Compliance Supervisor, BD & RIA - Training & Oversight
$80k - $100kSan Blas Securities
San Blas Securities, a full-service investment bank, is looking for a Compliance Supervisor to support regulatory and compliance efforts. This full-time position is based in Chicago and involves managing compliance training programs and document supervisory activities. The ideal candidate should have a Bachelor's degree, relevant FINRA licenses, and 3-5 years of experience in regulatory environments, fostering a culture of compliance. Competitive compensation and bonus structure based on experience, ranging from $80K to $100K. #J-18808-Ljbffr San Blas Securities
$80k - $100k
...highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance... .... Manage Firm’s Onboarding Training Program for compliance with new hires... ...~3 – 5 years relevant experience at RIA and BD or industry regulator ~ Working knowledge...TrainingBdFull time$74k - $138k
...Group:Audit, Risk & ComplianceProvides oversight, monitoring and reporting on operational... ...standards for the assigned portfolio to ensure compliance as well as effective monitoring, timely... ...customers reach theirs. From in-depth training and coaching, to manager support and...TrainingFull timeContract workPart timeLocal area$225k - $270k
...the Hines Private Wealth platform across RIA and RIA aggregator channels in the Central... ...and competitive landscapeEnsure oversight and maintenance of CRM system (Salesforce... ...investing in our people, offering comprehensive training, competitive compensation, robust benefits...TrainingWork at officeLocal area$97k - $189k
...potential. The Managing Director Strategic Claim Oversight leads the Severity & Excess Accounts team that... ...capabilities . Ensures quality by assuring compliance with best practices, and developing and delivering training as needed. May perform additional duties as assigned...TrainingFull timeWork experience placementWork at office- DescriptionWe are looking for an experienced SEC Compliance Manager/Director to lead regulatory... ...Splunk where applicable, to support oversight, risk identification, and compliance analysis... ...holidaysProfessional development and training opportunitiesA collaborative and dynamic...Training
$127.68k
JOB REQUISITIONLegal, Risk & Compliance - Lender Due Diligence - ManagerLOCATIONCHICAGOADDITIONAL... ...in the creation and rollout of training, and ways for your team to improve our clients... ...appraisals, mentoring and coaching, oversight and review of work, coordination across...TrainingFull timeTemporary workWork at officeLocal areaRemote workFlexible hours$179k - $298k
...transition business models for clientsProviding oversight to project assignments, including... ...experience leading Business Development (BD) initiatives (writing proposals, identifying... ...limited to skill sets, experience and training, security clearances, licensure and certifications...TrainingBdPermanent employmentFull timeTemporary workWork at officeRemote workFlexible hours$80.34k - $145.08k
...Affairs is responsible for leading regulatory compliance review activities across Covista... ...2) developing and delivering compliance training to strengthen awareness and understanding... ...Leads compliance review, monitoring, and oversight activities across institutions to promote...TrainingFull timeWork at officeFlexible hours$100k - $160k
...community. Additionally, Gilbane offers employees multi-dimensional training opportunities through several resources for those that are early... ...lead, operations team, and Business Development (BD) staff (projects ranging in size and complexity as assigned by Senior...TrainingBdContract workFor contractorsFor subcontractorWork at office- Morningstar Inc. is seeking a Compliance Senior Manager in Chicago to oversee the daily administration of the compliance program for U.... ...team. The position emphasizes coordinating regulatory filings, training, monitoring, and risk assessments, with a focus on adherence...Training
$177.65k - $261.25k
...encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. We strive to provide... ...producer to lead coverage of the Registered Investment Advisor (RIA), Financial Advisor (FA), and broader Wealth Management channel...TrainingFull timeWork at officeImmediate start$111k - $186k
...Management & Performance Provide senior oversight on planning, activation, and optimization... ...and scale best practices, playbooks, and training that elevate VPM quality and consistency... ...development, productization of services, or BD/pitch efforts. Pay Transparency At...TrainingBdWork at office- ...Leadership Team, providing strategic direction and operational oversight for promotional compliance to ensure the alignment with commercial execution. The... ..., and leading process optimization and regulatory training initiatives. Applicants for the Head of Global Regulatory...Training
$80k
BSA/AML Compliance Manager – To $80K – Chicago, IL – Job # 2155 Who We Are The Symicor Group... ...day-to-day management, supervision, and oversight of the Bank’s BSA/AML Program. ~... ...strengthen the control environment. ~Providing training and mentoring for team members on the...Training$109.6k - $167k
