Compliance and Risk Specialist
3 weeks ago
C2P Enterprises, LLC is a holding company of three distinct brands that simplify financial planning for advisors and their clients. We are seeking an experienced Enterprise Governance Analyst to join our team and drive initiatives related to adviser supervision, compliance, and business risk.
Job SummaryThis role will involve ensuring that all advisers conduct business in accordance with relevant laws, regulations, and industry standards. The successful candidate will develop and implement effective compliance strategies, provide training and support to advisers, and maintain accurate records and reports.
Responsibilities- Develop and implement compliance programs and procedures to ensure adherence to regulatory requirements.
- Provide training and support to advisers on compliance matters.
- Conduct regular audits and reviews to ensure compliance with regulatory requirements.
- Maintain accurate records and reports, including tracking and monitoring of compliance metrics.
We are looking for a highly skilled professional with a Bachelor's degree or higher and 2+ years' experience in an SEC regulated RIA, and/or FINRA broker dealer. Must be proficient in knowledge with Investment Advisors Act of 1940 rules and regulations and have expert knowledge and experience with applicable SEC rules and regulations for a Registered Investment Advisor firm (RIA).
CompensationThis role offers a competitive salary range of $80,000 - $110,000 per year, depending on experience.
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Compliance Risk Specialist
4 weeks ago
Minneapolis, Minnesota, United States MESSERLI & KRAMER P.A. Full timeAt Messerli & Kramer P.A., we are seeking a highly skilled Compliance Risk Specialist to join our team.About the RoleThis is a challenging opportunity for an individual with strong attention to detail and excellent organizational skills.The Compliance Risk Specialist will be responsible for conducting professional operations reviews, audits, or...
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Environmental Compliance Specialist
2 weeks ago
Minneapolis, Minnesota, United States 7G Environmental Compliance Management Full timeJob OverviewThe Environmental Compliance Specialist will play a key role in ensuring compliance with regulations and maintaining a sustainable future for 7Generations to come. This is an entry-level position that requires minimal experience, and the company provides all necessary training and certifications.As a Compliance Inspector, you will be responsible...
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Compliance Risk Manager
7 days ago
Minneapolis, Minnesota, United States Wilson-McShane Corp Full timeJob SummaryWe are seeking a skilled Compliance Specialist to join our team at Wilson-McShane Corporation. As a key member, you will play a crucial role in ensuring the smooth operation of our Taft-Hartley funds. The successful candidate will have a strong background in regulatory compliance and excellent analytical skills. Our comprehensive compensation...
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Risk Management Specialist
6 days ago
Minneapolis, Minnesota, United States U.S. Bank Full timeJoin U.S. Bank as a Risk Management Specialist and help us create an effective risk management framework. Our team is responsible for ensuring compliance with applicable federal, state, and local laws and regulations. We're seeking a highly skilled individual to partner with our Line of Business and other Risk/Compliance/Audit professionals. The ideal...
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Insurance Risk Management Specialist
3 weeks ago
Minneapolis, Minnesota, United States NorthMarq Full timeJob Summary:We are seeking a highly motivated and detail-oriented Insurance Risk Management Specialist to join our team in the Minneapolis office. As an Insurance Risk Management Specialist, you will play a crucial role in ensuring minimized risk to all investor portfolios by managing insurance compliance and due diligence processes.In this exciting role,...
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Private Investigative Specialist
1 week ago
Minneapolis, Minnesota, United States Ethos Risk Services Full timeJob Title: Private Investigative SpecialistA highly skilled Private Investigative Specialist is needed to conduct covert surveillance and fraud investigations in the field.Ethos Risk Services, a leading provider of risk management solutions, operates in a fully remote position.The ideal candidate will possess a valid private investigator license, a valid...
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Construction Risk Management Specialist
4 weeks ago
Minneapolis, Minnesota, United States Zurich Insurance Company Ltd. Full timeAbout the Role:We are seeking a skilled Construction Risk Management Specialist to join our team at Zurich Insurance Company Ltd. as a Sr. Construction Risk Engineering Specialist.The ideal candidate will have over six years of experience in construction risk engineering, safety/risk management, or construction field operations, with a strong background in...
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Insurance Risk Specialist
7 days ago
Minneapolis, Minnesota, United States Brown & Brown Full timeBrown & Brown offers an exciting opportunity for an Insurance Risk Specialist to join our Executive Risk team in Minneapolis, MN. As a Senior Account Executive, you'll play a key role in designing, marketing, and implementing insurance programs that meet our clients' needs.This is a dynamic role that requires a strong understanding of insurance risk...
