Chief Compliance Officer
2 weeks ago
About the Company
Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients throughout the U.S. Services include securities trading, investment management, estate planning, wealth management and insurance. Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to emerging growth companies nationally.
About the Position
Reporting to the CEO and serving as an integral member of the senior management team, the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser.
Responsibilities
· Develop, update, and enforce compliance policies and procedures to ensure the firm complies with relevant SEC, FINRA, MSRB and state rules and regulations.
· Conduct periodic risk assessments of firm activities, testing compliance policies, controls and WSPs. Must be able to take appropriate steps to improve the effectiveness of programs.
· Oversee the management of regulatory examinations conducted by the SEC, FINRA, States and other agencies, and respond to regulatory inquiries on a timely basis.
· Monitor and ensure employee compliance with all relevant policies, including electronic communication, sales & trading, and business conduct.
· Serve as a member of the Firm's Management Committee.
Requirements
· FINRA Series 7, 63, 65 or 66, 4, 53, & 24 registrations (or ability to obtain within 90 days of employment)
· State insurance license preferred
· Five years experience in a Compliance or Supervisory position
· Five years prior Compliance experience in a leadership role required
· Ability to work individually and in team environments
· Prior management experience desired
· Ability to speak to and work with Regulators
· Solid analytical and problem-solving skills
· Excellent written and verbal communication skills
· Superior leadership and organizational skills
-
Chief Compliance Officer
2 weeks ago
Golden Valley, United States Oak Ridge Financial Full timeAbout the CompanyOak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients...
-
Chief Financial Officer
3 weeks ago
Golden Valley, United States Social Services Sector - Minnesota Full timeCHIEF FINANCIAL OFFICER - POSITION SUMMARY The Chief Financial Officer oversees the Finance Department, responsible for ensuring that all the activities and functions listed below occur in an efficient and timely manner. We are an administrative management company which provides support to all operating entities in our subsidiary group of companies...
-
Chief Financial Officer
3 weeks ago
Golden Valley, United States Social Services Sector - Minnesota Full timeCHIEF FINANCIAL OFFICER - POSITION SUMMARY The Chief Financial Officer oversees the Finance Department, responsible for ensuring that all the activities and functions listed below occur in an efficient and timely manner. We are an administrative management company which provides support to all operating entities in our subsidiary group of companies...
-
Chief Financial Officer
2 weeks ago
Golden Valley, MN, United States Social Services Sector - Minnesota Full timeCHIEF FINANCIAL OFFICER - POSITION SUMMARY The Chief Financial Officer oversees the Finance Department, responsible for ensuring that all the activities and functions listed below occur in an efficient and timely manner. We are an administrative management company which provides support to all operating entities in our subsidiary group of companies...
-
Chief Financial Officer
5 days ago
West Valley City, United States Housing Authority of Salt Lake Full timeThe Housing Authority of Salt Lake City (HASLC), is a federally funded Special Purpose Government Agency, created to provide rent subsidies, and promote affordable housing for low-income persons residing in Salt Lake City. HASLC is the largest public Chief Financial Officer, Officer, Financial, Chief, Housing, Business Services
-
Compliance Officer
3 weeks ago
Hunt Valley, United States Solomon Abraham Consulting Full timeDescriptionPublicly traded Fintech is looking for a Compliance Officer to join their compliance team in Maryland US, responsible for ensuring that the operations adhere to the laws that regulate the business.The Compliance Officer- North America will report to the Director of Global Compliance.IN THIS POSITION YOU WILL:Ensure that the business has effective...
-
Chief Financial Officer
2 weeks ago
Scotts Valley, California, United States The Camp Recovery Center Full timeOverview: Acadia Healthcare is a leading provider of behavioral healthcare services across the United States. Acadia operates a growing network of 250 plus behavioral healthcare facilities with approximately 11,100 beds in 39 states and Puerto Rico. With more than 23,000 employees serving approximately 75,000 patients daily, Acadia is the largest stand-alone...
-
Chief Financial Officer
1 day ago
Scotts Valley, CA, United States Acadia Healthcare Full timeOverview Acadia Healthcare is a leading provider of behavioral healthcare services across the United States. Acadia operates a growing network of 250 plus behavioral healthcare facilities with approximately 11,100 beds in 39 states and Puerto Rico. With more than 23,000 employees serving approximately 75,000 patients daily, Acadia is the largest...
-
Chief Financial Officer
19 hours ago
Spring Valley, United States GateSource HR Full timeJob Description Be part of a flourishing national real estate powerhouse, based in the heart of New York. As a pivotal force in the real estate sector, our client is in search of an accomplished and forward-thinking Chief Financial Officer (CFO) to steer their financial strategy, propel growth, and contribute to sustained success. This presents a distinctive...
