Director, Compliance Risk Management
Found in: Jooble US O C2 - 1 week ago
Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients throughout the U.Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to emerging growth companies nationally.
Reporting to the CEO and serving as an integral member of the senior management team, the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser.
Develop, update, and enforce compliance policies and procedures to ensure the firm complies with relevant SEC, FINRA, MSRB and state rules and regulations.
Conduct periodic risk assessments of firm activities, testing compliance policies, controls and WSPs. Oversee the management of regulatory examinations conducted by the SEC, FINRA, States and other agencies, and respond to regulatory inquiries on a timely basis.
Monitor and ensure employee compliance with all relevant policies, including electronic communication, sales & trading, and business conduct.
FINRA Series 7, 63, 65 or 66, 4, 53, & 24 registrations (or ability to obtain within 90 days of employment)
Five years experience in a Compliance or Supervisory position
Five years prior Compliance experience in a leadership role required
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Risk & Compliance Analyst
Found in: Talent US C2 - 2 weeks ago
Minneapolis, United States ECMC Shared Services Company, LLC Full timeChoosing a career with ECMC Group means joining a nonprofit corporation with a mission to help students succeed. With a vibrant mission and values, great benefits, and strong community involvement, ECMC Group companies are an ideal team to join. Job Summary Responsible for planning, performing, monitoring, and reporting on components of varying...
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Risk & Compliance Analyst
Found in: beBee jobs US - 3 weeks ago
Minneapolis, Minnesota, United States ECMC Group Full timeChoosing a career with ECMC Group means joining a nonprofit corporation with a mission to help students succeed. With a vibrant mission and values, great benefits, and strong community involvement, ECMC Group companies are an ideal team to join.Job SummaryResponsible for planning, performing, monitoring, and reporting on components of varying complexity...
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Risk & Compliance Analyst
Found in: beBee S US - 3 weeks ago
Minneapolis, United States ECMC Group Full timeChoosing a career with ECMC Group means joining a nonprofit corporation with a mission to help students succeed. With a vibrant mission and values, great benefits, and strong community involvement, ECMC Group companies are an ideal team to join. Job Summary Responsible for planning, performing, monitoring, and reporting on components of varying complexity...
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Sr Manager, Audit
2 hours ago
Minneapolis, United States Schwan's Full timeDescription (Overview) Schwan's Company, a U.S. affiliate of the global lifestyle company, CJ CheilJedang Corporation, is a leading U.S. manufacturer and marketer of quality foods offered through retail-grocery and food-service channels. Our many popular brands include Red Baron®, Tony's®, Big Daddy's®, Villa Prima™ and Freschetta® pizza; Mrs....
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Director, Software and Electrical Engineering
Found in: Jooble US O C2 - 2 weeks ago
Minneapolis, MN, United States Custom Search Inc. Full timeOur smaller medical device client is adding a Director of Electrical and Software Engineering to lead an engineering team in creating groundbreaking solutions. The Director of Electrical and Software Engineering will play a pivotal role in driving the development and implementation of electrical and software systems for innovative medical devices. This...
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Compliance Monitoring Manager
1 day ago
Minneapolis, United States Larson Maddox Full timeA well-established bank is looking to add an experienced Compliance Monitoring Manager to their compliance team. This individual will oversee the Consumer Compliance Monitoring program and report to the Chief Compliance Officer. Responsibilities include enhancing and administering the Compliance Monitoring Program, conducting annual risk assessments,...
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DIRECTOR OF FOOD SAFETY, QUALITY, AND REGULATORY COMPLIANCE
Found in: Careerbuilder One Red US C2 - 3 days ago
MINNEAPOLIS, MN, USA, United States Puris Full timeJoin Our Team - Director of Food Safety, Quality, and Regulatory Compliance. PURIS is hiring for the role of Director of Food Safety, Quality, and Regulatory (FSQR) Compliance. Join us in transforming the global food landscape with non-GMO, organic, Director, Regulatory, Compliance, Food, Safety, Supply Chain, Manufacturing
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Wealth Management Compliance Officer
2 weeks ago
Minneapolis, United States First International Bank and Trust Full timeWealth Management Compliance Officer Department: Corporate Location: Edina, MN PT/FT/Temporary : Full Time START YOUR APPLICATION (rmdirect.com/resumedirect/ApplyOnline/Apply.aspx?req\_id=2972612&source=2972612-CJB-0) First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work for 10 years...
