Top 3713 Regulatory compliance Jobs in Glendale, Co

AVP, Fund Compliance - Mutual Funds
Ultimus Fund Solutions —Greenwood Village, CO
- $75,000 - $100,000 a year
- Full-time
- Writing skills
- Office
- 3 years
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Director of Information Technology and Facilities
JEFFERSON COUNTY COMMUNICATIONS CENTER AUTHORITY —Golden, CO
- $146,412 - $197,660 a year
- Weekends as needed
- Background check
- 7 years
- Computer Science
10d
Regulatory & Environmental Specialist
NGL Energy Partners LP —Denver, CO
- $80,000 - $100,000 a year
- Full-time
- Customer service
- Office
- Driver's License
- Disability insurance
- Health insurance
10d
Governance Associate II or III
ANB Bank —Denver, CO
- $68,640 - $120,120 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Profit sharing
- Health savings account
District Manager
Confidential —Denver, CO
- $120,000 - $130,000 a year
- Overtime
- 5 years
- Business development
- Bachelor's degree
- Health savings account
- Health insurance
Quick Apply
3d
Director of Quality
Rocky Mountain Spice Co —Denver, CO
- $90,000 - $110,000 a year
- Full-time
- Bachelor's degree
- In-person
- Senior level
- Health insurance
- Dental insurance
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Compliance Officer
InBank —Greenwood Village, CO
- $85,000 - $120,000 a year
- Full-time
- Senior level
10d
Compliance Auditor
Denver Housing Authority —Denver, CO
- $78,000.26 - $97,500.74 a year
- Full-time
- Bachelor of Science
- Research
- Mid-level
- On-the-job training
Government Program Operations Specialist
Judi Health —Denver, CO
- $87,000 - $109,000 a year
- Mid-level
- Administrative experience
- High school diploma or GED
Quick Apply
Federal Survivor Benefits Program Administrator
State of Colorado —Denver, CO
- $92,232 - $147,588 a year
- Online Application
- Hybrid work
- Pass drug screening
- Office
- Finance
- Wellness program
- Health savings account
10d
Director of Quality and Regulatory
HCA HealthONE Presbyterian St. Luke's —Denver, CO
- $102,960.00 - $160,617.60 a year
- Full-time
- 3 years
- Children
- Pediatrics
- Employee stock purchase plan
- Disability insurance
Quick Apply
Coordinator, Environment of Care
Denver Health —Denver, CO
- $34.30 - $51.45 an hour
- Full-time
- Hospital
- Pass drug screening
- Mid-level
- Paid parental leave
- Paid holidays
Director, Regulatory Affairs
3D Systems —Littleton, CO
- $177,000 - $266,000 a year
- 11+ years
- Office
- Bachelor's degree
- Paid holidays
- Health insurance
Manager, Customer Support
Mesa Laboratories Inc. —Lakewood, CO
- $101,500 - $127,000 a year
- Hybrid work
- Bachelor's degree
- Criminal background check
- Senior level
- Health savings account
- AD&D insurance
Quick Apply
Information Security Risk and Compliance Analyst
Sunflower Bank NA —Denver, CO
- $65,000 - $75,000 a year
- Online Application
- Hybrid work
- Mid-level
- Office
- Bachelor's degree
- Paid holidays
- Dental insurance
Quick Apply
Human Resources Compliance Specialist
Kimley-Horn —Greenwood Village, CO
- $80,000 - $90,000 a year
- 18 years or older
- Microsoft Excel
- Microsoft Outlook
- Profit sharing
- Health insurance
Coordinator, HR Compliance Programs (Background, Drug & Alcohol)
Frontier Airlines, Inc —Denver, CO
- On call
- Background check
- Microsoft Excel
- Research
- Paid holidays
- Health insurance
Specialist, Risk and Compliance Services (Onboarding)
Deloitte —Denver, CO
- $63,000 - $116,000 a year
- Full-time
- Microsoft Word
- Mid-level
- 3 years
Application and Standards Compliance Coordinator
State of Colorado —Lakewood, CO
- $59,460 - $65,232 a year
- Full-time
- 6 years
- Research
- Mid-level
- Wellness program
- Health savings account
8d
Project Manager II - Compliance & Audit
AIR Communities —Denver, CO
- $80,000 - $100,000 a year
- Full-time
- Customer service
- Pass drug screening
- Mid-level
- Commuter assistance
- Paid parental leave
Quick Apply

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regulatory compliance jobs near glendale, co

AVP, Fund Compliance - Mutual Funds

Ultimus Fund Solutions -
Greenwood Village, CO

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

regulatory compliance jobs in glendale, co

AVP, Fund Compliance - Mutual Funds

Director of Information Technology and Facilities

Regulatory & Environmental Specialist

Governance Associate II or III

District Manager

Director of Quality

Compliance Officer

Compliance Auditor

Government Program Operations Specialist

Federal Survivor Benefits Program Administrator

Director of Quality and Regulatory

Coordinator, Environment of Care

Director, Regulatory Affairs

Manager, Customer Support

Information Security Risk and Compliance Analyst

Human Resources Compliance Specialist

Coordinator, HR Compliance Programs (Background, Drug & Alcohol)

Specialist, Risk and Compliance Services (Onboarding)

Application and Standards Compliance Coordinator

Project Manager II - Compliance & Audit

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