Current jobs related to Compliance Officer - Indianapolis - WestPoint Financial Group
-
Chief Compliance and Legal Officer
2 weeks ago
Indianapolis, Indiana, United States Optimyl Benefits Full timeJob OverviewJoin us in transforming the healthcare industry.At Optimyl Benefits, we are redefining the healthcare experience for small businesses by offering accessible, high-quality, and user-friendly healthcare solutions. With extensive experience catering to small employers, we create plans tailored to their unique needs, achieving the ideal "Optimyl"...
-
Chief Legal
3 months ago
Indianapolis, United States Optimyl Benefits Full timeJob DescriptionJob DescriptionLet's change healthcare together!At Optimyl Benefits, we're revolutionizing the healthcare landscape for small employers by providing accessible, high-quality, and easy-to-use healthcare plans. Drawing from deep experience working with small employers, Optimyl delivers plans crafted specifically for them, finding the...
-
Sr Contract Compliance Officer
2 months ago
Indianapolis, United States State of Indiana Full timeWork for Indiana Begin a fulfilling career with the State of Indiana by joining one of the largest employers in the state, offering a diverse range of opportunities across 60+ agencies. At the state, you'll find competitive compensation, a robust benefits package and a commitment to work-life balance. Most importantly, you'll have the chance to make a...
-
Regulatory Compliance Officer
1 week ago
Indianapolis, Indiana, United States Genezen Full timeAbout the RoleWe are seeking a highly skilled Quality Assurance Specialist to join our team at Genezen. As a Quality Assurance Specialist, you will play a critical role in ensuring the quality and compliance of our products and processes.Key ResponsibilitiesProvide quality oversight and expertise to operations, manufacturing, and quality control...
-
Regulatory Compliance Manager
1 month ago
Indianapolis, United States SILAC Insurance Company Full timeJob DescriptionJob DescriptionAbout SILACHeadquartered in Carmel, Indiana, SILAC Insurance Company provides industry-leading annuity products that help individuals prepare for retirement. Our teams align around a shared vision of competitive products for clients, delivering best-in-class service to agents & business partners, and propelling the success of...
-
Customs Compliance Specialist
2 weeks ago
Indianapolis, Indiana, United States Fedex Ground Full timePosition Overview:As a Customs Compliance Specialist, you will be pivotal in managing the necessary documentation mandated by US Customs and Government Agencies for the importation of goods into the United States on behalf of various importers.Key Responsibilities:Deliver exceptional customer service.Accurately classify goods for customs clearance utilizing...
-
Regulatory Compliance Manager
3 months ago
Indianapolis, United States Commonwealth Engineers, Inc. Full timeCommonwealth Engineers, Inc. is seeking an experienced Regulatory Compliance Project Manager to join our award-winning engineering design and consulting firm in our Indianapolis North office. The candidate must be a self-starter willing to grow with our company. Applicant must be adaptable, and willing to work in a performance and deadline-driven environment...
-
Regulatory Compliance Manager
2 weeks ago
Indianapolis, United States Commonwealth Engineers, Inc. Full timeCommonwealth Engineers, Inc. is seeking an experienced Regulatory Compliance Project Manager to join our award-winning engineering design and consulting firm in our Indianapolis North office. The candidate must be a self-starter willing to grow with our company. Applicant must be adaptable, and willing to work in a performance and deadline-driven environment...
-
Regulatory Compliance Manager
1 week ago
Indianapolis, United States Commonwealth Engineers, Inc. Full timeCommonwealth Engineers, Inc. is seeking an experienced Regulatory Compliance Project Manager to join our award-winning engineering design and consulting firm in our Indianapolis North office. The candidate must be a self-starter willing to grow with our company. Applicant must be adaptable, and willing to work in a performance and deadline-driven environment...
-
Compliance Specialist
3 days ago
Indianapolis, Indiana, United States Model1 Commercial Vehicles, Inc. Full timeJob SummaryWe are seeking a highly skilled Compliance Specialist to join our team at Model1 Commercial Vehicles, Inc. As a Compliance Specialist, you will play a critical role in ensuring our company's compliance with all relevant laws, regulations, and industry standards.Key ResponsibilitiesOversee new facility startups, including coordinating with local...
-
Quality compliance analyst
3 weeks ago
Indianapolis, United States Randstad Full timeOur client is looking to hire a regulatory Quality Compliance Auditor to support the companies global quality assurance policies and compliance. This is a primarily Remote position but you MUST be able to come into the Indianapolis office when audits are being run so MUST live a commutable distance from the office. This is a Temp To Hire opportunity....
