Compliance Associate

2 weeks ago


North Little Rock, United States Sowell Management Services Full time

Compliance Associate

Sowell Management

Little Rock, AR ONSITE

Reports to Chief Compliance Officer

Here at Sowell Management everything we do is centered around our Core Values and our clients:

  • We are family. Have each others back - Put others first - Critique in private.
  • Attitude is everything. Don't be a jerk & don't suck. Be enthusiastic, positivity goes both ways.
  • Care about what you do. Passion, desire, and drive for excellence - No half-hearted efforts
  • Own your commitments. Do what you say. First time, every time.
  • Go above and beyond. Teamwork always wins, Help each other out, When it's not your job or after 5.

About the Role:

The Compliance Associate works to ensure that all regulatory rules & regulations and all Federal & state laws are complied with at all times, and that all compliance deadlines are met.

What you are responsible for:

  • Onboarding of new IAR/RIA
  • Review proposed advertising material in SmartRIA, Clout, HubSpot, FMG Suite, and Asana
  • Obtain & reconcile: Annual Attestations, Quarterly Transaction, and Political Contributions Reports
  • FINRA CRD/IARD - File Form U4/U5 filings & amendments
  • Quarterly fee review
  • Form ADV Part 2B - Draft/review for new/existing advisors
  • Maintaining Financial Advisor Recruiting Folder
  • Global Relay / Communication Review and Monitoring
  • Monitoring Continuing Education for IARs
  • Maintain Trade Error Log

Qualifications:

  • College Education preferred but not required.
  • 1 to 3 years of industry experience preferred but not required.
  • Excellent project management skills and positive attitude
  • Experience with on-line/cloud collaboration suites preferred (Google/Office365)
  • Ability to effectively meet predefined deadlines
  • Must demonstrate exceptional verbal and written communication skills
  • High quality character, servant's heart, meet the standards of Sowell Core Values.

Expectations and Measurables:

  • Hours - Monday - Friday 8am - 5pm
  • Beating every deadline, marketing review, compliance cases, daily Best Execution review, new IAR/RIA onboarding.


  • Little Rock, Arkansas, United States ATA Services Inc Full time

    ATA Services Inc. is a leading provider of legal support services, seeking a highly skilled and dedicated Corporate Compliance Associate to join our team in Little Rock, AR.About the Role:We are looking for a motivated individual to work on a short-term assignment, reviewing and recording incoming appeals for employee grievances and other programs. The ideal...


  • Little Rock, Arkansas, United States Simmons Bank Full time

    About the RoleWe are seeking a skilled Financial Compliance Management Specialist to lead our Compliance Group. As a key member of our team, you will oversee assigned associates/officers and ensure the effective management of compliance-related tasks.Job SummaryThis is a senior-level role that involves providing supervision, training, quality control, and...

  • Compliance Manager

    1 week ago


    Little Rock, Arkansas, United States Simmons Bank Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Simmons Bank. This is a complex-level professional role that requires strong leadership and management skills.About the RoleThe Compliance Manager will be responsible for supervising assigned associates/officers of the Compliance Group, providing training, quality control, and...


  • North Haven, Connecticut, United States Medtronic, plc Full time

    Job Description:We are seeking a skilled and detail-oriented Global Compliance Associate to join our team at Medtronic. In this role, you will play a critical part in ensuring compliance with regulatory requirements and maintaining accurate records.About the Role:The successful candidate will be responsible for identifying and documenting complaint...


  • Little Rock, United States Simmons Bank Full time

    It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. Position Summary The Compliance Specialist IV for regulatory change works directly with Director of Compliance within the area of Regulatory and Consumer Affairs. The candidate is required to be extremely...


  • Little Rock, Arkansas, United States Walmart Full time

    **About the Job:**We are seeking a skilled Bakery Associate and Wholesale Specialist to join our team at Sam's Club in Little Rock, AR. This is an exciting opportunity to work in a fast-paced environment where you will be responsible for preparing fresh baked items daily for our members. If you have a knack for helping people, following recipes, and...


  • Little Rock, Arkansas, United States Revolution Company Full time

    We are seeking a motivated and detail-oriented Industrial Production Associate to join our team in Little Rock, AR.About the RoleThis is an entry-level position that requires minimal experience and provides opportunities for growth and development. As an Industrial Production Associate, you will be responsible for ensuring the quality of our products and...


  • Little Rock, Arkansas, United States Ross Dress for Less Full time

    Job OverviewRoss Dress for Less is a leading off-price retailer with a strong track record of success and growth. As a Store Protection Specialist, you will play a critical role in maintaining a safe and secure environment for our customers and associates.About the RoleThis position provides a visible presence at store entrances/exits, mitigating theft and...

