Corporate Ethics & Compliance Specialist jobs in Nebraska

Corporate Ethics & Compliance Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Corporate Ethics & Compliance Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Corporate Ethics & Compliance Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Corporate Ethics & Compliance Specialist work is generally independent and collaborative in nature. Contributes to moderately complex aspects of a project. To be an Corporate Ethics & Compliance Specialist typically requires 4-7 years of related experience. (Copyright 2024 Salary.com)

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Compliance Specialist
  • Ultimus Fund Solutions
  • Omaha, NE 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.
    WORKING RELATIONSHIPS
    • 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.
    May perform other duties as required and assigned.

    KNOWLEDGE, SKILLS, AND ABILITIES (KSA’s)
    KNOWLEDGE
    • Securities rules and regulatory requirements.
    • Microsoft Office Suite.
    • Adobe Acrobat.
    SKILLS AND ABILITIES
    • 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.
    EDUCATION AND EXPERIENCE
    • 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.
    Equivalent KSA’s, education, and experience will be considered.

    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.
  • 8 Days Ago

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Compliance Specialist
  • North End Teleservices, LLC
  • Omaha, NE FULL_TIME
  • Come join our organization for an exciting new role as our Compliance Specialist! Work in a fun and engaging environment for a company that respects its employees. Apply now! Compliance Specialist for...
  • 11 Days Ago

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Compliance Specialist
  • Seldin Company
  • Omaha, NE OTHER
  • Overview STAR Compliance Consulting, a division of Seldin, LLC is seeking a Compliance Specialist to work either at our Corporate Office in Omaha, NE, or remotely if located in the following states on...
  • 1 Month Ago

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Corporate Facilities Specialist
  • Buckle
  • Kearney, NE FULL_TIME
  • Summary The Corporate Facilities specialist will join a collaborative team which operates out of Buckle’s home office in Kearney, Nebraska. This teammate must be comfortable working in an office setti...
  • 21 Days Ago

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Corporate Certificate Review Specialist
  • Cornerstone Staffing, Inc
  • Omaha, NE FULL_TIME
  • Job posted 3-6-2024 Corporate Certificate Review Specialist $20 hours Temp to hire 8 am - 5 pm Monday - Friday In office Looking to interview ASAP Corporate Certificate Review Specialist Critical thin...
  • 5 Days Ago

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Enviromental Compliance Specialist
  • NMC CAT
  • Omaha, NE CONTRACTOR
  • Shift your career into high gear with NMC CAT. As Nebraska’s CAT dealer, NMC has been serving its loyal Caterpillar customer base for over 80 years. PRIMARY JOB DUTIES*: In partnership with selected 3...
  • 10 Days Ago

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Indirect Procurement Manager, Northern Europe (Business Unit)
  • Haleon
  • Greater London, England
  • Job Description Hello. We’re Haleon. A new world-leading consumer health company. Shaped by all who join us. Together, w...
  • 3/29/2024 12:00:00 AM

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Quality Specialist
  • CSL Plasma
  • Racine, WI
  • Responsibilities: Mgr Center • Has overall authority for center operations production goals, monitor net yields, and imp...
  • 3/29/2024 12:00:00 AM

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Senior Data Integrity & Master Data Governance Manager
  • Terumo Medical Corporation
  • Somerset, NJ
  • Job Summary: The Senior Data Integrity and Master Data Governance Manager creates the structure, standardization, and pr...
  • 3/28/2024 12:00:00 AM

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Financial Advisor
  • Prevail Strategies
  • Leawood, KS
  • Prevail Strategies is Hiring: Financial Advisor Opportunity! Are you dissatisfied with corporate America? Ready to be re...
  • 3/28/2024 12:00:00 AM

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Solution Architect
  • Universal Orlando
  • Orlando, FL
  • Universal Orlando Resort believes in-person collaboration is key to our success. Many of our Team Members work in a hybr...
  • 3/28/2024 12:00:00 AM

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Regional Sales Representative
  • Earth Systems, LLC.
  • Lantana, FL
  • About Us Earth Systems is a leading full-service, turnkey, environmental engineering and consulting firm dedicated to se...
  • 3/28/2024 12:00:00 AM

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Marketing Copywriter
  • The MJ Companies
  • Carmel, IN
  • We are The MJ Companies—a firm dedicated to inspiring the success, fulfillment, and wellbeing of each person we serve. O...
  • 3/28/2024 12:00:00 AM

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Regional Sales Director
  • Kiniksa Pharmaceuticals
  • Regional Sales Director Regional Sales Director (RSD) Reporting to the Sr. Director, Sales, the Regional Sales Director ...
  • 3/28/2024 12:00:00 AM

The state is bordered by South Dakota to the north; Iowa to the east and Missouri to the southeast, across the Missouri River; Kansas to the south; Colorado to the southwest; and Wyoming to the west. The state has 93 counties and is split between two time zones, with the state's eastern half observing Central Time and the western half observing Mountain Time. Three rivers cross the state from west to east. The Platte River, formed by the confluence of the North Platte and the South Platte, runs through the state's central portion, the Niobrara River flows through the northern part, and the Rep...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Corporate Ethics & Compliance Specialist jobs
$91,363 to $119,383

Corporate Ethics & Compliance Specialist in Portsmouth, NH
The position reports to the GHS Chief Ethics and Compliance Officer and assists others in the Corporate Ethics and Compliance Office as needed.
December 20, 2019
Corporate Ethics & Compliance Specialist in Cincinnati, OH
The role assists in the research, development and production of internal and external communication materials and presentations related to the Corporate Ethics and Compliance Program.
February 19, 2020
Corporate Ethics & Compliance Specialist in Newark, NJ
As such the position performs on-going monitoring of all areas of compliance.
November 27, 2019