...professional to join its Business Development team as a Manager, Strategic BD Operations. This role is integral to the successful execution of... ...among Practice Group Co-Leaders, attorneys and BD Leads through training, troubleshooting, and ongoing guidance — ensuring contact...TrainingBdRemote workShift work$112k - $210k
...JobAs part of Key’s second line of defense Compliance Risk Management function, the Risk... ...risk testing professionals and provide oversight of the risk-based monitoring and evaluation... ...procedures.Actively identify and pursue training or continuing education opportunities to...TrainingFull timeWork at officeFlexible hoursShift work$193.5k - $406.5k
...CollectYour Privacy ChoicesTeam OverviewThe U.S. Compliance Advisory team provides practical, risk-... ...implementation plans. Provide executive oversight for Issue Management by guiding business... ...limited to) an individual’s education, training, work experience, job-related skill set,...TrainingFull timeTemporary workWork experience placementWork at officeFlexible hours2 days per week$108k - $155k
...Gilbane offers employees multi-dimensional training opportunities through a number of... ...development sessions.Strategic partner to Sr. BD Leader and divisional leadership to ensure... ...overseeing financial activities and ensuring compliance with budget expectations....TrainingBdFor contractorsLocal area- ...dispensing systems, including BD Pyxis, controlled substance... ...workflows. The Coordinator provides oversight and monitoring of hospital-... ...activities, and compliance with organizational, state, and... ...and Staff Support Provides training and education to pharmacists,...TrainingBdFull timePart timeReliefImmediate startFlexible hours
- ...Director of Risk Management and ComplianceThe Compliance & Risk Manager is responsible for... ...development, implementation, and ongoing oversight of the CCHC's Compliance Program and Enterprise... ...action plans.Conduct annual HIPAA training and workforce education.Collaborate with...TrainingFull timeContract work
- ...focusing on complex logistics, including cold chain and regulatory-sensitive environments. The role includes procurement, pricing, training, and implementation, collaborating with KAMs, Global Solutions, and Branch Ops to negotiate, implement, and monitor standards...TrainingBd
$90k - $110k
...information provided; collaborate with the Business Development (BD) team to obtain missing data. Build and maintain valuation... ...a network of exceptional resorts, empowering our teams with the training and tools to succeed, and earning the trust of pet parents for life...TrainingBdFull timeInterim roleShift work- ...Anti-Money Laundering (AML) and regulatory compliance program, ensuring adherence to BSA/... ...Monitor AML activity, including review and oversight of Suspicious Activity Reports (SARs),... ...and leadership Provide AML and compliance training to staff to reinforce awareness,...TrainingWeekend workAfternoon shift
$200k - $230k
...influential on priority policy issues Consultant Oversight: Oversee third-party consultants... ...Ability to balance advocacy with compliance and risk management Comfortable representing... ...candidate’s education & work experience, training & certifications, and key skills as well...TrainingPermanent employmentFull timeTemporary workWork experience placementImmediate startWork visaFlexible hours$102k - $147k
...associates to the next role or path, whether it be more senior BD levels, account management paths, or sales leadership. Typical internal... ..., and more!Uncapped commission structureWorld-class sales training programs and skill development programsAnnual "Winners Circle" event...TrainingBdFull timeRemote workWorldwide$93k - $171.3k
...being on the cutting edge of regulatory compliance? In this highly consultative role, you’ll... ...(SEC), and Public Company Accounting Oversight Board (PCAOB) independence rules, as well... ...not limited to skill sets; experience and training; licensure and certifications; and other...TrainingWork at officeVisa sponsorship- DescriptionThe Environmental & Regulatory Compliance (ERC) Section Manager is responsible for the supervision, training, and direction of ERC staff in Burns & McDonnell... ...technical advisor by providing guidance and oversight for environmental compliance projects, including...TrainingTemporary workWork at officeLocal area
$140k - $160k
...table responses, and work with attorneys and BD staff on the continuous improvement of... ..., including RFPs, RFQs, RFIs, and client compliance surveys from notice to submission·... ...enhancements to elevate presentations and training materials where appropriate· Track pitch...TrainingBdWork experience placementLocal areaShift work$130k - $180k
...workflows, and operational requirements specific to prop firmsSupport training and enablement to help internal teams understand partner needs... ...and leadership reviewsOwn team KPIs and report progress to BD and executive leadershipWhat you'll need:5-8 years in futures trading...TrainingBdWork at officeWorldwideMonday to FridayFlexible hours$95k - $113k
...direction of the Senior Director, the IACUC Compliance Manager serves as a liaison with federal... ...and ongoing compliance with external oversight requirements. The IACUC Compliance... ...responsibilities of a Compliance Analyst. Analysis and Training Track and report trends related to...TrainingWork at officeLocal area
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