Current jobs related to Compliance Operations Manager - Knoxville, Tennessee - LPL Financial

  • Compliance Inspector

    2 weeks ago

    Knoxville, Tennessee, United States 7G Environmental Compliance Management Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Compliance Inspector to join our team at 7G Environmental Compliance Management. As a Compliance Inspector, you will be responsible for ensuring our clients' petroleum storage tank systems and related facilities comply with state and federal regulations.Key ResponsibilitiesConduct visual...

  • Government Compliance Manager

    7 days ago

    Knoxville, Tennessee, United States Management Solutions LLC Full time

    Job OverviewManagement Solutions LLC is seeking a seasoned Government Compliance Manager to join our contracts group. This role is responsible for ensuring the company's compliance with U.S. Government contracting rules and regulations. The ideal candidate will have a strong background in government contracting, including experience with FAR, CAS, and...

  • Compliance Officer

    4 weeks ago

    Knoxville, Tennessee, United States BESCO Full time

    Job Title: Compliance AdministratorBESCO is seeking a highly skilled Compliance Administrator to join our team. As a key member of our compliance department, you will be responsible for ensuring that our company's operations are in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Licensing Management: Oversee and...

  • Compliance Officer

    7 days ago

    Knoxville, Tennessee, United States BESCO Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at BESCO. The successful candidate will be responsible for ensuring the company's compliance with regulatory requirements and maintaining accurate records of all compliance activities.Key ResponsibilitiesLicensing ManagementOversee and manage the company's licensing processes,...

  • Compliance Specialist

    2 weeks ago

    Knoxville, Tennessee, United States Knoxville TVA Employees Credit Union Full time

    About UsKnoxville TVA Employees Credit Union is a not-for-profit, Member-owned, and locally operated financial institution serving the financial needs of its communities of Membership. We have 25 locations throughout East Tennessee and we serve more than 264,000 Members.Job SummaryWe are seeking a highly skilled Compliance/Vendor Management Specialist to...

  • Specialty Lending Group Compliance Manager

    3 days ago

    Knoxville, Tennessee, United States RRC Solutions Group Full time

    Job SummaryRRC Solutions Group is seeking a highly skilled Specialty Lending Group Compliance Manager to join our team. As a key member of our compliance team, you will be responsible for leading a first line of defense compliance team within the Specialty Lending Group, partnering with various bank departments to identify and mitigate regulatory compliance...

  • Regulatory Compliance Specialist

    2 months ago

    Knoxville, Tennessee, United States BESCO Full time

    Job OverviewThe Compliance Administrator plays a crucial role in ensuring that BESCO adheres to all relevant regulations and standards. This position involves a variety of responsibilities aimed at maintaining the integrity of the company's operations.Key Responsibilities:Licensing Oversight:Manage and supervise the licensing processes, ensuring all...

  • Aviation Operations Manager

    3 days ago

    Knoxville, Tennessee, United States CS Pro Full time

    Job Title: Aviation Operations ManagerWe are seeking a highly skilled Aviation Operations Manager to join our team at CS Pro. As a key member of our team, you will be responsible for overseeing daily station operations, including financial, customer service, and operational performance. You will also manage and communicate the Safety Management System (SMS)...

  • Compliance Officer

    1 month ago

    Knoxville, Tennessee, United States M Force Recruiting Full time

    Senior Compliance OfficerM Force Recruiting is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for managing and executing our consumer regulatory compliance and BSA/AML programs.Key Responsibilities:Lead and support the BSA Officer and compliance team members, fostering...

  • Clinical Operations Manager

    1 week ago

    Knoxville, Tennessee, United States Piedmont Physician Network, LLC Full time

    Job Summary:The Clinical Operations Manager is responsible for overseeing the clinical and operational functions of an assigned practice(s). This includes ensuring smooth and efficient operations, inventory control, ordering supplies, personnel management, patient relations, and patient flow. The Clinical Operations Manager is a working manager who is...

  • Store Operations Manager

    3 weeks ago

    Knoxville, Tennessee, United States Walmart Full time

    Job SummaryThis position is responsible for the operation of a department at Walmart. The ideal candidate will be able to successfully perform the essential functions of this position with or without a reasonable accommodation.Key ResponsibilitiesDevelops, communicates, and implements processes and practices to meet business needs by collaborating with...

  • Restaurant Operations Manager

    1 month ago

    Knoxville, Tennessee, United States Papa John's - Home Run Full time

    Job OverviewPapa John's - Home Run is seeking a skilled Assistant Manager to join our team. As a key member of our restaurant operations, you will be responsible for ensuring high-quality products and exceptional customer service.Key ResponsibilitiesSupervise shifts and work areas to maintain a high level of quality and customer satisfaction.Manage...

  • Restaurant Operations Manager

    1 month ago

    Knoxville, Tennessee, United States Little Caesars Full time

    Job OverviewAs a Restaurant Manager at Little Caesars, you will be responsible for leading a high-performing team that delivers exceptional customer experiences and drives sales growth.Key ResponsibilitiesSupervise and motivate a team of colleagues to achieve sales and customer satisfaction goals.Operate the restaurant according to Little Caesars standards...

