Current jobs related to Compliance Officer - Louisville - Baird

  • Safety Compliance Officer

    1 week ago

    Louisville, Kentucky, United States Preload Full time

    Job OverviewPreload is in search of a dedicated Safety Compliance Officer to enhance our safety initiatives. The primary responsibility of the Safety Compliance Officer is to develop, oversee, and execute the safety protocols at Preload, ensuring a secure, healthy, and incident-free workplace.Key Responsibilities:Conduct thorough inspections of company...

  • Safety Compliance Officer

    1 week ago

    Louisville, Kentucky, United States Preload Full time

    Position OverviewPreload is in search of a Safety Compliance Officer to enhance our dedicated team. The Safety Compliance Officer will be responsible for strategizing, directing, and executing the safety initiatives at Preload, ensuring a secure, healthy, and incident-free workplace through the following responsibilities:Conducts thorough inspections of...

  • Cybersecurity Compliance Officer

    3 days ago

    Louisville, Kentucky, United States Equus Full time

    Job OverviewCompany Overview:At Equus Workforce Solutions, our operational team is dedicated to effectively addressing the needs of our clients across diverse sectors. If you are passionate about ensuring quality service and helping clients achieve their best potential, we invite you to explore this opportunity.We specialize in assisting job seekers and...

  • Cybersecurity Compliance Officer

    1 week ago

    Louisville, Kentucky, United States Equus Full time

    Job OverviewThe Cybersecurity Compliance Officer is tasked with the critical responsibility of protecting an organization's sensitive information and IT infrastructure. This role encompasses the formulation and execution of security protocols, vigilant monitoring of potential security threats, and ensuring adherence to applicable regulations.Key...

  • Safety Compliance Officer

    1 week ago

    Louisville, Kentucky, United States LPX Group Full time

    Job OverviewSalary: As an integral part of the Environmental Health and Safety Team, the ideal candidate for the Safety Specialist role will contribute to the formulation and execution of corporate policies and procedures. This includes conducting regular jobsite assessments, performing monthly audits, investigating incidents, completing accident...

  • Manager of IT Compliance

    1 month ago

    Louisville, United States Churchill Downs Incorporated Full time

    Job DescriptionJob DescriptionSUMMARYThe Manager of IT Compliance works in conjunction with the Churchill Downs, Incorporated Information Technology team, business teams, internal auditors and external auditors to help maintain and ensure compliance with Sarbanes-Oxley from an IT General Controls perspective. A key function of the role is to look to the...

  • Manager of IT Compliance

    2 months ago

    Louisville, United States Churchill Downs Incorporated Full time

    Job DescriptionJob DescriptionSUMMARYThe Manager of IT Compliance works in conjunction with the Churchill Downs, Incorporated Information Technology team, business teams, internal auditors and external auditors to help maintain and ensure compliance with Sarbanes-Oxley from an IT General Controls perspective. A key function of the role is to look to the...

  • Compliance Specialist

    2 months ago

    Louisville, United States Calculated Hire Full time

    The Compliance Specialist, will be responsible for overseeing creating reports around the compliance of government grants and contracts for the assigned programs. This resource will ensure contract compliance requirements are met and will serve as internal liaison to LMG Agency and OMB Grant Management staff in their roles as they relate to grant compliance....

  • Compliance Specialist

    2 months ago

    Louisville, United States Calculated Hire Full time

    The Compliance Specialist, will be responsible for overseeing creating reports around the compliance of government grants and contracts for the assigned programs. This resource will ensure contract compliance requirements are met and will serve as internal liaison to LMG Agency and OMB Grant Management staff in their roles as they relate to grant compliance....

  • Tax Compliance Analyst

    1 week ago

    Louisville, Kentucky, United States Steel Technologies Full time

    POSITION SUMMARY: The Income Tax Specialist plays a critical role in managing and overseeing the tax compliance process for our corporate-owned partnership. This position involves extensive collaboration with external CPA firms to ensure accurate and timely filing of federal and state income tax returns. KEY RESPONSIBILITIES: 1. Conduct thorough preparation...

  • Financial Compliance Specialist

    1 day ago

    Louisville, Kentucky, United States Louisville Urban League Full time

    Job SummaryThe Louisville Urban League is seeking a highly skilled Internal Auditor to join our team. As a key member of our organization, you will play a critical role in ensuring the effectiveness and efficiency of our systems, programs, and processes.Key ResponsibilitiesFinancial Audits: Conduct thorough financial audits to review and assess the...

  • Tax Compliance Analyst

    4 days ago

    Louisville, Kentucky, United States Steel Technologies LLC Full time

    Job OverviewPOSITION SUMMARY:The Income Tax Specialist plays a crucial role in managing the tax compliance process for a corporate-owned partnership with operations across multiple states. This position involves collaboration with external CPA firms to ensure accurate and timely filing of federal and state income tax returns.KEY RESPONSIBILITIES:Analyze and...

  • Tax Compliance Analyst

    1 week ago

    Louisville, Kentucky, United States Steel Technologies LLC Full time

    Job OverviewROLE SUMMARY:The Income Tax Specialist is responsible for overseeing the preparation and analysis of financial records to ensure compliance with federal and state tax regulations. This position involves collaboration with external CPA firms to facilitate accurate and timely tax filings for a corporate-owned partnership with operations across...

  • Tax Compliance Analyst

    4 days ago

    Louisville, Kentucky, United States Steel Technologies Full time

    POSITION SUMMARY: The Tax Compliance Analyst will be responsible for ensuring accurate preparation and analysis of income tax returns for a corporate-owned partnership involved in steel processing and machining across multiple states. KEY RESPONSIBILITIES: 1. Analyze and adjust general ledger trial balances to facilitate the preparation of annual federal and...

