Compliance Associate

2 weeks ago


Des Moines, United States Vision Financial Group LLC Full time
Job DescriptionJob DescriptionDescription:

Vision Financial Group, a dynamic, holistic financial advisory firm, is seeking a personable, highly organized individual to join our team as a Compliance Associate. The ideal candidate will have working knowledge of the wealth management arena, and the ability to provide exceptional service to our network of financial advisors and their teams.


Benefits:


Vision Financial Group provides competitive compensation, a full suite of benefits, free parking, a flexible work environment including the possibility of hybrid/remote work after training, and the potential to advance to a compliance supervisory role for the right candidate.


Specific job duties include, but are not limited to:

  • Providing relationship management services to financial professionals by phone, via email, and in person
  • Entering and tracking advertising and correspondence submissions via communications review tool
  • Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals
  • Serving as a point of contact for the recruiting and transition teams, including handling questions regarding contracting, compliances, licensing, commissions, and services
  • Maintaining associated compliance records in Salesforce CRM
  • Reviewing electronic communications
  • Assisting with external audit preparation and follow-up tasks
  • Identifying opportunities for financial professionals to use our company's services
  • Reassigning orphan accounts to financial professionals; establishing the correct codes associated with the assignment as needed
Requirements:

Qualifications:

  • Bachelor's degree or equivalent experience required; finance or business-related degree preferred
  • Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired
  • Familiarity with Salesforce CRM system a plus
  • Strong organizational and time management skills required
  • Ability to work both independently and with a team
  • Aptitude for completing tasks within structured deadlines
  • Excellent oral and written communication skills required
  • Strong attention to detail with the ability to work efficiently & accurately
  • Licensing is not required for this role; Series 7/24 licenses will be required for certain advancement opportunities

Physical Requirements:

  • Standing or sitting for extended periods of time in an office environment
  • Working on a computer for extended periods of time
  • Lifting up to 15 pounds


  • Des Moines, Iowa, United States Fidelity & Guaranty Life Insurance Company Full time

    Job OverviewPosition SummaryThis managerial role within the Tax Division focuses on technical aspects of tax accounting and compliance. The selected candidate will oversee the preparation and evaluation of federal income tax compliance and local tax submissions for non-insurance entities, supervise all outsourced state compliance, and manage related audits....


  • Des Moines, Iowa, United States BHE Renewables, LLC Full time

    Job Overview: This position operates under moderate supervision and is designed for individuals with a foundational understanding of tax and accounting principles, particularly in relation to income taxes. The role involves the preparation of federal and state income tax returns, quarterly estimated tax payments, monthly tax provisions, and the associated...


  • Des Moines, Iowa, United States Bhe Renewables Llc Full time

    Job Overview: This position operates under moderate supervision and is designed for individuals with a foundational understanding of tax and accounting principles, specifically related to income taxes. The role involves the preparation of federal and state income tax returns, quarterly estimated tax payments, monthly tax provisions, and the associated...

  • Compliance Analyst

    3 days ago


    Des Moines, Iowa, United States American Enterprise Group Full time

    Job SummaryThe Senior Compliance Analyst is responsible for managing our corporate compliance programs, including privacy and anti-money laundering (AML); researching and analyzing related legislation and regulations; and drafting and administering related compliance policies and procedures.Key ResponsibilitiesSupport the development and administration of...


  • Des Moines, Iowa, United States Wells Fargo Full time

    About the Position:Wells Fargo is on the lookout for a dedicated Tax Analyst to join our Sales Tax Center of Excellence within the Wholesale Lending Operations division. This role is pivotal in managing the organization's sales tax obligations related to our equipment leasing operations. The Tax Analyst will also be instrumental in crafting and executing...


  • Des Moines, Iowa, United States FirstBank Full time

    Position OverviewFirst Bank is currently in search of a dedicated Compliance Coordinator within our Mortgage division. This full-time role is essential for ensuring the precision and thoroughness of mortgage loan application files.Key Responsibilities- Confirming the completeness of loan application data- Reviewing the Fees section of the loan application...


  • Des Moines, Iowa, United States Curium Pharma Full time

    Position OverviewWe are seeking a skilled Regulatory Compliance Expert to join our team. This role involves supporting international drug product applications and ensuring adherence to regulatory standards.About Curium PharmaCurium Pharma is a leading company in the nuclear medicine sector, dedicated to developing, manufacturing, and distributing innovative...


  • Des Moines, Iowa, United States Collabera Full time

    Job OverviewNote: This position requires onsite presence (No Remote Work).Position Details:Title: Business Execution Administrator 2 (Mortgage Fee Compliance Analyst)Client Sector: BankingContract Duration: 06 months (Potential for Extension)Location: West Des Moines, IA (Onsite)Work Schedule: Monday - FridayCompensation: $25/Hour to $27/HourKey...


