Top 532 Compliance assistant Jobs in United States

Assistant Compliance Officer
Purshe Kaplan Sterling Investments —Albany, NY
- $50,000 - $58,000 a year
- Full-time
- Background check
- Customer service
- Computer literacy
- Health savings account
- Health insurance
Quick Apply
Compliance Assistant
Prince Georges Community Federal Credit Union —Bowie, MD
- $17.70 - $22.15 an hour
- Part-time
- Microsoft Excel
- Microsoft Outlook
- High school diploma or GED
2d
Assistant General Counsel
VytlOne —Remote
- $240,000 - $259,000 a year
- Full-time
- HIPAA
- Senior level
- Communication skills
- AD&D insurance
- Disability insurance
Quick Apply
Experienced ACMM (Assistant Contract Maintenance Manager) 2-3 years
BryMak & Associates —Bethesda, MD
- $95,000 - $100,000 a year
- Full-time
- Background check
- Hospital
- Pass drug screening
- Health insurance
- Dental insurance
Quick Apply
Compliance/Executive Assistant
Step One (Child and family Guidance Center Addiction Services) —Highland, NY
- $55,000 - $63,000 a year
- Full-time
- Microsoft Excel
- HIPAA
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
Administrative Coordinator-Corporate Compliance
Region 10 PIHP —Port Huron, MI
- From $53,754 a year
- Full-time
- Microsoft Outlook
- Computer literacy
- Pass drug screening
- Paid holidays
- Health insurance
Quick Apply
Assistant to Compliance Officer
Spencer County Bank —Santa Claus, IN
- $15 - $18 an hour
- Full-time
- Microsoft Excel
- Word processing
- Office
- Health savings account
- Dental insurance
Quick Apply
Assistant Corporation Counsel
City of Joliet —Joliet, IL
- $111,000 - $118,363 a year
- Full-time
- 5 years
- Writing skills
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
Assistant Vice President & Legal Counsel, Investments
Unum Group —Chattanooga, TN
- $133,500 - $274,100 a year
- Full-time
- 5 years
- Analysis skills
- Project management
- Loan repayment program
- Disability insurance
9d
Assistant Director of Public Safety and Compliance
Harvis, Inc. —Tobyhanna, PA
- Weekends as needed
- Mid-level
- Team management
- Communication skills
- Health insurance
- Dental insurance
Quick Apply
9d
Paralegal / Legal Assistant (PII Compliance)
AuraOne Human Data —Remote
- Part-time
- Remote
- Bilingual
- Writing skills
- Mid-level
4d
Sr Coordinator-Compliance Office (Remote)
American Specialty Health Incorporated —Remote
- $21.22 - $27.00 an hour
- Full-time
- Remote
- Computer literacy
- Research
- Mid-level
- Work from home
Compliance Assistant
Agency Cyber Inc —New York, NY
- From $20 an hour
- Full-time
- No experience needed
- Office
- Bachelor's degree
- Paid holidays
- Paid time off
Quick Apply
Compliance Assistant
F & I Sentinel Llc —Orlando, FL
- $19.23 - $24.00 an hour
- Full-time
- Remote
- Mid-level
- Office
- Analysis skills
11d
Compliance Coordinator Assistant - Part-time (Hybrid)
Pace Recovery Center —Newport Beach, CA
- $30 - $35 an hour
- Part-time
- Microsoft Excel
- Writing skills
- Mid-level
Quick Apply
3d
Assistant Financial Controller (Government Projects & DCAA Compliance)
Inca Digital, Inc. —Remote
- Remote
- Background check
- Mid-level
- 3 years
- Health insurance
- Dental insurance
Quick Apply
Assistant Manager of Compliance
OnTrac —Ohio
- $84,000 - $126,000 a year
- Remote
- Mid-level
- Analysis skills
- Bachelor's degree
- Paid parental leave
- Paid holidays
Quick Apply
14d
Operations & Compliance Assistant
Community Chance LLC —Seattle, WA
- $30 - $35 an hour
- Full-time
- Hybrid work
- Background check
- Google Workspace
- Mid-level
- Paid holidays
- Flexible schedule
Quick Apply
Assistant Compliance Coordinator
BITCO INSURANCE COMPANIES —Davenport, IA
- Hybrid work
- Microsoft Outlook
- Mid-level
- Office
- Profit sharing
- Paid holidays
Quick Apply
Legal Assistant, General Counsel
Earthjustice —Remote
- $65,000 - $84,900 a year
- Email
- Remote
- Research
- Mid-level
- Bachelor's degree
9d

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Assistant Compliance Officer

Purshe Kaplan Sterling Investments -
Albany, NY

Quick Apply

Job Details

Full-time
$50,000 - $58,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Parental leave
Vision insurance
401(k) matching
Professional development assistance
Life insurance

Qualifications

Interpersonal skills
Finance
Customer service
Spreadsheets
Finance
Bachelor's degree
Attention to detail
Problem-solving
Organizational skills
Financial services
Productivity software
Experience at securities companies
Time management

Full Job Description

Job Title: Assistant Compliance Officer

FLSA Status: Non-Exempt

GENERAL STATEMENT OF DUTIES:

PKS is a leading full-service broker/dealer and financial services firm offering state-of-the-art products and technology to more than 1,600 Registered Representatives (RR) with over 600 offices.