-
Labeling Compliance Specialist
9 hours ago
Indianapolis, Indiana, United States Management Recruiters of Zionsville Full timeLabeling Compliance and Specification SpecialistWe are seeking a highly skilled Labeling Compliance and Specification Specialist to join our team at Management Recruiters of Zionsville. As a key member of our Quality Assurance department, you will be responsible for ensuring all product labeling meets USDA regulations.Key Responsibilities:Collaborate with...
-
Customs Compliance Specialist
2 weeks ago
Indianapolis, Indiana, United States Fedex Ground Full timePosition Overview:As a Customs Compliance Specialist, you will be tasked with managing the necessary documentation for the entry of goods into the United States on behalf of importers. Your role is crucial in ensuring that all customs regulations are adhered to, facilitating smooth operations within the logistics framework.Key Responsibilities:Deliver...
-
Final Compliance Auditor
3 weeks ago
Indianapolis, Indiana, United States Vitu Full timeJob OverviewVitu is at the forefront of delivering advanced solutions to the automotive sector. Our flagship platform streamlines the management of titling and registration processes across all 50 states, enhancing the interaction between drivers, businesses, and governmental entities.Position Summary:The Final Compliance Auditor plays a crucial role in...
-
Senior Compliance Specialist
3 days ago
Indianapolis, United States Birge & Held Full timeWho we are Join a company where passion meets purpose. At Birge & Held (“B&H”), we're not just transforming multifamily housing—we're redefining it with energy and excitement. Our team embodies a culture of leadership at every level, fostering collaboration and a relentless commitment to our shared vision. We believe in the power of every individual to...
-
Compliance Assurance Manager
3 weeks ago
Indianapolis, United States SILAC Insurance Company Full timeJob OverviewAbout SILAC Insurance CompanyLocated in Carmel, Indiana, SILAC Insurance Company specializes in providing premier annuity solutions designed to assist individuals in preparing for their retirement. Our dedicated teams work collaboratively to deliver competitive products, exceptional service to agents and business partners, and foster the growth...
-
Senior Compliance Specialist
1 month ago
Indianapolis, United States Birge & Held Full timeWho we areJoin a company where passion meets purpose. At Birge & Held (“B&H”), we're not just transforming multifamily housing—we're redefining it with energy and excitement. Our team embodies a culture of leadership at every level, fostering collaboration and a relentless commitment to our shared vision. We believe in the power of every individual to...
-
Senior Compliance Specialist
4 weeks ago
Indianapolis, United States Birge & Held Full timeWho we are Join a company where passion meets purpose. At Birge & Held (“B&H”), were not just transforming multifamily housing—were redefining it with energy and excitement. Our team embodies a culture of leadership at every level, fostering collaboration and a relentless commitment to our shared vision. We believe in the power of every individual to...
-
Senior Compliance Specialist
1 month ago
Indianapolis, United States Birge & Held Full timeWho we areJoin a company where passion meets purpose. At Birge & Held (“B&H”), we're not just transforming multifamily housing—we're redefining it with energy and excitement. Our team embodies a culture of leadership at every level, fostering collaboration and a relentless commitment to our shared vision. We believe in the power of every individual to...
-
Governance, Risk
2 months ago
Indianapolis, United States AEG Full timeIn order to be considered for this role, after clicking "Apply Now" above and being redirected, you must fully complete the application process on the follow-up screen. The Indianapolis Colts are seeking an experienced Governance, Risk, and Compliance (GRC) Analyst who will be responsible for ensuring organizational compliance of various industry standard...
Compliance Officer
4 months ago
WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.
Please note: You must currently hold FINRA S24 (or 9 &10)
Core Job Responsibilities:
- Conduct inspections of affiliated offices and producer interviews and complete required documentation
- Monitor and enforce disciplinary actions and tailored supervision arrangements
- Review and monitor advisor transactions, correspondence, sales material and business practices per industry and company guidelines
- Approve and monitor outside business activities
- Document advisor onboarding and offboarding
- Participate in firm inspections and regulatory audits
- Training and education
- Additional duties assigned by supervisor
- Must maintain FINRA licenses noted below
This position is Full-Time and works from the Indianapolis office. Salary is proportionate with qualifications and experience.
No immigration sponsorship available for this role.
Required Qualifications:
- Series 7, 24 (or 9 and 10), 66 (or 63 and 65)
- Bachelor's degree or equivalent combination of education and experience
Preferred Qualifications:
- 3+ years of professional experience in a similar role
- Series 53 preferred, or must pass within 120 days of employment
WestPoint Financial Group is dedicated to bringing financial wisdom and clarity in a world of infinite information. Our associates are highly competent professionals, respected for their precise expertise, product knowledge and commitment to professional growth. Our stringent code of ethics places the client’s needs above all others and demands uncompromising integrity in every aspect of our business conduct.