Compliance Specialist jobs in Newark, 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. - 5 Days Ago
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...
- 5 Days Ago
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...
- 16 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...
- 16 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...
- 16 Days Ago
HR Safety and Compliance Specialist
- Kimball Midwest
-
Columbus, OH
FULL_TIME
- Kimball Midwest, a national distributor of maintenance, repair, and operation products, is searching for a Safety & Compliance Specialist in the Human Resources Department for our Columbus, Ohio locat...
- 1 Day Ago
Filters
- Current Active Filter
- Newark, OH
Clear All
- Filter Jobs By posted time
- Within 1 Day
- Within 2-7
- Within 1 Month
- Within 3 Months
0 Compliance Specialist jobs found in Newark, OH area
Survey Crew Chief
- Russell Tobin & Associates
-
Newark, OH
- What are we looking for in our Survey Crew Chief? Russell Tobin is currently partnered with an environmental, engineerin...
- 4/24/2024 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...
- 4/23/2024 12:00:00 AM
Project Surveyor
- Russell Tobin & Associates
-
Newark, OH
- What are we looking for in our Project Surveyor? Russell Tobin is currently partnered with an environmental, engineering...
- 4/23/2024 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...
- 4/21/2024 12:00:00 AM
Environmental Health Safety Specialist
- Kaiser Aluminum
-
Newark, OH
- Kaiser Aluminum is known around the world for its superior quality. Our secret is what we put into it—innovative thinkin...
- 4/21/2024 12:00:00 AM
Intervention Specialist - 2024-25 School Year
- ChanceLight Behavioral Health, Therapy, & Education
-
Newark, OH
- Chancelight Education, a growing, dynamic organization with a social mission to offer hope, is seeking a Special Educati...
- 4/4/2024 12:00:00 AM
Board Certified Behavior Analyst - (Program Director) 2024-25 School Year
- ChanceLight Behavioral Health, Therapy, & Education
-
Newark, OH
- Chancelight Education, a growing, dynamic organization with a social mission to offer hope, is seeking a Board Certified...
- 4/4/2024 12:00:00 AM
Registered Behavior Tech - 2024-25 School Year
- ChanceLight Behavioral Health, Therapy, & Education
-
Newark, OH
- Chancelight Education, a growing, dynamic organization with a social mission to offer hope, is seeking a Registered Beha...
- 4/4/2024 12:00:00 AM
About Newark, Ohio
Newark is a city in and the county seat of Licking County, Ohio, United States, 33 miles (53 km) east of Columbus, at the junction of the forks of the Licking River. The estimated population was 49,423 at the 2017 census, which makes it the 16th largest city in Ohio.
It is the site of much of the Newark Earthworks, a major ancient complex built by the Hopewell culture. The Great Circle portion and additional burial mounds are located in the neighboring city of Heath, Ohio. This complex has been designated as a National Historic Landmark and is operated as a state park by the Ohio History Conne...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Specialist jobs
$57,411 to $73,109
Newark, 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