-
Office Co-ordinator
2 weeks ago
Golden, United States Sisco Jobs Full timeJob Position -Office Coordinator Salary -RO 175 –200 Experience - 3-4 years Location - Oman Vacancy - 1 Position Overview: As an Office Coordinator, you will be responsible for overseeing and facilitating various administrative tasks to ensure the smooth functioning of our office operations. Your role will involve coordinating with clients, staff, managing...
-
Junior Chief of Staff
2 weeks ago
Grass Valley, United States BoxPower Full timeJob DescriptionJob DescriptionSalary: 66,560Title: Junior Chief of StaffLocation: In-person, Grass Valley, CACompensation:$66,560 starting + equityAbout BoxPower:BoxPower is at the forefront of the microgrid industry, delivering innovative, clean, and reliable energy solutions worldwide. Our advanced software and hardware ecosystem rapidly deploys hybrid...
-
Junior Chief of Staff
4 days ago
Grass Valley, United States BoxPower Full timeJob DescriptionJob DescriptionSalary: 66,560Title: Junior Chief of StaffLocation: In-person, Grass Valley, CACompensation:$66,560 starting + equityAbout BoxPower:BoxPower is at the forefront of the microgrid industry, delivering innovative, clean, and reliable energy solutions worldwide. Our advanced software and hardware ecosystem rapidly deploys hybrid...
-
Chief Financial Officer
3 weeks ago
Spring Valley, NY, United States GateSource HR Full timeJob Description Be part of a flourishing national real estate powerhouse, based in the heart of New York. As a pivotal force in the real estate sector, our client is in search of an accomplished and forward-thinking Chief Financial Officer (CFO) to steer their financial strategy, propel growth, and contribute to sustained success. This presents a...
-
CHIEF SCIENCE OFFICER
5 days ago
Oro Valley, AZ 85704, USA, United States Critical Path Institute (C-Path) Full timeABOUT CRITICAL PATH INSTITUTE (C-PATH)Critical Path Institute (C-Path) is a nonprofit engaged in the creation of partnerships and innovative processes that improve human health by reducing the time, cost, and risk in developing and approving new therapies. For over ten years, we have partnered with industry and academic experts to advance technologies across...
-
Manager - Compliance Corporate Affairs
2 weeks ago
Valley, United States GFA, Inc. Full timeJob DescriptionJob DescriptionSalary: DOEStart an exciting new career with GFA Logistics. We are currently looking for new team members with Manager experience. Why GFA Logistics: Great work environment and team members Top notch management team Open minded for new ideas and creative methods Full benefits...
-
Process Engineer 2
3 weeks ago
Golden Valley, United States Path Engineering Full timeJob DescriptionJob DescriptionRoleAs a Production Engineer (also known as Industrial Engineer, Manufacturing Engineer), you'll actively participate in daily meetings, lead continuous improvement initiatives, and ensure the safety, quality, and efficiency of the manufacturing processes. You'll also interact with related departments to ensure efficient...
-
Tax Compliance Specialist
21 hours ago
Simi Valley, United States The Tax Defense Group Full timeOverview: You will be contacting both the IRS and State (all 50) for pertinent compliance information for onboarding clients, as well as requesting for their transcripts. **Requirements**: - Must have PTIN, IRS CAF number and Eservices SOR account - Excellent customer service experience - Organize, strong written and communication skills - Ability to...
-
Medical Billing Specialist
3 weeks ago
Golden Valley, United States i-Health Full timeThe Medical Billing Specialist performs all functions as it relates to the billing and collections of accounts receivables for the billing for the Ambulatory Surgery Centers (ASC) for Twin Cities Orthopedics. This position will do training at the Golden Valley Business Center and then be fully remote. A $1,500 sign-on bonus will be offered, payable...
-
Research & Compliance Associate
2 weeks ago
Bull Valley, United States InsideHigherEd Full timeWork Week40 Hours | Flexible schedule to meet department needsPosition SummaryThe Research and Compliance Associate in the Office of Institutional Research (OIR) supports compliance, continuous improvement, and a culture of data-informed decision making at the college by working with the Director to prepare and submit state and federally mandated reports,...
-
Sustainability Manager
3 weeks ago
Golden Valley, United States Pentair Management Company Full timeJob Description: At Pentair, you will work along-side passionate problem-solvers who are committed to the future of our planet. We put our purpose into practice, inspiring people to move, improve and enjoy life's essential resources for happier, healthier lives. From our residential and business water solutions to our sustainable innovations and...