Current jobs related to Director, Compliance - Montpelier, Vermont - National Life Group
-
Director of Underwriting Operations
2 weeks ago
Montpelier, Vermont, United States National Life Group Full timeJob SummaryWe are seeking a highly experienced and skilled Director of Underwriting Operations to join our team at National Life Group. As a key member of our underwriting department, you will be responsible for leading a large team of underwriters and driving productivity and quality risk selection.Key ResponsibilitiesLead Complex Underwriting Risks:...
-
Senior Development Director
3 weeks ago
Montpelier, Vermont, United States Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) Full timeJob SummaryThe Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) seeks a seasoned and visionary Chief Advancement Officer to lead our development efforts and drive strategic growth. As a key member of our senior leadership team, you will be responsible for developing and implementing comprehensive fundraising strategies to...
-
Montpelier, Vermont, United States Rutland Regional Medical Center Full timeJob SummaryThe Director of Human Resources and Organizational Development is a strategic leader responsible for developing and implementing human resources strategies that support the mission and goals of Rutland Regional Medical Center. This role requires a strong understanding of human resources operations, labor laws, and regulations.Key...
-
Director of Privileged Access Management
1 week ago
Montpelier, Vermont, United States Marriott Full timeJob SummaryThe Director of Privileged Access Management will lead and execute the company's Privileged Access Management program, ensuring the security and compliance of privileged access within the organization's IT infrastructure and business applications.Key ResponsibilitiesStrategic planning, development, and execution of PAM processesLeadership and...
-
Cybersecurity Director
2 weeks ago
Montpelier, Vermont, United States Marriott Full timeAbout the RoleWe are seeking an experienced Cybersecurity Director to lead our organization's efforts in developing and maintaining robust analytical platforms for advanced threat detection and prevention. This leader will oversee SIEM and UEBA platform engineering and delivery of Security Orchestration and Automated Response (SOAR) services to incident...
-
Operations Director
2 weeks ago
Montpelier, Vermont, United States KCO Resource Management Full timeJob SummaryWe are seeking a highly skilled and experienced Operations Manager to join our team at KCO Resource Management. As an Operations Manager, you will be responsible for leading and innovating in the heart of the dairy industry.Key Responsibilities:Develop and Maintain Business Plans: Develops and maintains manufacturing operations business plans to...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled RN Supervisor to support the Director of Nursing in delivering efficient and effective nursing care. The ideal candidate will have a minimum of three years of full-time clinical experience, with a focus on long-term care nursing and management/administrative roles. Key...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Operations Director
2 weeks ago
Montpelier, Vermont, United States KCO Resource Management Full timeOperations Manager Job DescriptionWe are seeking a highly skilled Operations Manager to lead our manufacturing operations and drive business growth. As a key member of our team, you will be responsible for developing and implementing business plans, managing production costs, and ensuring the highest quality standards are met.Key Responsibilities:Develop and...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Chief Advancement Officer
2 weeks ago
Montpelier, Vermont, United States Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) Full timeJob SummaryThe Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) seeks a visionary and strategic leader to join our senior leadership team as the Chief Advancement Officer. This role encompasses oversight and strategic direction for all development, communications, alumni relations, and admissions activities.Key...
-
Chief Operating Officer
4 days ago
Montpelier, Vermont, United States Good Samaritan Haven Inc Full timeJob Title: Chief Operating OfficerThe Chief Operating Officer plays a pivotal role in guiding and operating the Good Samaritan Haven, working closely with the Executive Director to drive organizational success.Key Responsibilities:Oversee all internal operations, ensuring a healthy and satisfying work culture and high client satisfaction.Supervise program...
-
Chief Advancement Officer
3 weeks ago
Montpelier, Vermont, United States Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) Full timeJob SummaryThe Association of Fundraising Professionals - Northern New England Chapter (AFP-NNE) seeks a seasoned and visionary Chief Advancement Officer to lead our senior leadership team in strategic fundraising and engagement efforts.Key ResponsibilitiesStrategic Fund Development: Develop and implement short and long-term goals for diversifying funding...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeBennington Health and Rehabilitation Center - Bennington, VT is seeking a skilled Registered Nurse to fill the role of RN Supervisor. As a key member of our nursing team, you will support the Director of Nursing in delivering high-quality patient care while achieving positive clinical outcomes and patient/family satisfaction. Key Responsibilities:• Report...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Berlin Health and Rehabilitation Center - Barre, VT Full timeClinical Leadership Opportunity at Berlin Health and Rehabilitation Center - Barre, VT **Job Summary:** We are seeking a skilled Registered Nurse to lead our clinical operations as a Nursing Supervisor. As a key member of our team, you will support the Director of Nursing in delivering efficient and effective nursing care, while achieving positive clinical...
-
Nursing Supervisor
1 week ago
Montpelier, Vermont, United States Bennington Health and Rehabilitation Center - Bennington, VT Full timeLead Nursing Supervisor OpportunityWe are seeking a highly skilled and experienced Registered Nurse to join our team as a Lead Nursing Supervisor at Bennington Health and Rehabilitation Center in Bennington, VT. As a key member of our nursing leadership team, you will play a critical role in ensuring the delivery of high-quality patient care and supporting...
-
Chief Financial Officer
2 days ago
Montpelier, Vermont, United States The Source and Recruit Company Full timeAbout The Source and Recruit CompanyThe Source and Recruit Company is a dynamic organization committed to promoting affordable housing, conserving important natural resources, and strengthening the communities of Vermont. By balancing economic development with environmental protection, we play a critical role in preserving the state's rich natural heritage...
Director, Compliance
3 months ago
Director, Compliance (Branch Exams)
Position Summary
The Director, Compliance reports to the Deputy Chief Compliance Officer. The responsibilities of this role include leading and developing a team managing and performing branch office examinations, oversee the Firm's compliance communications, develop and conduct field training, assist with the Firm's internal controls testing under FINRA Rule 3120 and SEC Rule and other projects, as necessary.
This position requires approximately 30-35% travel. The incumbent may also assist with the development and conduct of other Firm-wide training, as necessary.
Essential Duties and Responsibilities
Support the Firm's Broker-Dealer and Registered Investment Adviser activities.Manage and oversee the examination process for the Firm's Offices of Supervisory Jurisdiction (OSJ) and detached branches to ensure compliance with regulatory requirements.Provide guidance and leadership to the Firm's branch examiners.Conduct on-site examinations, as needed.Provide guidance and training to field branch managers and staff on regulatory requirements and best practices.Develop and implement examination procedures and protocols.Coordinate and schedule examinations with branch managers and regulatory agencies.Review, track, and ensure completion of branch office inspections conducted by OSJ supervisors.Review and analyze examination findings and prepare detailed reports for management and regulatory agencies.Stay updated on changes to securities laws, regulations, and industry trends.Demonstrate effective professional writing skills and develop communications that relay Firm policies, regulatory changes/updates, and reminders of Firm policy.Other duties, as assigned.RequirementsBachelor's Degree or an equivalent combination of education and experienceMinimum of 7 years of experience in General Securities ComplianceMinimum of 5 years of experience in Compliance AuditingFINRA Series 7 and 24 requiredAdditional RequirementsAdditional securities registrations, including Municipal Securities Series 51 or 53, and Investment Adviser Representative registration are beneficial. State insurance license and insurance industry certifications are also a plus (e.g. CFE, CRCP, IACCP).
The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment.National Life is accepting applications for this role on an ongoing basis and the role remains open until filled. National Life Group is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.National Life Group1 National Life DrMontpelier, VT 05604#LI-DO
#LI-HYBRID
Social Media Policy Site Disclosure and Privacy Policy