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Software Development Compliance Specialist
2 weeks ago
Minneapolis, Minnesota, United States Omni Inclusive Full timeAt Omni Inclusive, we are seeking a highly skilled Software Development Compliance Specialist to join our team. This role will provide design control oversight to various software/system/hardware development projects.This is a hybrid position part of the Development Quality Software team and will be located in Chaska, MN. As a key member of our US Diagnostic...
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Risk Management Specialist
2 weeks ago
Minneapolis, Minnesota, United States BGM Group Full time**Job Description:** As an Auditor Manager at BGM Group, you will be responsible for leading SOC examinations and understanding audit guidelines, identifying control gaps within client processes, planning and conducting assigned audit engagements successfully from beginning to end, communicating issues raised, offering recommended solutions relevant to...
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Minneapolis, Minnesota, United States MESSERLI & KRAMER P.A. Full timeJob OverviewMesserli & Kramer P.A. is a leading law firm seeking an experienced Information Security Governance and Compliance Specialist to join our team in Minneapolis, MN.About the RoleThis onsite/hybrid position involves assisting the Chief Information Security Officer in overseeing the Firm's Information Security and Governance program, designing,...
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Cybersecurity Risk Management Specialist
2 weeks ago
Minneapolis, Minnesota, United States Omni Inclusive Full timeWe are seeking a seasoned Cybersecurity Risk Management Specialist to join our team at Omni Inclusive. As a key member of our security team, you will be responsible for identifying and mitigating potential risks to our information systems.Job RequirementsBachelor's degree in computer science, information security, or a related field.Minimum 5 years of...
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Cybersecurity Risk Manager
2 weeks ago
Minneapolis, Minnesota, United States ZipRecruiter Full timeJob Summary:Messerli Kramer is a well-established law firm seeking a skilled Information Security Governance Specialist to oversee the Firm's Information Security and Governance program. The successful candidate will have a strong background in cybersecurity risk management and experience working in a regulated environment.Key Responsibilities:* Designing,...
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Enterprise Risk Management Specialist
4 weeks ago
Minneapolis, Minnesota, United States Securian Financial Group Full timeAt Securian Financial Group, we're seeking an experienced Enterprise Risk Management Specialist to join our ERM Actuarial Team. This is a highly collaborative and visible role that will play a critical part in driving the company's Enterprise Risk Management objectives.About the Role:This position will lead the annual ORSA process, collaborating with...
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Senior Construction Risk Management Specialist
1 month ago
Minneapolis, Minnesota, United States Zurich Insurance Company Ltd. Full timeAbout the RoleAs a Senior Construction Risk Management Specialist at Zurich Insurance Company Ltd., you will play a critical role in minimizing impacts to customer losses and improving overall Sustainability & Business Resiliency. You will be responsible for adapting our Innovative Solutions to the Construction Industry, leveraging risk engineering tools and...
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Senior IT Compliance Specialist
7 days ago
Minneapolis, Minnesota, United States C4 Technical Services Full timeJob Description: We are seeking a Senior IT Compliance Specialist to join our team at C4 Technical Services. This role will be responsible for overseeing the development and management of our IT General Controls (ITGC) compliance program. The ideal candidate will have a strong understanding of SOX compliance requirements and experience in leading IT audit...
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Regulatory Compliance Specialist
2 weeks ago
Minneapolis, Minnesota, United States Terracon Full timeAbout the JobWe are looking for a skilled Regulatory Compliance Specialist to join our team at Terracon. The ideal candidate will have a strong background in environmental consulting and experience with regulatory compliance projects.ResponsibilitiesAssist in preparing compliance reports and permit applications for clientsReview federal, state, and local...
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Financial Compliance Officer
7 days ago
Minneapolis, Minnesota, United States U.S. Bank Full timeU.S. Bank Career OpportunityThe Financial Compliance Officer position at U.S. Bank offers a unique opportunity to join a dynamic team focused on ensuring regulatory compliance. As a key member of our Risk/Compliance/Audit department, you will work closely with various stakeholders to develop and implement effective risk management strategies. This role...
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Risk Management Specialist
7 days ago
Minneapolis, Minnesota, United States Wilson-McShane Corp Full timeAbout UsWilson-McShane Corporation is a third-party administrator for Taft Hartley funds, seeking a full-time Compliance Specialist in our Bloomington, MN office.Key ResponsibilitiesAdministrative Support: Provide administrative support for annual audits, including coordinating schedules and ensuring timely responses from service providers.Financial...
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Compliance Officer
3 weeks ago
Minneapolis, Minnesota, United States Tierra Encantada Full timeJob OverviewTierra Encantada is seeking a highly skilled Compliance Officer to join our team. The ideal candidate will have experience in managing all aspects of HR compliance and ensuring accurate policies and records.Key Responsibilities:Manage all aspects of HR compliance for Tierra Encantada, including monitoring compliance and addressing issues.Prevent...