and within a reasonable distance to their King County worksite to respond to workplace reporting requirements.</div><div></div><div><br>
King County has a robust collection of tools and resources to support working remotely. The individual selected for this opportunity will join an innovative and progressive team that is redefining how we work as we transition to the department's hybrid environment. Employees will be provided with a County-issued laptop and must maintain a home workspace with an internet connection where they can reliably perform work and remain available and responsive during scheduled work hours.</div><div></div><div><b><br>
RECRUITER: </b>Greg Mallory, grmallory@kingcounty.gov</div></div><p></p>
<div><h2 class="jobSectionHeader"><b>Job Duties</b></h2></div>
<p></p><div><ul><li>Compliance Oversight: The CCO oversees the department&rsquo;s compliance efforts, responsible for ensuring fiscal compliance of contractors and internal compliance and quality assurance. The CCO will be responsible for the development of and oversight of an internal quality assurance team, whose purpose will be to ensure staff compliance with department-wide standards, policies, procedures, and practices.</li><li>
Program Development and Management: Design, implement, and maintain comprehensive compliance programs, including risk assessments, internal audits, and monitoring systems to prevent, detect, and correct noncompliance. Develop and improve DCHS&rsquo;s policies, processes, and standards to ensure they result in timely compliance.</li></ul><div><ul><li>
Manage waiver/exemption process, per DCHS Contract Compliance Monitoring Policy</li><li>
Manage compliance operations and advise on coordination activities</li><li>
Develop a department dashboard containing metrics and additional information for shared awareness. Continuous quality improvement of policies and procedures<ul><li>
Make suggestions about standardization versus centralization of tasks</li></ul></li></ul></div><ul><li>
Investigations and Corrective Action Plans: The CCO will lead or oversee investigations into potential violations, enforce corrective measures, and ensure accountability for ethical or regulatory breaches, in alignment with King County&rsquo;s policy on Reporting and Investigating Fraud, Losses, or Other Illegal Acts, as well as the DCHS concern escalation and reporting procedure.</li></ul><div><ul><li>
Review and approve contract termination recommendations, whether or not they originate from a concern with a contract or contractor</li><li>
Ensure timely and acceptable responses, shared awareness, and timely closure.</li></ul></div><ul><li>
Regulatory Monitoring: The CCO continuously tracks changes in laws, regulations, and industry standards, ensuring DCHS is prepared to respond effectively to compliance requirements.</li><li>
Ethics and Culture Promotion: Foster a culture of integrity and ethical decision-making, embedding compliance principles into DCHS&rsquo;s operations and strategic objectives.</li><li>
Training and Communication: The CCO develops and manages compliance training programs, communicates policies and procedures clearly, and establishes feedback mechanisms to ensure understanding and adherence.</li><li>
Risk Management: The CCO will assess business risks, implement mitigation strategies, and oversee third-party compliance, ensuring that vendors and partners meet regulatory and ethical standards. Liaise with legal and regulatory authorities on compliance-related issues. Partnership with Public Health to create efficiency for providers contracting with both departments and avoid duplication of efforts.</li><li>
Supervise and direct the work of others: Includes assigning work, monitoring the quantity and quality of work, ensuring deadlines are met, training, and performance management. Be a champion of equity, cultivating a culture that allows all members of the team to contribute and thrive.</li><li>
Records Management: Ensure all compliance reviews are organized and stored in a central location for accessibility, for use in the department, utilizing the information for due diligence checks and ensuring compliance with records management standards and the retention policy.</li><li>
