Top 50 Compliance officer & internal audit Jobs in Columbus

AVP, Fund Compliance - Mutual Funds
Ultimus Fund Solutions —Columbus, OH
- $75,000 - $100,000 a year
- Full-time
- Writing skills
- Office
- 3 years
Quick Apply
VP IT Information Security & Audit
The Marzetti Company —Columbus, OH
- Full-time
- Computer science
- Azure
- Computer Science
Chief Financial Officer - Columbus Ohio
Improveit Home Remodeling —Columbus, OH
- $200,000 a year
- Full-time
- Office
- Finance
- 8 years
- Paid holidays
- Health insurance
Quick Apply
10d
Global Executive Program Director
Atrium —Westerville, OH
- Full-time
- Hybrid work
- Office
- 8 years
- Analysis skills
- Commuter assistance
- Health savings account
1d
Risk Systems Analyst
Heartland Bank —Whitehall, OH
- System design
- Mid-level
- Office
- Paid parental leave
- Employee stock purchase plan
Security Operations Manager, Americas East
EdgeConneX —New Albany, OH
- $130,000 - $140,000 a year
- Full-time
- Team management
- Travel
- Business Administration
Quick Apply
Sr. Cybersecurity Operational Risk Officer
KeyBank National Association —Columbus, OH
- $96,000 - $181,000 a year
- Full-time
- Hybrid work
- Microsoft Outlook
- Computer Science
- Bachelor of Science
11d
Internal Audit Manager
Telhio Credit Union —Columbus, OH
- CPA
- Office
- Finance
- Paid holidays
- Disability insurance
Quick Apply
Government Compliance Counsel
Accenture —Columbus, OH
- $122,700 - $338,300 a year
- Full-time
- Remote
- 5 years
- Writing skills
- Analysis skills
- Paid holidays
- Disability insurance
8d
Manager, Security
Cologix —Columbus, OH
- $83,000 - $93,000 a year
- Full-time
- 5 years
- US work authorization
- Senior level
- Paid parental leave
- Health savings account
Quick Apply
Senior Quality Assurance Officer
Battelle —Columbus, OH
- Full-time
- Hybrid work
- Office
- 8 years
- Analysis skills
- Wellness program
- Health insurance
VP, Financial Crimes
Telhio Credit Union —Columbus, OH
- Finance
- Ability to lift 50 pounds
- Presentation skills
- Paid holidays
- Disability insurance
Quick Apply
Health Information Management Specialist
Equitas Health, Inc. —Columbus, OH
- Weekends as needed
- Hybrid work
- HIPAA
- Research
- Mid-level
Quick Apply
Anti Money Laundering/Know Your Customer Officer - Associate
JPMorganChase —Columbus, OH
- Full-time
- Microsoft Excel
- Mid-level
- Office
- Health insurance
- Tuition reimbursement
9d
Community Bank Compliance Officer/CRA Officer
Sutton Bank —Columbus, OH
- Full-time
- Hybrid work
- Office
- 3 years
- Bachelor's degree
Quick Apply
2d
Risk Management - Credit Officer - Associate
JPMorganChase —Columbus, OH
- $77,900 - $115,000 a year
- Full-time
- Mid-level
- Finance
- Analysis skills
- Health insurance
- Tuition reimbursement
Compliance Manager
Foxen —Columbus, OH
- Full-time
- 5 years
- Office
- Bachelor's degree
- Paid holidays
- Disability insurance
Quick Apply
Chief Financial Officer
Council Capital —Dublin, OH
- Full-time
- Hybrid work
- CPA
- Office
- GAAP
Chief Financial Officer
Central Ohio Primary Care Physicians,Inc —Westerville, OH
- Public speaking
- Office
- Finance
Quick Apply
Branch Operations Officer
Northwest Bank —Columbus, OH
- Full-time
- Office
- Finance
- Supervising experience
Quick Apply

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AVP, Fund Compliance - Mutual Funds

Ultimus Fund Solutions -
Columbus, OH

Quick Apply

Job Details

Full-time
$75,000 - $100,000 a year

Qualifications

Securities & Exchange Commission
Employee relationship building
Securities law compliance support experience
Securities law
Financial services
General management
Stakeholder relationship building

Full Job Description

SUMMARY
The AVP, Fund Compliance coordinates daily, monthly, and quarterly compliance workflows, including the implementation, monitoring, and testing of new and existing policies and procedures, as well as the maintenance of regulatory records for Ultimus Fund Solutions (UFS) clients.

KEY ACCOUNTABILITIES
FINANCIAL COMPLIANCE

Monitors fund compliance on a daily and monthly basis with consideration of investment detailed Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
Monitors fund compliance with consideration to the quarterly and annual requirements of the Internal Revenue Code for qualifications as a regulated investment company.
Performs reviews of a subset of quarterly compliance reporting prepared by compliance associates.
Reviews the investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients.
Codes newly launched funds into the compliance system and performs ongoing testing of existing client funds functionality on compliance system.
Ensures compliance testing programs keep pace with market and regulatory evolution.
Provides advice and training on rules and regulations as it pertains to portfolio compliance under SEC, IRS, and internal regulations to clients and applicable personnel.

REGULATORY REPORTING

Coordinates efforts with the Financial Administration team for the development of regulatory compliance for reporting to clients, regulatory agencies, Board of Directors, and Financial Officers.

MANAGEMENT AND DEVELOPMENT

Assists in the development and maintenance of departmental procedures.

FUND AUDITS

Maintains, updates, and implements audit controls, as necessary.

PERSONNEL MANAGEMENT

Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
Establishes team and individual goals for department.
Fosters performance of associates and the processes used by them; holds the associates accountable for their work.

WORKING RELATIONSHIPS

Acts as a liaison between UFS and external audit firms and regulatory agencies.
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used, as well as cross-training amongst departments.
Contact with Fund Accounting, Financial Administration, Relationship Management, and Legal departments regarding financial compliance activities.
Contact as needed with regulatory agencies and audit firms regarding general information, resolution of issues and inquiries or reporting requirements.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration, finance, or related field.
7+ years of regulatory compliance experience.
Experience working within the financial services and mutual funds industry.
Experience working with SEC regulators.
3-5 years of management and leadership experience.
Equivalent education and experience will be considered.

KNOWLEDGE

Automated post-trade compliance system coding.
Investment Company Act of 1940.
SEC and IRS regulations.
Microsoft Office Suite.
Adobe Acrobat.

SKILLS AND ABILITIES

Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.
Assesses the performance of self and associates to make improvements or take corrective action.
Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
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.

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.

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Refine Your Search

compliance officer & internal audit jobs in columbus

AVP, Fund Compliance - Mutual Funds

VP IT Information Security & Audit

Chief Financial Officer - Columbus Ohio

Global Executive Program Director

Risk Systems Analyst

Security Operations Manager, Americas East

Sr. Cybersecurity Operational Risk Officer

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Government Compliance Counsel

Manager, Security

Senior Quality Assurance Officer

VP, Financial Crimes

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