Top 302114 Business Process/program Manager Jobs

Compliance/Operations Principal
Innovation Partners, LLC —Charlotte, NC
- $76,000 - $95,000 a year
- Full-time
- Bachelor of Science
- Office
- Bachelor's degree
- Health savings account
- Relocation assistance
Quick Apply
FP&A Manager
FAIT Distribution —Burlington, WI
- Full-time
- 7 years
- Microsoft Excel
- Management
Quick Apply
Sales Trainer, Enablement and Onboarding
Vertex Service Partners —Tacoma, WA
- $85,000 a year
- Full-time
- Mid-level
- Residential
- Project management
- AD&D insurance
- Health insurance
Quick Apply
SAP Project Manager
Natuvion —Miami, FL
- $90,000 - $140,000 a year
- Full-time
- Hybrid work
- Spanish
- PMP
- Office
- Health insurance
- Dental insurance
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Engineering Manager, Transportation Design
Milhouse Engineering and Construction, Inc. —Chicago, IL
- $141,000 - $215,000 a year
- Full-time
- Hybrid work
- Office
- Bachelor's degree
- Mentoring
- Commuter assistance
- Paid parental leave
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Cost Estimator - Senior
Fiber Materials —Biddeford, ME
- Microsoft Outlook
- Office
- Finance
- Paid holidays
- Health insurance
OxyChem Insurance Risk Manager
Oxychem —Dallas, TX
- Full-time
- Microsoft Excel
- 6 years
- Microsoft Outlook
Safety Manager- Transportation , DOT & FMCSA
Paschall Truck Lines (PTL) —Murray, KY
- Full-time
- Bachelor of Science
- Research
- Travel
- Health insurance
- Dental insurance
Quick Apply
Project Manager Indiana
cGMPnow —Indianapolis, IN
- $150,000 - $200,000 a year
- Full-time
- Hybrid work
- Microsoft Outlook
- Construction site
- Customer service
- Profit sharing
- Paid training
Manager, Production Planning
PMX, Industries —Cedar Rapids, IA
- Weekends as needed
- Background check
- 5 years
- Master's degree
- Paid holidays
- Disability insurance
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Production Manager Data Center Infrastructure
Sanmina Corporation —Fremont, CA
- $120,000 - $160,000 a year
- 7 years
- Master's degree
- Supervising experience
- Paid holidays
- Disability insurance
Materials Manager
DeKALB Molded Plastics —Butler, IN
- From $75,000 a year
- Extended hours
- 5 years
- DOT physical examination
- ERP systems
- Health savings account
- Health insurance
Quick Apply
Staff Accountant
Manchester Band of Pomo Indians —Point Arena, CA
- $72,800 a year
- Full-time
- Hybrid work
- Background check
- Finance
- Bachelor's degree
- Health insurance
- Dental insurance
Quick Apply
Cyber Acquisition Program Manager
Astrion —El Segundo, CA
- From $150,000 a year
- Full-time
- Engineering
- 8 years
- Analysis skills
Environmental Health & Safety Manager
Agri-Mark/Cabot Creamery Cooperative —Cabot, VT
- $93,000 - $103,000 a year
- Mid-level
- 3 years
- Analysis skills
Quick Apply
Manager Application Engineering
Carpenter Technology —Reading, PA
- Full-time
- 3 years
- Business development experience
- Analysis skills
- Disability insurance
- Health insurance
COMMODITY SPECIALIST
Moses Lake Industries —Moses Lake, WA
- $65,000 - $88,400 a year
- Full-time
- Customer service
- Bachelor of Science
- English
- Health savings account
- AD&D insurance
Project Manager II
Infiltrator Water Technologies —Sutherlin, OR
- Full-time
- Engineering
- Physical & Rehabilitation Medicine
- ERP systems
- Paid parental leave
- Health savings account
Histocompatibility Lab- Manager
Vanderbilt University Medical Center —Nashville, TN
- Customer service
- Mid-level
- Bachelor's degree
- Health insurance
Product Manager
Coleman Environmental Engineering Inc. —Spokane, WA
- From $180,000 a year
- Full-time
- Hybrid work
- Mid-level
- Driver's License
- Bachelor's degree
- Dental insurance
Quick Apply
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Compliance/Operations Principal