Perform other duties, as assigned.</li></ul></div><p></p>
<div><h2 class="jobSectionHeader"><b>Experience, Qualifications, Knowledge, Skills</b></h2></div>
<p></p><div><div><ul><li>Minimum education: bachelor&rsquo;s degree in law, finance, or business administration, or a related field.</li><li>
Demonstrated experience in regulatory reporting, audits, and risk management, with at least 10 years of experience in compliance or a related field, including a minimum of 5 years in a leadership role overseeing compliance programs.</li><li>
Demonstrated experience with external and internal audit activities, and grant management as it relates to compliance and reporting of government funding.</li><li>
Strong knowledge of legal regulations and industry-specific compliance standards.</li><li>
Excellent leadership and interpersonal skills to guide teams and influence organizational culture.</li><li>
Experience developing, managing, and leading teams, as well as establishing and implementing procedures with respect to the entire organization.</li><li>
Analytical and strategic planning abilities to assess risks and implement effective compliance programs.</li><li>
Demonstrated change management and process improvement experience.</li><li>
Organizational skills: ability to multitask, prioritize, and maintain flexibility in a fast-paced environment, and meet or exceed deadlines.</li><li>
Problem-solving skills: a curious and observant individual able to recognize problems and confront conflicts and difficult issues in a professional manner.</li><li>
Excellent communication skills: excellent writing and verbal communication skills for reporting purposes, liaison duties with legal, risk management, public health, and other entities.</li></ul></div><div></div><div><b><br>
Desired Experience, Qualifications, Knowledge, Skills</b></div><div></div><div><br>
<ul><li>
Certified Fraud Investigator</li><li>
Government/Public Sector experience</li></ul></div></div><p></p>
<div><h2 class="jobSectionHeader"><b>Supplemental Information</b></h2></div>
<p></p><div><p><b>Forbes named King County as one of Washington State's best employers.</b></p><b>
Together, with leadership and our employees, we're changing the way government delivers service and winning national recognition as a model of excellence. Are you ready to make a difference? </b><b>Come join the team</b><b> dedicated to serving one of the nation's best places to live, work and play.</b>Guided by our &quot;True North&quot;, we are making King County a welcoming community where every person can thrive. We value diversity, inclusion and belonging in our workplace and workforce. To reach this goal we are committed to workforce equity. Equitable recruiting, support, and retention is how we will obtain the highest quality workforce in our region; a workforce that shares and will help advance our guiding principles - we are one team; we solve problems; we focus on the customer; we drive for results; we are racially just; we respect all people; we lead the way; and we are responsible stewards. We encourage people of all backgrounds and identities to apply, including Native American and people of color, immigrants, refugees, women, LGBTQ+, people living with disabilities, and veterans.<p><b>
King County is an Equal Employment Opportunity (EEO) Employer</b></p><p>
No person is unlawfully excluded from employment opportunities based on race, color, religion, national origin, sex (including gender identity, sexual orientation and pregnancy), age, genetic information, disability, veteran status, or other protected class. Our EEO policy applies to all employment actions, including but not limited to recruitment, hiring, selection for training, promotion, transfer, demotion, layoff, termination, rates of pay or other forms of compensation.</p><p><b>
To Apply</b></p><p>
If you are interested in pursuing this position, please follow the application instructions carefully. If you need this announcement in an alternate language or format, would like to request accommodation or assistance in the application or assessment process or if you have questions please contact the recruiter listed on this job announcement.</p></div></div></div><p></p>

