Senior Compliance Supervisor - Broker-Dealer Oversight
Lincoln Financial Group
Lincoln Financial Group is looking for an experienced Compliance Specialist in Sacramento, California. The role involves overseeing broker-dealer supervision and ensuring compliance with FINRA requirements while managing high volumes of supervision items.
The ideal candidate will have at least 3-5 years of relevant experience and must obtain FINRA licenses shortly after hiring. Lincoln offers competitive salaries and a robust benefits package, including career development opportunities and health programs.
#J-18808-LjbffrVacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Supervisor - Broker-Dealer Oversight in Sacramento, CA vacancy
- ...to oversee daily supervision and ensure compliance with FINRA regulations. This role... ...teams, making it crucial for effective oversight in a fast-paced environment. The ideal... ...Bachelor’s degree and extensive experience in broker-dealer supervision. Lincoln offers competitive...Senior
Lincoln Financial Services
Sacramento, CA4 days ago $159k
...Category: Business Operations / Strategy Job Level: Senior Manager Business Unit: Strategy & Growth Work... ...Department Overview: The Electric Risk & Compliance organization provides governance, oversight, and strategic direction on risk and compliance matters...SeniorContract workWork experience placementWork at officeFlexible hours2 days per week3 days per weekPG&E Corporation
Sacramento, CA8 days ago$159k
...Job Category: Business Operations / Strategy; Compliance / Risk / Quality Assurance Job Level: Senior Manager Business Unit: Strategy & Growth Work... ...Risk & Compliance organization provides governance, oversight, and strategic direction on risk and compliance matters...SeniorWork experience placementWork at officeFlexible hoursPG&E Corporation
West Sacramento, CA8 days ago$125k - $175k
...Senior Property Risk Consultant HUB International's Risk Services Division partners with clients across manufacturing, industrial... ...underwriting submissions and support renewal negotiations. Provide oversight of insurance carrier loss control activities and assessments on...SeniorLocal areaNight shiftSquaremouth
Sacramento, CA2 days ago- ...Senior Personal Insurance Specialist Compensation and Benefits: ~ Group Health, Dental, Vision, and Life Insurance for employee and dependents, with company currently contributing 100% towards base HMO or PPO coverage, with additional options available for expanded...SeniorFull timeTemporary workWork at office
Inszone Insurance Services Inc
Rancho Cordova, CA3 days ago - ...'lllove from top to bottom - we give you the tools you need to succeed and the autonomy to reach your goals. We are seeking a Senior Fund Accountant to join our Real Estate Systems Implementation Group (RESIG), the largest real estate private equity fund administrator...SeniorLocal area
EisnerAmper
Sacramento, CA7 days ago - EisnerAmper is seeking a Senior Fund Accountant to join their Real Estate Systems Implementation Group in Sacramento. The role involves preparing financial statements, reconciling cash balances, and mentoring junior staff. Ideal candidates will have a Bachelor’s degree...Senior
- EisnerAmper LLP in Sacramento is looking for a Senior Fund Accountant to join the Real Estate Systems Implementation Group. This role focuses on financial statements, general ledger accuracy, and client service. The candidate should have a Bachelor’s degree in Accounting...SeniorFlexible hours
$16.5 per hour
TwinThread is seeking a Senior Home Lending Advisor to join our energetic team in Sacramento, California. This role involves serving as the primary point of contact for customers throughout their loan journey while adhering to regulatory requirements. Candidates should...SeniorHourly payFull time$152.59k - $193.66k
A leading insurance company is seeking an experienced workers' compensation defense attorney to join its legal department in Sacramento, California. The ideal candidate will have at least 10 years of experience in defending workers' compensation cases and a solid understanding...SeniorBerkshire Hathaway Homestate Companies
Sacramento, CA4 days ago- Senior Fund Accountant At EisnerAmper we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you’re starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one...SeniorLocal area
- A global consulting firm is seeking a Senior Property Tax professional to join their team in Sacramento. The position involves advising on indirect tax regulatory changes, managing compliance processes, and identifying optimization opportunities for clients. Ideal candidates...Senior
- A leading insurance broker is seeking a Senior Property Risk Consultant to join their Risk Services Division in California. The role involves conducting property risk assessments, developing risk improvement strategies, and building long-term relationships with clients...Senior
- EPIC Insurance Brokers & Consultants is seeking a Client Executive to serve as the primary expert resource for clients in the Rancho Cordova office. This role requires managing client relationships and ensuring the delivery of high-quality insurance solutions. The ideal...SeniorWork at office
$25.4 - $32 per hour