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Chief Compliance Officer
Found in: Jooble US O C2 - 1 week ago
Minneapolis, MN, United States Oak Ridge Financial Full timeAbout the Company Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000...
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Director of Electrical and Software Engineering
Found in: Jooble US O C2 - 2 weeks ago
Minneapolis, MN, United States Custom Search Inc. Full timeOur smaller medical device client is adding a Director of Electrical and Software Engineering to lead an engineering team in creating groundbreaking solutions. The Director of Electrical and Software Engineering will play a pivotal role in driving the development and implementation of electrical and software systems for innovative medical devices. This...
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Project Manager
Found in: Appcast US C2 - 1 week ago
Minneapolis, United States ITR Group Full timeOpportunity available for a Security Compliance Project Manager In this role you will work security, compliance, and development teams. Responsibilities Deliver projects on time and within budget, which meet strategic and business requirements.Manage complex, strategic corporate initiatives while providing coaching and mentoring to other project team...
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Project Manager
Found in: Appcast Linkedin GBL C2 - 1 week ago
Minneapolis, United States ITR Group Full timeOpportunity available for a Security Compliance Project Manager In this role you will work security, compliance, and development teams. Responsibilities Deliver projects on time and within budget, which meet strategic and business requirements.Manage complex, strategic corporate initiatives while providing coaching and mentoring to other project team...
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Compliance Examiner
4 hours ago
Minneapolis, United States U.S. Bancorp Full timePartners with their assigned Line of Business, other Risk/ Compliance/ Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework. Participates in Compliance, Examiner, Project Management, Skills, Banking, Business Services
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Project Manager
1 week ago
Minneapolis, United States C4 Technical Services Full timeProject Manager II (Compliance) Location: Richfield, MN (Hybrid Schedule)Tell us about your department: Enterprise Information Protection's mission is to identify, protect against, detect, and respond to information security threats across all entities and subsidiaries, reasonably mitigating risks to the confidentiality, integrity, and availability of Best...
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Tax Managing Director, Core Tax Services
Found in: Careerbuilder One Red US C2 - 4 days ago
Minneapolis, MN, United States BDO International Full timeJob Summary:The Tax Managing Director is responsible for applying industry specific knowledge to advice clients on the tax implications of their business objections, evaluating and selecting alternative actions to lessen tax burden and cost of compliance, identifying different methods of complying with tax regulations while acting as the primary client...
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Project Manager
2 weeks ago
Minneapolis, United States N-Tier Solutions Full timeJob DescriptionJob DescriptionTitle: Project Manager(Security Compliance)Location: Minneapolis MNWork Arrangement: Hybrid, onsite 3 days/weekContract Duration: through December 31, 2024 Overview: This posting is for a PM who will be working with security, compliance, and development teams to establish a scalable regional internal governance capability....
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Project Manager
7 days ago
Minneapolis, United States Talent Software Services Full timeOverview: This posting is for a PM who will be working with security, compliance, and development teams to establish a scalable regional internal governance capability. Partnering with senior leadership and application teams this person will work to transform how we govern, manage, and remediate security findings to support regional vulnerability management....
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Compliance Business Analyst
2 days ago
Minneapolis, United States Federal Reserve System Full time**Company** Federal Reserve Bank of Minneapolis The Federal Reserve Bank of Minneapolis is seeking a Compliance Business Analyst for the newly formed Enterprise Compliance division to help build and implement a robust compliance function through collaborating with a wide variety of individuals and functions across Bank departments including senior...
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Minneapolis, United States Puris Full timeJoin Our Team - Director of Food Safety, Quality, and Regulatory Compliance. PURIS is hiring for the role of Director of Food Safety, Quality, and Regulatory (FSQR) Compliance. Join us in transforming the global food landscape with non-GMO, organic, Director, Regulatory, Compliance, Food, Safety, Supply Chain, Manufacturing
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Credit Risk Manager
1 week ago
Minneapolis, United States U.S. Bancorp Full timeU.S. Bank is seeking a credit risk professional to join a dynamic Credit Strategy team with a focus on areas including risk rating framework and credit concentration (aggregation, hold limits and risk profile). Qualified candidates will possess stron Risk Manager, Risk, Manager, Credit, Accounting, Banking