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Through its relationship with CUSO Financial Services, LP (CFS), Coastal Federal Credit Union is seeking a Registered Financial Assistant to join the Coastal Wealth Management team in the Raleigh, NC area.
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Follows the established securities and insurance compliance guidelines, and strictly adheres to all Credit Union, TFA and broker-dealer policies where appropriate. Must place all trades within compliance guidelines and not subject the Credit Union to potential trade related losses.
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Through its relationship with CUSO Financial Services, L. P. (CFS) Ardent Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in and around the Philadelphia, PA area.
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A wholly owned subsidiary of Atria Wealth Solutions, we're ranked as one of the top broker-dealers in the industry and we work with some of the top financial institutions in the country.
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Ensure the Investment Department is in compliance with FINRA. Be prepared for compliance audits by the state or Credit Union Service Organization and correct any deficiencies. Member FINRA/SIPC. CFS is a broker/dealer and Registered Investment Advisor with a stable track record of serving the investment needs of credit unions and their members.
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Solid knowledge of LIHTC, Section 8, HOME, CDBG and their compliance requirements LIHTC (Low-Income Housing Tax Credit) and Project Based Section 8 certifications. Prepare information required by Compliance Coordinator to process monthly HAP (Housing Assistance payments) vouchers to CHFA (Colorado Housing Finance Authority.
Starting at $57,500 - $62,000 a year depends on experienceFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Through its relationship with CUSO Financial Services, L. P. (CFS) Spokane Teachers Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in and around the Pasco, WA area.
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Financial instruments product knowledge, accounting experience or Consumer Compliance experience (a Financial Engineering qualification, CFA, PRMIA/FRM qualifications or CPA, CRCM) Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions in the firm's various businesses, e.g., consumer banking, asset or wealth management and/or global banking and markets businesses.
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The Trade Compliance Manager specifically will be responsible for administering the company’s import and export compliance programs and working with the company’s Director of Trade Compliance and Legal Department to implement appropriate controls to ensure the company’s compliance with its legal and regulatory obligations.
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Individual will develop Reliability Compliance policies and procedures through research and interaction with Subject Matter Experts (SME) and site operating personnel to ensure organizational compliance with the NERC CIP Reliability Standards.
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Under the direction of the Vice President of Internal Audit, the Financial Compliance Auditor is accountable for visiting these locations during events to verify that certain key processes and controls are operating effectively.
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This includes not only anti-money laundering (AML), counter-terrorist financing (CTF) and sanctions compliance, but compliance with the fair lending laws and their implementing regulations.
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At least 10 years’ experience within regulated companies, in senior compliance role(s) with robust knowledge on Compliance topics (KYB / KYC, AML/CFT, Sanctions etc.) As the Director of Regulatory Compliance (MLRO), you will be working as part of Nium’s global, dynamic Compliance team and will be reporting to the VP Compliance (US.
$120,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Provide project support; certified reports, labor compliance required forms for union construction projects. Primoris Services Corporation is currently searching for a Labor Compliance Specialist in the Lake Forest, CA area.
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Keywords: PDS, compliance manager, Spanish speaking, bilingual, Spanish, compliance, manager, The PSA Compliance Manager (PSA) is responsible for managing implementation and compliance with the Interim Final Rule to prevent, detect, and respond to sexual abuse and sexual harassment involving child refugees.
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Title: compliance associate Company: Atria Wealth Solutions
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