  • Tax Compliance Analyst

    3 days ago

    Louisville, Kentucky, United States Steel Technologies LLC Full time

    Job OverviewPOSITION SUMMARY:The Income Tax Specialist will be responsible for ensuring accurate preparation and analysis of income tax returns for a corporate-owned partnership with operations across multiple states.KEY RESPONSIBILITIES:Conduct thorough preparation and analysis of general ledger trial balances, implementing necessary adjustments for the...

  • Tax Compliance Analyst

    1 week ago

    Louisville, Kentucky, United States Steel Technologies Full time

    POSITION SUMMARY: The Income Tax Specialist plays a crucial role in managing the tax compliance process for a corporate-owned partnership with operations across multiple states. This position involves a variety of responsibilities aimed at ensuring accurate and timely filing of federal and state income tax returns. KEY RESPONSIBILITIES: 1. Prepare and...

  • Healthcare Coding and Compliance Analyst

    1 week ago

    Louisville, Kentucky, United States BrightSpring Health Services Full time

    Position Overview:As a vital member of the BrightSpring Health Services team, the Healthcare Coding and Compliance Analyst plays a crucial role in overseeing and executing the coding and compliance processes necessary for efficient management of patient care episodes. This position is responsible for ensuring that clinical documentation meets the required...

  • Regulatory Compliance Reporting Analyst

    4 days ago

    Louisville, Kentucky, United States Passport Health Plan by Molina Healthcare Full time

    Job DescriptionJob SummaryUnder the direct guidance of the Manager, the Reporting Analyst for the Special Investigation Unit (SIU) plays a crucial role in supporting the team. This position is responsible for ensuring that fraud, waste, and abuse (FWA) referrals are meticulously logged, documented, assigned for investigation, and reported to the relevant...

  • Environmental Compliance Specialist

    1 week ago

    Louisville, Kentucky, United States Heaven Hill Brands Full time

    Environmental Coordinator at Heaven Hill BrandsThis position offers a hybrid work environment, primarily based in our office.Role Overview:Working closely with the Director of Environment & Sustainability, the Environmental Coordinator will be instrumental in advancing Heaven Hill Brands' Environmental Sustainability Strategy and compliance initiatives. This...

  • Tax Compliance Analyst

    1 week ago

    Louisville, Kentucky, United States Steel Technologies LLC Full time

    Job OverviewWe are seeking a detail-oriented Tax Compliance Analyst to join our team at Steel Technologies LLC. This role is essential in ensuring accurate tax reporting and compliance across multiple jurisdictions.Key Responsibilities:1. Prepare and review financial records to ensure accuracy for annual federal and state partnership income tax filings...

Compliance Officer

1 month ago

Louisville, United States Baird Full time

This is a great opportunity to join Baird’s Compliance Team supporting the firm’s Private Wealth Management (PWM) business as we continue to grow. The Branch Oversight Team within the PWM Compliance Unit is responsible for several core compliance functions, including branch office inspections, oversight of PWM Supervision, PWM recruit interviews, and general compliance training and support. The Compliance Officer will be responsible for discovering, escalating, resolving, and following-up on complex issues related to the PWM business unit. The position requires extensive interaction with all levels of PWM branch associates, and a strong working knowledge of brokerage and Investment Advisory business is beneficial. As a Compliance Officer for PWM Branch Oversight, you will: Conduct retail branch office examinations, including targeted interviews of Financial Advisors and On-Site Supervisors.

Test, assess, document and report on the adequacy and effectiveness of PWM Supervision.

Leverage resources to provide accurate and timely responses to PWM branch associates through PWM Compliance’s dedicated inbox and phone line.

Conduct compliance interviews for Non-Veteran Financial Advisor candidates.

Create, write, and update firm policy and team desktop procedures.

Participate in or manage projects resulting from regulatory changes or aimed at improving quality, reducing risk and/or increasing efficiency of procedures.

Engage, collaborate, and maintain strong partnerships with key stakeholders in Compliance, PWM Supervision, and various Corporate Resource Groups.

Provide training and education to PWM branch associates on compliance issues and best practices.

Share responsibilities of answering phone calls and emails.

What makes this opportunity great: Join a high performing team of associates passionate about achieving great results for clients and giving back to the communities where we live and work.

Ability to work with a variety of teams and leaders, proving your ability to be flexible and highly adaptable.

Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a keen sense of partnership.

What we look for: Bachelor’s degree or equivalent of education and work experience.

SIE and Series 7 registrations preferred. Will consider allowing 12 months to obtain for the right candidate.

Minimum of 2-5 years brokerage/investment advisory compliance, supervision or operations experience preferred.

Working knowledge of retail brokerage and investment advisor laws, rules, and regulations.

Branch inspection, compliance, or supervisory experience preferred.

Proficiency in Microsoft Excel, OneNote, Outlook, and Teams preferred.

Experience providing exceptional service to internal and external clients.

Effective communication skills that include the ability to handle difficult conversations and situations with candor and professionalism.

Presentation, training and/or facilitation skills a plus.

Personally accountable with the ability to manage multiple priorities simultaneously.

Collaborate cooperatively with peers, team members, and/or others to set responsibilities and deliverable expectations.

Look beyond the immediate situation to better define ideas and solutions that will have long-term benefits for the team, department, or organization

Seek pertinent learning opportunities to enhance job performance (e.g., coaching/mentoring skills, technology skills, training, etc.).

Breaks down problems into smaller components to understand underlying issues.

Ensure that written correspondence is neat and professional.

#DI #LI-RE1 #LI-REMOTE Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

#J-18808-Ljbffr