As an Assistant Compliance Officer, you will be responsible for assisting the Compliance department with testing and monitoring. This position will gain an understanding of pertinent regulations and how to meet responsibilities within the Compliance department. Additionally, this position will assist the Chief Compliance Officer in implementing and enforcing the firm’s compliance program by collaborating with all levels of the organization. You will be responsible for helping to ensure compliance with current/developing industry regulations and maintaining and improving the compliance program of the firm where applicable.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Onboarding, offboarding Register Representatives (RR) via Gateway U4/U5 filing.
Promote and deliver a compliance culture within the firm and assist with staff training on compliance matters.
Assist with regulatory inquiries and branch office inspections and internal audits.
Ability to handle several different tasks at the same time while often meeting tight deadlines.
Assist with compliance testing and monitoring.
Keep abreast of changing compliance laws and regulations and informing compliance staff and management of these changes.
Monitor the status of corrective actions being taken.
Provide compliance technical assistance, training and analysis as necessary.
Assist other departments within the firm with assigned tasks.
Ensure timely processing of all requests and submissions.
Build and maintain effective working relationships with other team members to ensure high-quality service and timely processing of directly held investments.
Bring enthusiasm, resourcefulness, and a positive attitude each day.

QUALIFICATIONS, KNOWLEDGE, AND SKILLS:

Excellent verbal and written communication skills.
Excellent interpersonal and customer services skills.
Excellent organizational skills.
Exceptional time management skills.
Superior attention to detail.
Ability to follow a project through completion.
Self-starter who can work independently.
Team player who can work collaboratively.
Ability to analyze problems quickly and efficiently.
Ability to function well in a high-paced and high-volume environment.
Computer proficiency in Microsoft Office Suite is required.
Prior brokerage industry experience required.
Available to travel (20%-30% maximum per year)
The ideal candidate should possess or have a willingness to sit for SIE exam, Series 7, and Series 63 FINRA licenses and look to advance upwards within the firm.

EDUCATION and/or EXPERIENCE:

Bachelor’s degree from an accredited college or university with emphasis on business, finance or related field with one year’s experience in Customer Service/Financial Accounting preferred.
SIE exam, Series 7, and Series 63 preferred or willingness to obtain the licenses.
Proficient in Microsoft Excel.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

SIE exam, Series 7, and Series 63 preferred or willingness to obtain.

SUPERVISORY RESPONSIBILITIES: None

WORK ENVIRONMENT AND PHYSICAL DEMANDS:

The work environment characteristics and physical demands described are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential job functions of the position. This position operates in a professional office environment. The noise level in the work environment is usually moderate. The role routinely uses standard office equipment such as computers, phones, copiers, and filing cabinets. While performing the duties of this job, the employee is regularly required to sit or be sedentary, Daily activities will require the position to routinely walk, stand, sit, use hands and fingers, handle objects or controls, talk and hear, stand, and reach with hands and arms. Specific vision abilities required by this job include close vision. The employee may be asked occasionally to bend, lift, and/or move up to 40 lbs.

POSITION TYPE AND HOURS:

Full-time, standard workweek, Monday-Friday; 8:30 AM- 5:00 PM

PKS Investments Inc. is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Job Type: Full-time

Pay: $50,000.00 - $58,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Professional development assistance
Vision insurance

Physical Setting:

Office

Education:

Bachelor's (Preferred)

Experience:

Financial services: 1 year (Preferred)

Ability to Commute:

Albany, NY (Required)

Work Location: In person

Quick Apply

Refine Your Search

compliance assistant jobs in united states

Assistant Compliance Officer

Compliance Assistant

Assistant General Counsel

Experienced ACMM (Assistant Contract Maintenance Manager) 2-3 years

Compliance/Executive Assistant

Administrative Coordinator-Corporate Compliance

Assistant to Compliance Officer

Assistant Corporation Counsel

Assistant Vice President & Legal Counsel, Investments

Assistant Director of Public Safety and Compliance

Paralegal / Legal Assistant (PII Compliance)

Sr Coordinator-Compliance Office (Remote)

Compliance Assistant

Compliance Assistant

Compliance Coordinator Assistant - Part-time (Hybrid)

Assistant Financial Controller (Government Projects & DCAA Compliance)

Assistant Manager of Compliance

Operations & Compliance Assistant

Assistant Compliance Coordinator

Legal Assistant, General Counsel

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