  • Healthcare Operations Manager

    3 weeks ago

    Knoxville, Tennessee, United States DaVita Full time

    Join DaVita as a Healthcare Operations ManagerWe are seeking a dynamic and results-driven leader to join our team as a Healthcare Operations Manager. As a key member of our operations team, you will be responsible for managing the day-to-day operations of our outpatient clinic, ensuring the delivery of high-quality patient care and achieving business...

  • Food Service Operations Manager

    2 months ago

    Knoxville, Tennessee, United States Aramark Full time

    Job OverviewAramark is seeking a seasoned Food Service Site Director to lead our dining operations, drive innovation, and execute exceptional plans to delight our customers.This is an exciting opportunity for a true leader to join our team and grow their skill set in meeting Aramark and client goals. As a Food Service Site Director, you will be responsible...

  • Restaurant Operations Manager

    3 weeks ago

    Knoxville, Tennessee, United States Little Caesars Full time

    Restaurant Manager Job DescriptionThe Restaurant Manager is responsible for leading a high-performing team that delivers exceptional customer experiences and drives sales growth at our Little Caesars store in Knoxville, TN.Key Responsibilities:Supervise and motivate a team of colleagues to achieve sales and customer satisfaction goals.Operate the restaurant...

  • Transportation Operations Manager

    3 days ago

    Knoxville, Tennessee, United States Transdev Full time

    Job Title: Road SupervisorJob Summary: We are seeking a highly skilled Road Supervisor to join our team at Transdev. As a Road Supervisor, you will play a crucial role in ensuring the safe and efficient operation of our transportation services.Key Responsibilities:Evaluate and monitor driver safety and performance in compliance with legal, employment, and...

  • Healthcare Operations Manager

    4 days ago

    Knoxville, Tennessee, United States DaVita Full time

    Healthcare Operations ManagerAt DaVita, we are seeking an ambitious, operationally-focused and results-driven leader to join our team as a Healthcare Operations Manager. As a trusted front-line leader in an outpatient clinic, you will directly impact patient care and have the opportunity to build on your relationship with your patients while continuously...

  • Warehouse Operations Manager

    1 week ago

    Knoxville, Tennessee, United States PrideStaff Full time

    Job SummaryPrideStaff is seeking a highly skilled Warehouse Assistant to oversee the day-to-day operations of our warehouse. This role involves supervising a team, ensuring safety standards are met, coordinating shipments, managing inventory, and maintaining a high standard of order and cleanliness within the facility.Key Responsibilities:Supervise and lead...

  • Aviation Operations Manager

    3 days ago

    Knoxville, Tennessee, United States CS Pro Full time

    CS Pro is seeking a seasoned Aviation Operations Manager to oversee daily station operations for a leading airline service provider in Knoxville, TN.Key Responsibilities:Manage and communicate the Safety Management System (SMS) and station safety plan.Ensure compliance with Service Level Agreements (SLAs) and FAA/TSA regulations.Provide Quality Assurance...

Compliance Operations Manager

2 months ago

Knoxville, Tennessee, United States LPL Financial Full time

Job Overview:

The E-commerce Compliance Manager is responsible for leading a dedicated team focused on the oversight and effectiveness of second line controls that ensure compliance with all regulatory standards related to electronic communications technology. This role involves identifying and addressing any risks or deficiencies that may arise. You will collaborate closely with key stakeholders to assist Advisors in mitigating legal and compliance risks associated with their operations.

In this capacity, you will guide your team through all facets of the electronic communications process, ensuring adherence to federal and state regulations, as well as industry standards and company policies. You will enhance team performance through support from the corporate office, regular coaching, performance feedback, goal setting, and tailored training programs.

Key Responsibilities:

  • Oversee a team of analysts and senior analysts, managing daily operations related to electronic communication processes and controls, including internal issue coordination and collaboration with business partners on complex resolutions.
  • Facilitate the firm-wide implementation of E-commerce tools that encompass electronic communication, including but not limited to email, text messaging, chat, social media, marketing automation, appointment scheduling, and web portals.
  • Effectively represent and communicate the contributions of your team and the broader E-commerce team to various audiences and management levels.
  • Collaborate with stakeholders to ensure robust oversight of digital tools that generate electronic communications, identifying and addressing potential compliance issues.

Qualifications:

  • Bachelor's degree in Business, Technology/MIS, Finance, or a related field.
  • 5+ years of relevant experience in the financial services sector.
  • 2+ years in a managerial role with a focus on team leadership and personnel management.
  • Experience leading complex projects, including monitoring progress, identifying risks, and implementing corrective measures for successful project delivery.

Additional Skills:

  • Detail-oriented with strong organizational and time management skills, capable of meeting deadlines in a dynamic environment.
  • Series 7 and 24 certifications preferred.
  • Exceptional written and verbal communication abilities.
  • Proven capacity to work independently or collaboratively and to self-motivate.
  • Strong understanding of regulatory requirements and company compliance policies.
  • Demonstrated leadership skills with expertise in all aspects of E-commerce.

Compensation: The pay range for this position is $80,000 to $134,000. Actual salary may vary based on factors such as relevant skills, experience, education, and internal salary benchmarks. LPL Financial offers a competitive Total Rewards package designed to support your success both professionally and personally, including benefits such as 401K matching, health coverage, employee stock options, and paid time off.