  • CNA/Home Health Aide

    3 months ago


    North Little Rock, United States The Mansions at Alpharetta Full time

    Fox Ridge NLR located in North Little Rock,  Arkansas is now a part of the AgeWell Solvere Living family! Apply today to join our amazing team! As a certified Great Place to Work for 7 years in a row, AgeWell Solvere Living proudly offers: Medical, Dental and Vision benefits Company-paid Life Insurance and Voluntary Disability Paid Time off...


  • Little Rock, Arkansas, United States Ross Dress for Less Full time

    Job OverviewThe Assistant Store Manager position at Ross Dress for Less is a vital role that requires strong leadership, communication, and organizational skills. As a key member of the store management team, you will be responsible for supervising and developing associates to achieve exceptional customer service and sales results.Key Responsibilities:Sales...


  • Little Rock, United States BOK Financial Full time

    Req ID: 75379 Location: Little Rock -LTLRK Areas of Interest: Wealth Management Pay Transparency Salary Range: Not Available Application Deadline: 09/15/2024BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc....


  • Little Rock, United States Ascena Retail Group Full time

    About usLOFT creates modern, feminine, versatile clothing for women with one common style goal: to look and feel confident wherever the day takes them. We empower women to find their authentic self-expression because feeling like yourself is always in style.Here at LOFT, we're busy styling the careers and supporting the lives of everyday optimists just like...

  • Tax Senior Associate

    3 weeks ago


    Little Rock, United States FORVIS Full time

    Description & Requirements As a Tax Senior Associate at Forvis Mazars, you value working closely with others to plan for the future and to help successful companies and their owners avoid surprises, coordinate tax strategies, and grow. You will provide authentic support to your teammates and clients and communicate regularly with them to understand their...


  • North Andover, United States InsideHigherEd Full time

    Associate Athletic Director of Compliance and Student-Athlete WelfarePosted: September 20, 2024Position Code: 447Position OverviewReporting to the Sr. Associate Athletic Director/SWA, the Associate Athletic Director for Compliance and Student-Athlete Welfare is responsible for the oversight, supervision and coordination of all athletics compliance activities...


  • Little Rock, United States Ascena Retail Group Full time

    About us LOFT creates modern, feminine, versatile clothing for women with one common style goal: to look and feel confident wherever the day takes them. We empower women to find their authentic self-expression because feeling like yourself is always in style. Here at LOFT, we're busy styling the careers and supporting the lives of everyday optimists just...


  • Little Rock, United States The Santa Barbara Group Full time

    Job DescriptionJob DescriptionAbout Us: Car Wreck Chiropractic is a thriving personal injury chiropractic clinic dedicated to providing high-quality healthcare services to patients who have suffered injuries due to accidents. We are committed to delivering effective chiropractic care, pain management, and rehabilitation services to help our patients recover...


  • North Little Rock, United States Ross Dress for Less Full time

    Job description:General Purpose:Responsible for the management and supervision of all areas assigned by the Store Manager and follows policies in regard to Customers, Associates and merchandising. Responsible for learning all phases of Store operations. In the absence of the Store Manager, the Assistant Manager is responsible for leading the entire operation...

  • Part-Time Floor Staff

    4 weeks ago


    North Little Rock, United States REGAL ENTERTAINMENT GROUP Full time

    Regal Entertainment Group - JobID: 65435617-dcef-47a8-a74c-2b56c39898cb [Retail Associate / Team Member] As a Floor Staff at Regal Entertainment, you'll: Ensure the guests receive exceptional service; Be scheduled to work in the Box Office, Concession Stand, or as an Usher; Handle emergency situations when called upon to do so; Perform general cleaning...


  • Little Rock, United States Arkansas Blue Cross Full time

    To learn more about Arkansas Blue Cross and Blue Shield Hiring Policies, please click here. Applicants must be eligible to begin work on the date of hire. Applicants must be currently authorized to work in the United States on a full-time basis. ARKANSAS BLUE CROSS BLUE SHIELD will NOT sponsor applicants for work visas in this position. Arkansas Blue Cross...


  • Little Rock, United States PerfectVision Full time

    Summary Corporate generalist to add value to the legal department. The individual will be responsible for a variety of complex assigned legal projects within the legal department. Duties & Responsibilities Respond to litigation claims, supervision of discovery, development of defense strategies, and the management of legal expenses. Administer and...