Chief Compliance Officer (CAO)

CONFLUENCE TECHNOLOGIES

<div><h3 class="jobSectionHeader"><b>Description</b></h3><div><br>
Remote- Central or Eastern U.S. time zones</div><div><b>
</b></div><div><b>
Why Confluence?</b></div><div>
<br>
At Confluence, we&rsquo;ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.</div><h3 class="jobSectionHeader"><b><br>
Key Responsibilities</b></h3><div><br>
<b>
 About the Role</b><br>
As a Compliance Services Consultant, you&rsquo;ll take on a senior, client‑facing role, acting as the primary compliance authority for a select group of clients. You&rsquo;ll provide hands‑on guidance across core U.S. securities laws and play a critical role during high‑stakes regulatory events, including SEC examinations.</div><div>
<br>
This is a fully remote, highly autonomous role designed for professionals who value ownership, influence, and long‑term client relationships.<br>
</div><div><br>
<b>What You&rsquo;ll Do</b></div><ul>
<li>Act as an outsourced Chief Compliance Officer for private fund and retail wealth management clients</li>
<li>Advise clients on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act</li>
<li>Lead annual reviews, risk assessments, and regulatory filings</li>
<li>Support and manage clients through SEC examinations and regulatory inquiries</li>
<li>Build trusted relationships with C‑suite executives and senior stakeholders</li>
<li>Oversee and mentor junior team members</li>
<li>Contribute to the ongoing development and growth of the compliance practice</li></ul><br>
<h3 class="jobSectionHeader"><b>
Skills, Knowledge &amp; Expertise</b></h3><div></div><div><b><br>
What We&rsquo;re Looking For</b></div><div></div><div><b><br>
Must‑Have Experience</b></div><ul>
<li>Prior in‑house or outsourced Chief Compliance Officer experience, with direct accountability</li>
<li>Strong working knowledge of:<ul>
<li>Investment Advisers Act of 1940 (essential)</li>
<li>Securities Exchange Act of 1934</li>
<li>Investment Company Act of 1940</li>
</ul></li><li>7+ years of experience in the regulated investment industry (compliance, consulting, or regulatory)</li>
<li>Proven ability to advise C‑suite and senior leadership</li>
<li>Hands‑on experience with private equity, private credit, hedge funds, and/or retail wealth managers</li>
</ul><div>
<br>
<b>Nice‑to‑Have (But Not Required)</b>
</div><ul><li>Law degree or postgraduate compliance or legal education</li>
<li>Professional certifications (IACCP, CAMS/ACAMS, CRCP, CFE)</li>
<li>FINRA licenses (e.g., Series 24)</li>
<li>Experience with IARD, CRD, PFRD, EDGAR, and compliance software</li>
<li>Exposure to CFTC/NFA regulations</li>
<li>Experience mentoring or leading junior professionals</li>
</ul><div><br>
<b>Travel</b></div><ul><li>
Moderate travel, typically up to approximately 40%</li></ul><h3 class="jobSectionHeader"><b><br>
Job Benefits</b></h3><div><br>
Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes:<br>
</div><div> Generous <b>Time Off</b> packages including additional half days with each public holiday in your location.</div><div>
 <b>Global Career Development </b>opportunities</div><div>
 <b>Social Events</b></div><div>
 <b>Referral Bonus scheme </b>- Upto $3,000 per successful referral</div><div>
 <b>Plus many more!</b>
</div><div></div><div><b>
More about the Location</b></div><div>
We offer flexible working options for all employees.</div><div>
</div><div>
<b>#LI-Remote</b>-Central or Eastern U.S. time zones preferred)</div><h3 class="jobSectionHeader"><b><br>
About Confluence Technologies</b></h3><div>
<br>
As a leading global technology solutions provider to the investment management industry, Confluence helps clients solve complex investment data challenges across the front, middle and back office. Headquartered in Pittsburgh, PA, Confluence services over 1000 clients in 40 countries, with locations across Europe, North America, South Africa, Australia and Asia.</div></div>

Compliance Services Consultant

Jordan Aschwege LLC

<p>Jordan Aschwege is a professional and evolving organization committed to integrity, transparency, and operational excellence. We focus on maintaining strong governance structures that support sustainable and compliant business growth.</p><p><b>Role Overview</b></p><p>We are seeking an experienced and detail-focused <b>Senior Compliance Officer</b> to join our Doha team. This role is responsible for ensuring adherence to regulatory requirements, internal policies, and industry best practices while supporting a strong culture of compliance across the organization.</p><p><b>Key Responsibilities</b></p><ul><li>Monitor and ensure compliance with applicable laws, regulations, and internal policies</li><li>Develop, review, and update compliance frameworks and procedures</li><li>Conduct compliance risk assessments and recommend corrective actions</li><li>Support internal and external audits and regulatory inspections</li><li>Investigate compliance breaches and prepare detailed reports</li><li>Provide guidance and training to employees on compliance standards</li><li>Maintain accurate compliance records and documentation</li><li>Collaborate with legal, risk, and operational teams to strengthen governance</li></ul><p><b>Qualifications &amp; Skills</b></p><ul><li>Bachelor&rsquo;s degree in Law, Finance, Business Administration, or a related field</li><li>Professional certification (CAMS, CRCM, CPA, or equivalent) is an advantage</li><li>Minimum 5&ndash;7 years of experience in compliance or regulatory roles</li><li>Strong understanding of regulatory frameworks and corporate governance</li><li>Excellent analytical, investigative, and problem-solving skills</li><li>Strong communication and stakeholder management abilities</li><li>High attention to detail and ethical standards</li></ul><p><b>What We Offer</b></p><ul><li>Competitive salary and benefits package</li><li>Opportunity to work in a compliance-driven professional environment</li><li>Career development and advancement opportunities</li><li>Collaborative and structured workplace culture</li></ul><p><b>How to Apply</b></p><p>Interested candidates are invited to apply via Indeed by submitting their updated CV and relevant certifications.</p><p>Pay: QAR420,000.00 per year</p><p>Work Location: In person</p>

Senior Compliance Officer

Search 10000+ Chief compliance officer jobs near you this May. New roles added regularly across leading industries. Apply today.

10000 chief compliance officer jobs Near Me

Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer (CAO)

Compliance Services Consultant

Senior Compliance Officer