  • Des Moines, United States American Enterprise Group Full time

    JOB SUMMARY The Senior Compliance Analyst is responsible for managing our corporate compliance programs, including privacy and anti-money laundering (AML); researching and analyzing related legislation and regulations; and drafting and administering related compliance policies and procedures. ESSENTIAL FUNCTIONSReasonable accommodations may be made to enable...


  • Des Plaines, Illinois, United States Wheels, LLC Full time

    Job SummaryThe Compliance Services Specialist will be responsible for handling registration renewals, cultivating relationships with DMVs and vendors, and ensuring compliance with external and internal systems and technologies.Key ResponsibilitiesProcess registration renewals using electronic transfer, online terminal, or mail, while achieving department...


  • West Des Moines, Iowa, United States Collabera Full time

    Home Search Jobs Job Description Mortgage Fee Compliance Specialist Contract Type: Contract to Hire Location: West Des Moines, Iowa, US Compensation: $27.00 Per Hour Position Overview: Role: Business Execution Administrator 2 (Mortgage Fee Compliance Specialist) Client Sector: Banking Duration: 06 months (Potential for Extension) Work Environment:...

  • Payroll Associate

    1 week ago


    Des Moines, United States Triton Search Full time $45,000 - $55,000

    Job DescriptionJob DescriptionPartner Firm Overview: Let's start the conversation about your next challenge. One of our partner firms is adding a new person to one of their internal finance & accounting teams. This role would start directly with our partner firm as they continue to grow their revenue and headcount. This team is focused on helping their...

  • Payroll Associate

    6 days ago


    Des Moines, United States Triton Search Full time

    Job DescriptionJob DescriptionPartner Firm Overview: Let's start the conversation about your next challenge. One of our partner firms is adding a new person to one of their internal finance & accounting teams. This role would start directly with our partner firm as they continue to grow their revenue and headcount. This team is focused on helping their...


  • Des Moines, Iowa, United States Trinity Health Mid-Atlantic Full time

    Position Overview:The Radiation Oncology Physics Associate operates under the guidance of a Qualified Medical Physicist (QMP) within the realm of radiation oncology.Key Responsibilities:Conduct routine assessments of machinery, treatment planning systems, imaging, and patient-specific quality assurance (QA).Assist in the upkeep of physics and therapy...


  • Des Moines, Iowa, United States Triton Search Full time

    Job OverviewAt Triton Search, we are seeking a highly skilled Accounting Associate to join our team. As a key member of our finance department, you will be responsible for ensuring accurate and timely billing, payroll, and invoice work for our clients.Key Responsibilities:Prepare and review invoice statements, including aging reportsEnsure compliance with...


  • Des Moines, Iowa, United States THE BARTELL DRUG COMPANY Full time

    Join the Legacy of Bartell Drug Company At Bartell Drug Company, the nation's oldest drugstore chain, we pride ourselves on our rich history and commitment to community health and wellness. Why Choose Us? We offer a unique work environment where you are valued as an individual. Here, your contributions are recognized, and you can collaborate with a team that...


  • Des Moines, United States Zerega Consulting Full time

    Our client, a very well respected business immigration firm is seeking a motivated and detail-oriented associate attorney to join their firm based in Des Moines, IA. The successful candidate will specialize in handling PERM labor certifications and other employment-based immigration processes. This role involves direct interaction with corporate clients and...


  • Des Moines, Iowa, United States Bankers Trust Full time

    Position Title: Electronic Banking Support AssociateLocation: Des Moines, IAOpenings: 1Job Overview:The Electronic Banking Support Associate plays a vital role in assisting with various Digital Banking operations within the Electronic Banking Department. This position is essential for ensuring seamless processing and support of digital banking services.Key...


  • Des Moines, Iowa, United States StepStone Hospitality Inc. Full time

    Position OverviewAs a Morning Service Associate at StepStone Hospitality Inc., you will play a vital role in creating a welcoming atmosphere for our guests. Your responsibilities will include:Welcoming Guests: Greet all patrons with warmth and enthusiasm, assisting in their seating arrangements as necessary.Menu Presentation: Introduce the menu, respond to...


  • Des Moines, United States Stryker Full time

    Work Flexibility: Field-based Upper Extremities Sales AssociateWho we want Hard-working winners. Committed, loyal and results-oriented salespeople who create a track record of success. Persuasive influencers. People who understand market positioning and can use their relationship skills and depth of knowledge to secure buy-in, cooperation, and loyalty....