- Monroe Capital LLC (Chicago, IL)
- … compliance throughout the organization Implement and maintain a Broker /Dealer compliance program consistent with FINRA requirements Requirements ... is seeking leader for its Assistant Vice President of Compliance role. The Assistant Vice President of Compliance will assist the Chief Compliance Officer in… more
- Ares Management Corporation (Los Angeles, CA)
- … Compliance , focusing on global marketing and investor relations, including compliance for Ares' registered broker -dealers; Regulated Funds Compliance , ... careers within this exciting and growing industry. Job Description The Ares Compliance Department oversees and manages Ares' global regulatory compliance and… more
- POET LLC (Wichita, KS)
- …contract details into transaction processing system Point of contact for customs broker regarding exports and regulatory compliance Download and analyze reports ... QUALIFICATIONS & SKILLS: 3+ years' experience in compliance , para-legal, human resources, or related field Associates Degree or equivalent Experience with… more
- Allianz (Baltimore, MD)
- On the Broker Management Team, this position will manage a renewal portfolio. This role is responsible for the growth and maintenance of a balanced portfolio of ... actively participate in the development and management of customer and broker relationships. Key Responsibilities Manage personal renewal portfolio Review and… more
- CareSource (Dayton, OH)
- Job Summary: The National Broker Account Manager is responsible for creating and overseeing execution of a winning CareSource sales strategy for Marketplace and ... market to market and product to product Implement and ensure ongoing compliance with all operational policies, procedures, and training programs and requirements… more
- City of New York (New York, NY)
- …parking administration and adjudication issues, prosecuting parking fraud reinstatement and broker compliance cases, drafting and reviewing parking related ... fairly, efficiently, and transparently to instill public confidence and encourage compliance while providing exceptional customer service. The Legal Affairs Division… more
- CRC Group (Birmingham, AL)
- …Shift (United States of America) Please review the following job description: Supports Broker with all job functions to learn the industry, business and job ... responsibilities necessary for future growth as a Broker . Markets, identifies, solicits, and arranges appropriate insurance coverage for clients by utilizing… more
- eXp Realty (San Antonio, TX)
- …a 8x Glassdoor Best Places to Work organization! What you will do: The Managing Broker will be responsible for supporting the Designated Managing Broker in the ... and MLS participation, along with the transaction review process, compliance training, and the eXp Risk Management program. This...an exceptional track record as a supervising real estate broker of a small to medium firm, an understanding… more
- Alchemy Financial Group (Chadbourn, NC)
- …of insurance products and services Follow company's policies and ensure the compliance with applicable legal requirements Insurance Broker requirements are: Good ... About the Insurance Broker position We are looking for a skilled Insurance Broker to join our team and help us with managing our business development activities.… more
- AmTrust Financial Services, Inc. (Overland Park, KS)
- …*Review Loss Control reports and recommendations and collaborate with the agent / broker to ensure loss control compliance . *Performs other duties as assigned. ... Qualifications Education: Undergraduate studies degree preferred. Equivalent work experience will be considered in lieu of a degree. License/Certification/Designation: Completion of general insurance courses such as CPCU, CIC, AU, ARM, CPIW, CWIS, or ASLI is… more
- USAA (Phoenix, AZ)
- …effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures What you have: Bachelor's degree OR 4 ... and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ability… more
- Interactive Brokers (Greenwich, CT)
- …an accounting firm or law firm with a focus on security or commodity regulations, a broker -dealer or an FCM. Experience in a compliance testing or audit role is ... Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national...is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of US securities and/or… more
- Insight Global (Ellenwood, GA)
- …or university or equivalent experience - Minimum of 4-5 years of Customs Brokerage/ Compliance experience - Customs Broker License - Working knowledge of CFIT ... topics from results. - Track and report customs rejections, assisting in compliance self-audits. - Support timely review of monitoring reports. - Keep employees… more
- Chubb (Boston, MA)
- …operations globally. Details of this critical opening follow: Business Development & Broker Management - Utilize and develop personal and business relationships with ... brokers and producers to produce new account opportunities for Chubb Multinational. Broker /Territory Management - Execute on the sales and marketing plan for… more
- Cetera Financial Group, Inc. (Minnetonka, MN)
- …training on new technologies and follow implementation guidelines. Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail ... Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals,… more
- Wintrust (Chicago, IL)
- …administration, fiduciary duties, and investment management. Monitor to ensure compliance with applicable federal and state fiduciary, securities, investment ... filing requirements as applicable. Respond to inquiries/requests for general compliance guidance regarding business line policies, procedures, and regulatory issues.… more
- BNP Paribas (Jersey City, NJ)
- …Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions clients within Corporate & Institutional ... leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and… more
- American International Group, Inc. (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... Multinational clients and stakeholder relationships, including relevant client & broker relationships in close collaboration with Multinational Client Executives,… more
- Santander Holdings USA Inc (Buzzards Bay, MA)
- …related sales and revenue goals as defined on a quarterly basis. Maintain compliance with all applicable bank, broker /dealer, State and Federal regulations ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards in an effort to achieve sales results and… more
- Fossil (Dallas, TX)
- Make an Impact We are seeking a talented Trade Compliance Analyst to join our Distribution Center FTZ / Trade Compliance team. In this role, you will be crucial ... You'll directly contribute to minimizing our risk and exposure to compliance violations stemming from importing and exporting activities, ultimately safeguarding the… more
