Financial Services Compliance Officer
2 weeks ago
About Us:
Emerge is a global talent solutions company working with clients worldwide. We deliver managed sales, services, marketing, and business solutions to our clients. We are committed to your success, working quickly and efficiently to provide tangible, measurable results.
Job Summary:
We are seeking a skilled Compliance Associate to join our team at Emerge. As a Compliance Associate, you will be responsible for supporting the firm's Compliance department in ensuring adherence to all applicable rules and regulations within the financial industry.
Key Responsibilities:
- Compliance Review: Review and approve new account openings and requests related to current client accounts.
- Employee Licensing: Assist with employee licensing requirements and annual renewals.
- Communication Monitoring: Monitor and review employee communications (email, text message, etc.) to ensure compliance with internal policies and external regulations.
- Compliance Calendar: Oversee the firm's Compliance Calendar to ensure timely adherence to regulatory requirements.
- Code of Ethics: Support in monitoring and upholding the firm's Code of Ethics.
- Vendor Due Diligence: Collaborate on vendor due diligence processes to ensure compliance with regulatory requirements.
- Regulatory Examinations: Support in regulatory examinations and handling of other regulatory matters as necessary.
- Regulatory Filings: Assist in the preparation and filing of regulatory filings such as 13F/13G reports and complaint filings.
- Compliance Policies: Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates, help implement policies and procedures to address relevant changes.
- WSP and Internal Policies: Understand, maintain and update the firm's Written Supervisory Procedures (WSP) and internal policies.
- Continuing Education: Facilitate all continuing education requirements for employees.
- Options and MSRB Rules: Assist with tasks related to Options and MSRB rules.
-
Audit and Compliance Officer
3 days ago
Rochester, New York, United States CRD Careers (Independent Recruiters) Full timeJob DescriptionThe Accounting/Audit Manager role at CRD Careers involves overseeing and managing internal and external audit functions to ensure compliance with regulatory standards. This position requires leadership skills, attention to detail, and excellent communication abilities.Responsibilities:Audit engagement managementFinancial reporting and...
-
IT Compliance Officer
1 week ago
Rochester, New York, United States Emerge Talent Cloud Full timeJob Title: IT Compliance OfficerEmerge Talent Cloud is seeking a skilled IT Compliance Officer to join our team. As an IT Compliance Officer, you will play a crucial role in ensuring the organization's compliance with relevant laws, regulations, and industry standards.The ideal candidate will have a strong background in information security, risk management,...
-
Risk and Compliance Officer
5 days ago
Rochester, New York, United States Primma, LLC Full timeRole Overview">The successful Risk and Compliance Officer will be responsible for supervising, training, and developing our Claims Department staff. This role requires strong leadership skills, technical competency, and excellent communication abilities.
-
Biomedical Equipment Service Specialist
1 week ago
Rochester, New York, United States Mantis Medical Compliance Group Full timeJob OverviewAs a Biomedical Equipment Service Specialist at Mantis Medical Compliance Group, you will be responsible for performing inspection, preventative maintenance, and repair of medical equipment at customer facilities. This role involves working remotely with occasional travel to customer sites and the corporate office in Rochester, NY.
-
Senior Compliance Analyst
4 weeks ago
Rochester, New York, United States University of Rochester Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Analyst to join our team at the University of Rochester. In this role, you will oversee outpatient Medicare, Medicaid, and third-party payor audits, ensuring timely and appropriate responses to minimize legal and financial risk.ResponsibilitiesDirect all responses to ensure audits are addressed...
-
Financial Services Representative
3 weeks ago
Rochester, New York, United States OneMain Financial Full timeAbout OneMain Financial:">OneMain Financial is the leader in offering nonprime customers responsible access to credit and is dedicated to improving the financial well-being of hardworking Americans. With over 1,300 community branches across the U.S., our team members help millions of customers solve critical financial needs, including debt consolidation,...
-
Chief Compliance and Risk Management Officer
4 weeks ago
Rochester, New York, United States EDI Executive Search | Consulting Firm Full timeJob OverviewHeritage Christian Services (HCS) is seeking an exceptional strategic leader to serve as Vice President of Corporate Compliance and Risk Management. This pivotal role will play a crucial part in enhancing the organization's financial well-being and inclusive culture.Estimated Salary Range:$132,965 - $177,000 per yearKey Responsibilities:Lead the...
-
Biomedical Service Technician
4 days ago
Rochester, New York, United States Mantis Medical Compliance Group Full timeWe are seeking a highly skilled Biomedical Service Technician to join our team at Mantis Medical Compliance Group. As a Biomedical Service Technician, you will be responsible for performing inspection, preventative maintenance, repair of medical equipment at customer facilities.This is a remote position with occasional travel to corporate office in...
