Compliance Specialist jobs in Columbus, OH
Recently Added Compliance Specialist jobs
Compliance Specialist
- Ultimus Fund Solutions
-
Columbus, OH
FULL_TIME
-
SUMMARY
The Compliance Specialist is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s). This includes, but is not limited to, advertising review, internal and external registered representative supervision, anti-money laundering, and business continuity responsibilities.
KEY ACCOUNTABILITIES
RESPONSIBILITIES- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements as required.
- Answers client and internal inquiries and helps resolve any issues.
- Conducts various website and internet reviews.
- Assists with departmental projects, annual due diligence review of vendors, agreements, clients, and products, as assigned.
- Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.
- Applies regulatory requirements both internally and to clients of the firm.
- Obtains Series 7 and/or 24 within 12 months.
- Contact as needed with clients regarding general information, resolution of issues, inquiries, or reporting requirements.
- Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.
KNOWLEDGE, SKILLS, AND ABILITIES (KSA’s)
KNOWLEDGE- Securities rules and regulatory requirements.
- Microsoft Office Suite.
- Adobe Acrobat.
- Troubleshoots issues utilizing creative and critical thinking skills.
- Multitasking, analytical, and organizational skills.
- Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
- Demonstrates personal integrity, responsibility, and accountability.
- Effectively uses resources such as time and information in conjunction with associates.
- Participates in solving problems and making decisions.
- Presents and expresses ideas and information, written and oral, clearly, and concisely.
- Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
- Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
- Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
- Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
- Bachelor’s degree in business administration, finance, accounting, or related field.
- 2 years of financial industry experience.
- FINRA Series 6, 7, 26, or 24.
- Experience working in an operations or compliance role.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes. - Just Posted
Grants Compliance Specialist III
- Innovative Emergency Mgmt
-
Columbus, OH
FULL_TIME
- Position Summary: IEM is seeking a dedicated and detail-oriented, Full Time - Grants Compliance Specialist III (GCS III), to ensure the effective and compliant management of grants for IEM’s State Bro...
- 11 Days Ago
Grants Compliance Specialist I
- Innovative Emergency Mgmt
-
Columbus, OH
FULL_TIME
- Position Summary: IEM is seeking a dedicated and detail-oriented, Full Time - Grants Compliance Specialist I (GCS I), to ensure the effective and compliant management of grants for IEM’s State Broadba...
- 11 Days Ago
Grants Compliance Specialist II
- Innovative Emergency Mgmt
-
Columbus, OH
FULL_TIME
- Position Summary: IEM is seeking a dedicated and detail-oriented, Full Time - Grants Compliance Specialist II (GCS II), to ensure the effective and compliant management of grants for IEM’s State Broad...
- 11 Days Ago
Compliance & Training Specialist
- Lutheran Social Services of Central Ohio
-
Columbus, OH
FULL_TIME
- Compliance & Training Specialist Full Time | Day Shift Lutheran Social Services of Central Ohio is currently seeking a Compliance & Training Specialist for LSS Health Center (formerly Health Center at...
- 2 Days Ago
HR Compliance Specialist
- ALVIS
-
Columbus, OH
FULL_TIME
- HUMAN RESOUCES COMPLICANCE SPECIALIST M-F 8:30AM-5:00PM Career Details: We are seeking a passionate Compliance Specialist to provide quality compliance and administrative support to the agency through...
- 7 Days Ago
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0 Compliance Specialist jobs found in Columbus, OH area
Affordable Community Director - Non-Exempt
- Fpi Management
-
Lancaster, OH
- Multifamily Property Management The Community Director (Non-Exempt) is fully accountable for all day-to-day operations o...
- 4/18/2024 12:00:00 AM
Maintenance Manager
- Sunrise Senior Living
-
Columbus, OH
- Overview "Sunrise is the best place that I've ever worked, simply because of the people. We provide quality care in an e...
- 4/18/2024 12:00:00 AM
Guest Service Agent - Short North Luxury
- Le Meridien Columbus, The Joseph
-
Columbus, OH
- Compensation Type: Hourly Highgate Hotels: Highgate is a premier real estate investment and hospitality management compa...
- 4/18/2024 12:00:00 AM
Affordable Community Director - Non-Exempt
- FPI Management
-
Lancaster, OH
- Multifamily Property Management The Community Director (Non-Exempt) is fully accountable for all day-to-day operations o...
- 4/17/2024 12:00:00 AM
Insurance Sales Producer
- AMG S Group
-
Columbus, OH
- Job Description Job Description Join the National Agent Alliance, where we're not just about insurance – we're about sha...
- 4/16/2024 12:00:00 AM
Life Insurance Agent
- Barnes Agency
-
Lancaster, OH
- Job Title: Life Insurance Agent Company Overview: Join our dynamic and rapidly growing team at the Barnes Family Agency,...
- 4/16/2024 12:00:00 AM
Medical Records Specialist II (ON-SITE)
- Datavant
-
Columbus, OH
- Overview: Who we are... Datavant protects, connects, and delivers the worlds health data to power better decisions and a...
- 4/16/2024 12:00:00 AM
Front Office Manager - Short North Luxury
- Le Meridien Columbus, The Joseph
-
Columbus, OH
- Compensation Type: Yearly Highgate Hotels: Highgate is a leading real estate investment and hospitality management compa...
- 4/10/2024 12:00:00 AM
About Columbus, Ohio
The confluence of the Scioto and Olentangy rivers occurs just north-west of Downtown Columbus. Several smaller tributaries course through the Columbus metropolitan area, including Alum Creek, Big Walnut Creek, and Darby Creek. Columbus is considered to have relatively flat topography thanks to a large glacier that covered most of Ohio during the Wisconsin Ice Age. However, there are sizable differences in elevation through the area, with the high point of Franklin County being 1,132 ft (345 m) above sea level near New Albany, and the low point being 670 ft (200 m) where the Scioto River leaves...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Specialist jobs
$57,764 to $73,558
Columbus, Ohio area prices
were up 1.3% from a year ago
were up 1.3% from a year ago
What does a Compliance Specialist do?
Compliance Specialist in Atlanta, GA
Resolves program abuse allegations.
April 05, 2023
Compliance Specialist in Aurora, IL
Receive updates from the Corporate Compliance Office and Sales and Services in maintaining department procedures.
March 17, 2023
Compliance Specialist in Bronx, NY
Create a file tracking system to evaluate when departments have had their audits and when the next audit will occur, what changes have been requested, deadline for them to finish changes, and what changes have been made.
March 08, 2023