Innovation Partners, LLC
Charlotte, NC

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Job Details

Full-time
$76,000 - $95,000 a year

Benefits

Health savings account
Relocation assistance
Health insurance
Dental insurance
401(k)
Flexible spending account
Tuition reimbursement
Paid time off
Employee assistance program
401(k) matching
Professional development assistance
Flexible schedule
Referral program

Qualifications

Bachelor of Science
FINRA
Bachelor's degree
FINRA License
Financial services
Bachelor of Arts

Full Job Description

About us

Innovation Partners, LLC

Innovation Partners, LLC (IPL), is a diversified financial services and consulting firm. It is a state registered Broker Dealer and is registered with FINRA and SIPC. The firm is registered with the SEC as an Investment Advisory firm.

Our firm provides high value risk management, actuarial analysis, benefits consulting, investment banking, financial consulting, management consulting, insurance consulting, and investment advisory services to clients throughout America. We consult to a large number of local and multinational clients such as insurance companies, re-insurers, banks, fund managers, broker dealers, regulatory bodies, government entities and retail organizations.

Our multi-disciplined approach to financial and management consulting permits us to serve our clients in a broader and more complete fashion than is possible by any traditional firm.

Our team is composed of actuaries, investment professionals, attorneys and other experts – all of whom have years of experience in the financial services and other industries. Our principals and key thought leaders have over 200 years of combined financial and corporate experience in the services described in this solicitation.

With offices on both the East and West coasts, Innovation Partners is well positioned to quickly address the needs of our clients.

We are looking for a broker-dealer Compliance Officer/specialist to ensure that our broker-dealer operations and business transactions follow all relevant FINRA and internal rules. You will review the activities of our registered representatives and IARs and provide advice on compliance. To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with FINRA and SEC rules, risk management, and industry’s standards. If you have a sharp business acumen, we’d like to meet you. Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

Responsibilities

Review / supervise registered representatives and IARs in accordance with FINRA and SEC rules
Review advertising materials and websites
Review social media and other registered representatives and IARs activities
Review CE and firm element requirements
Review new business and products as needed
Create sound internal controls and monitor adherence to them
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Collaborate with external auditors and other company personnel when needed
Educate and train registered representatives and IARs on regulations and industry practices
Address registered representatives and IARs' concerns or questions on legal compliance
Keep abreast of internal standards and business goals

Skills

Proven experience as a broker-dealer/RIA Compliance Officer or Compliance Specialist
Experience in risk management
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Familiarity with industry practices and professional standards
Excellent communication skills
Integrity and professional ethics
Business acumen
Teamwork skills
Attention to detail
BSc/BA
Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus
FINRA license, preferably Series 6, 7, 26, 24, 65, or 66

Job Type: Full-time

Pay: $76,000.00 - $95,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Paid time off
Professional development assistance
Referral program
Relocation assistance
Tuition reimbursement

License/Certification:

FINRA License (Required)

Work Location: In person

Quick Apply

Refine Your Search

Business Process/program Manager jobs

Compliance/Operations Principal

FP&A Manager

Sales Trainer, Enablement and Onboarding

SAP Project Manager

Engineering Manager, Transportation Design

Cost Estimator - Senior

OxyChem Insurance Risk Manager

Safety Manager- Transportation , DOT & FMCSA

Project Manager Indiana

Manager, Production Planning

Production Manager Data Center Infrastructure

Materials Manager

Staff Accountant

Cyber Acquisition Program Manager

Environmental Health & Safety Manager

Manager Application Engineering

COMMODITY SPECIALIST

Project Manager II

Histocompatibility Lab- Manager

Product Manager

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