Golden1 is looking for a Senior Home Loan Doc Drawer to prepare loan documents for mortgage loans in compliance with regulations. The role includes managing document expirations, ensuring compliance with guidelines, and reviewing loans for accuracy. The ideal candidate...SeniorRemote jobHourly pay- A national insurance group is seeking an experienced workers' compensation defense attorney for its legal department in Sacramento, California. The ideal applicant should possess a law degree, active California Bar membership, and at least 3 years of experience in defending...Senior
$158.88k - $248.05k
A leading insurance company seeks a Senior Manager for Government & Regulatory Affairs in Sacramento, CA. The role involves engaging with key policymakers, analyzing insurance regulations, and formulating strategic initiatives. The ideal candidate will have a JD degree...SeniorRemote job$77k - $214k
...Industry/Sector Asset and Wealth Management Specialism Industry Tax Practice Management Level Senior Associate Job Description & Summary A career in our Financial Services Tax practice, within Corporate Tax services, will provide you with the opportunity...SeniorH1bLocal areaOverseasPwC
Sacramento, CA4 days ago$49.77k
Work From Home Dealer Lien Perfection Sr. Coordinator The Dealer Lien Perfection Sr. Coordinator will be calling dealers, customers,... ...disability and veteran status) committed to non‑discrimination and compliance with applicable federal, state, and local laws. Capital One...SeniorWork at officeLocal areaRemote workWork from homeHome officeMonday to FridayFlexible hours$158.88k - $248.05k
GEICO . For more information, please .Senior Manager, Government & Regulatory Affairs page is loaded## Senior Manager, Government & Regulatory Affairsremote type: Remotelocations: Sacramento, CAtime type: Full timeposted on: Posted Todayjob requisition id: R0063396**At...SeniorHourly payWork experience placement$146.96k - $219.65k
Position Summary Provides critical support in developing global regulatory strategy, planning and execution of global investigational and marketed prescription drug submissions and manages lifecycle activities for all assigned projects in alignment with the Global Regulatory...SeniorTemporary workWork at officeLocal areaFlexible hours- ...position that includes comprehensive benefits. Responsibilities include overseeing employee onboarding, benefits administration, and compliance management. The ideal candidate will have a Bachelor’s degree in Human Resources and a minimum of 3 years of HR management...SeniorFull time
- ...prominent educational institution is seeking a Human Resources Manager to oversee HR operations, manage recruitment, and ensure compliance with employment laws. The ideal candidate should have a bachelor's degree in Human Resources, extensive experience in HR practices...SeniorFull time
$118.5k - $251.6k
...Job Description We are specifically looking for a ** Senior Manager of Data Center Compliance Integration** . You will be responsible for managing the Compliance Integration function. Your team will be accountable for three key workstreams: Integration of new and...SeniorContract workTemporary workFlexible hoursOracle
Sacramento, CA4 days ago$230.71k
...seeking a Risk Manager to lead public sector risk management efforts. Responsibilities include assessing risks, overseeing insurance compliance, and managing workers' compensation and safety programs. Ideal candidates will have a Bachelor's degree in a related field and...Senior$124k - $280k
...engagements across the entire lifecycle. As a Senior Manager specializing in Blockchain, you... ...including strategy design, architecture oversight, and delivery leadership across... ..., DAOs) and their regulatory, risk, and compliance implications Experience building business...SeniorFull timeContract workH1bPwC
Sacramento, CA1 day ago- ...scenarios that align with global regulatory expectations and business objectives. • Collaborate closely with cross-functional teams and senior leadership to drive clarity, alignment, and accountability for regulatory deliverables, timelines, and interdependencies. •...SeniorWork at officeRemote workWork from homeWorldwide
PAREXEL
Sacramento, CA3 days ago $146.9k - $160k
...prioritization, and quality oversight to deliver accurate, timely... ...analytics, technology, and compliance leaders to align analytical... ...maintain relationships with senior leaders and stakeholders; organize... ...duties is encouraged to consult with their supervisor. #LI-HybridSeniorGolden 1
Sacramento, CA1 day ago$16.9 per hour
...fresh face to the casino industry. To help aid in the creation of this new casino culture, Parkwest Casino is looking to hire card dealers. These card dealers will not only deal cards, but will make dealing cards an adventure and experience the guests won’t forget, which...Local areaShift workWeekend workAfternoon shift$65k - $75k
Epsilon is seeking a Dealer Marketing Consultant to drive sales within a multi-state territory, focusing on automotive dealership marketing solutions. This role involves regular travel (70% commitment) and significant client interaction to meet sales goals and deliver...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Supervisor - Broker-Dealer Oversight. Be the first to apply!
Related searches
- regulatory affairs director Sacramento, CA
- regulatory manager Sacramento, CA
- head compliance Sacramento, CA
- compliance manager Sacramento, CA
- manager regulatory affairs Sacramento, CA
- compliance director Sacramento, CA
- senior director regulatory affairs Sacramento, CA
- sr. manager regulatory compliance Sacramento, CA
- senior regulatory manager Sacramento, CA
- regulatory & compliance manager Sacramento, CA