-
Senior Manager of Financial Services
7 days ago
Rochester, New York, United States Vito C Quatela MD PLLC Full timeAbout Our CompanyThe Vito C Quatela MD PLLC is a leading provider of cosmetic and reconstructive surgery services. We are committed to delivering exceptional patient care and satisfaction, while also providing a positive work environment for our employees.Job SummaryWe are seeking a highly skilled and organized individual to fill the role of Director of...
-
Financial Operations Manager
4 weeks ago
Rochester, New York, United States Securian Financial Group Full timeAbout Securian Financial GroupWe are a leading provider of financial services, dedicated to helping individuals and businesses achieve their financial goals. Our team is passionate about delivering exceptional service and support to our clients.Job SummaryThe Finance Business Partner will play a critical role in supporting the overall expense management of...
-
Rochester, New York, United States Emerge Talent Cloud Full timeJob SummaryPrestige Consumer Healthcare seeks an experienced Chief Compliance Information Security Officer to lead our IT compliance efforts. With a focus on maintaining information security documentation, assisting in the development of security policies and procedures, and addressing risk mitigation, this role is critical to sustaining growth and improving...
-
Accounting and Financial Services Manager
3 days ago
Rochester, New York, United States CRD Careers (Independent Recruiters) Full timeAbout the RoleThe Accounting/Audit Manager will oversee and manage both internal and external audit functions while ensuring financial statements and processes comply with regulatory standards. This individual will lead audits, supervise staff, and build trusted client relationships, ensuring accuracy in financial reporting and effectiveness in internal...
-
Financial Services Consultant
3 days ago
Rochester, New York, United States Wilmington Trust Full timeJob SummaryWe are seeking an experienced Financial Services Consultant to join our team at Wilmington Trust. As a key member of our wealth management team, you will be responsible for providing comprehensive investment management services to our clients.Key Responsibilities:Maintain current knowledge of financial markets, Wilmington Trust investment process,...
-
Compliance Specialist
1 week ago
Rochester, New York, United States The Walsh Group Full timeJob DescriptionThe Compliance Specialist will be responsible for ensuring the accuracy and completeness of financial data, preparing financial reports, and maintaining compliance with University policies and procedures. This role requires a strong understanding of accounting principles and the ability to analyze complex financial data.ResponsibilitiesPerform...
-
Chief Financial Officer
4 days ago
Rochester, New York, United States Vito C Quatela MD PLLC Full timeOverviewThe Quatela Center for Plastic Surgery is a renowned leader in cosmetic and reconstructive surgery, dedicated to exceptional patient care and innovative techniques. We are seeking an experienced Director of Finance and Administration to join our team.Salary$120,000 per year, based on qualifications and experience.Job...
-
Financial Services Operations Specialist
5 days ago
Rochester, New York, United States Delibert Employment Solutions Full timeDelibert Employment Solutions is seeking a dedicated and detail-oriented Financial Services Operations Specialist to join our dynamic team. This role offers the opportunity to develop a comprehensive understanding of the financial services industry.Estimated Salary: $60,000 - $80,000 per year.Job OverviewA prestigious financial services firm seeks a skilled...
-
Strategic Financial Advisor
4 weeks ago
Rochester, New York, United States Coordinated Care Services, Inc. (CCSI) Full time**About Coordinated Care Services, Inc. (CCSI)**We are a leading provider of program management services, consulting, and operational support to local departments of mental health and social services, state agencies, community-based organizations, and school districts across New York State and beyond.Our mission is to help people and communities thrive by...
-
Tax Compliance Specialist
5 days ago
Rochester, New York, United States Freed Maxick CPAs P C Full timeAbout Freed MaxickFreed Maxick is a leading accounting firm in Western New York, recognized for its outstanding culture and collaborative environment. As one of the largest firms in the region, we offer a wide range of services to our clients, including tax compliance and preparation.Job SummaryWe are seeking a highly skilled Tax Compliance Specialist to...
-
Business Services Manager
3 days ago
Rochester, New York, United States Coordinated Care Services, Inc. (CCSI) Full time**Job Summary**We are seeking a talented Program Director to contribute their expertise in providing essential business services to our provider organizations and customers. The Program Director is responsible for the logistical operations and financial management of the organization.The successful candidate will be a hands-on and collaborative manager with...
-
Biomedical Service Technician
4 days ago
Rochester, New York, United States Mantis Medical Compliance Group Full timeAbout the RoleMantis Medical Compliance Group is a leading provider of biomedical engineering services, and we are seeking a highly skilled Biomedical Service Technician to join our team. In this role, you will be responsible for performing inspection, preventative maintenance, and repair of medical equipment at customer facilities.Key Responsibilities:Reads...