Compliance officer Jobs in Little Rock, AR
Last updated: 19 hours ago
Reports to Chief Compliance Officer.Here at Sowell Management everything we do is centered around our Core Values and our clients : .
Have each others back - Put others first - Critique in private.Don...Show moreLast updated: 30+ days ago
Work from Home; US All Regions.Hybrid / Flexible : Work at home and use the office as appropriate for in-person collaboration.
We are excited to bring on a Plan Compliance Specialist Manager to join t...Show moreLast updated: 30+ days ago
When it comes to making a meaningful difference in the lives of our customers and employees, USAble Life is always ready.
We are a diverse group of individuals working together to go the extra mile....Show moreLast updated: 14 days ago
Current University of Arkansas System employees, including student employees and graduate assistants, need to log in to Workday via , then access Find Jobs from the Workday search bar to view and a...Show moreLast updated: 30+ days ago
Position : Chief Executive Officer.Reports To : Board of Directors.The Chief Executive Officer (CEO) of EngageMED leads all aspects of the company's operations, focusing on client satisfaction, achie...Show moreLast updated: 17 days ago
The Compliance Manager is responsible for overseeing, managing, and ensuring that the bank’s operations comply with all relevant laws, regulations, and internal policies.This individual will ...Show moreLast updated: 19 days ago
It's fun to work in a company where people truly BELIEVE in what they're doing!.We're committed to bringing passion and customer focus to the business.
Compliance Specialist I performs a variety of ...Show moreLast updated: 19 hours ago
Our growing property management company is seeking a skilled and knowledgeable.This is an exciting opportunity to lead a dedicated compliance team, work directly with government agencies and housin...Show moreLast updated: 1 day ago
Army Infectious Disease Officer provides information and research about infectious diseases to benefit the Army.If you are a professional in the field of infectious diseases and want to combine you...Show moreLast updated: 3 days ago
Bring your heart to CVS Health.Every one of us at CVS Health shares a single, clear purpose : Bringing our heart to every moment of your health.
This purpose guides our commitment to deliver enhanced...Show moreLast updated: 30+ days ago
Reports to Chief Compliance Officer.Here at Sowell Management everything we do is centered around our Core Values and our clients : .
Have each others back - Put others first - Critique in private.Be ...Show moreLast updated: 1 day ago
Current University of Arkansas System employees, including student employees and graduate assistants, need to log in to Workday via , then access Find Jobs from the Workday search bar to view and a...Show moreLast updated: 21 days ago
ARKANSAS CHILDREN'S IS A TOBACCO FREE WORKPLACE.ARKANSAS CHILDREN'S IS AN EQUAL OPPORTUNITY EMPLOYER.ALL QUALIFIED APPLICANTS WILL RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR...Show moreLast updated: 19 hours ago
Southern Bancorp is a different kind of bank.As a Community Development Financial Institution (CDFI), a special certification designated for institutions that serve predominantly underserved commun...Show moreLast updated: 30+ days ago
Position : Chief Executive Officer.Reports To : Board of Directors.The Chief Executive Officer (CEO) of EngageMED leads all aspects of the company’s operations, focusing on client satisfaction,...Show moreLast updated: 1 day ago
DRM) serves as the face of our organization to the philanthropic community (donors within all of the Food Banks's 33 service areas with a focus on Central Arkansas) and leads efforts to engage phil...Show moreLast updated: 22 days ago
We are seeking a highly motivated and experienced Trust Officer.The ideal candidate will have 5 years of experience in trust administration and a deep understanding of fiduciary responsibilities, i...Show moreLast updated: 1 day ago
Fraud, Investigations & Regulatory Enforcement (FIRE).At PwC, our people in risk and compliance focus on maintaining regulatory compliance and managing risks for clients, providing advice, and solu...Show moreLast updated: 8 days ago
Compliance Associate
Sowell ManagementNorth Little Rock, AR, USA$55,000.00–$65,000.00 yearly
Quick Apply
- Promoted
Specialist, Plan Sponsor Compliance
Lincoln Financial GroupLittle Rock, AR, United States$53,500.00–$96,300.00 yearly
Full-time
- Promoted
Dental Product Compliance Analyst-Remote
USAble LifeLittle Rock, AR, United States$67,000.00–$121,000.00 yearly
Remote
Work Study / Athletics Compliance
University of Arkansas at Little RockLittle Rock, Arkansas, US$11.00 hourly
Part-time
- Promoted
Chief Executive Officer
EngageMED Inc.North Little Rock, AR, United StatesFull-time
Compliance Manager
GpacLittle Rock, Arkansas, United StatesFull-time
- Promoted
- New!
BSA Compliance Specialist I
Simmons BankLittle Rock, AR, United StatesFull-time
- Promoted
Director of Affordable Housing Compliance
RichSmith ManagementMaumelle, AR, USFull-time
- Promoted
Infectious Disease Officer
United States ArmyJohnson County, AR, United StatesFull-time
Analyst, Business Compliance- Remote
CVS HealthArkansas, Work At Home, US$40,600.00–$85,100.00 yearly
Remote
Full-time
- Promoted
Compliance Associate
Sowell Management ServicesNorth Little Rock, AR, United StatesFull-time
Accounting and Compliance Specialist
Division of Agriculture of the University of ArkansasLittle Rock, Arkansas, US$55,000.00 yearly
Full-time
- Promoted
- New!
Corporate Compliance Auditor
Arkansas Children's HospitalLittle Rock, AR, United StatesFull-time
- Promoted
Underwriting Compliance Officer - Remote
Southern BancorpLittle Rock, AR, United StatesRemote
- Promoted
Chief Executive Officer
EngageMED, Inc.North Little Rock, AR, USFull-time
- Promoted
Donor Relations Officer
Arkansas FoodbankLittle Rock, AR, United States$55,000.00–$65,000.00 yearly
Full-time
- Promoted
Trust Officer
GPACLittle Rock, AR, USFull-time
Compliance Coordinator
PSSINorth Little Rock, AR The Leader in food-industry-related contract sanitation and food safety.Over $1 Billion in sales with an excellent history of organic and acquisition growth.
Over 16,500 team members throughout Nort...Show moreLast updated: 30+ days ago
- Promoted
Government Funding Compliance Consultant - Director
PwCLittle Rock, AR, United States$148,000.00–$317,000.00 yearly
Full-time
Compliance Associate
Sowell ManagementNorth Little Rock, AR, USA30+ days ago
Salary
$55,000.00–$65,000.00 yearly
Job type
- Quick Apply
Job descriptionOnboarding of new IAR / RIA Review proposed advertising material in SmartRIA, Clout, HubSpot, FMG Suite, and Asana Obtain & reconcile : Annual Attestations, Quarterly Transaction, and Political Contributions Reports FINRA CRD / IARD - File Form U4 / U5 filings & amendments Quarterly fee review Form ADV Part 2B - Draft / review for new / existing advisors Maintaining Financial Advisor Recruiting Folder Global Relay / Communication Review and Monitoring Monitoring Continuing Education for IARs Maintain Trade Error Log College Education preferred but not required. 1 to 3 years of industry experience preferred but not required. Excellent project management skills and positive attitude Experience with on-line / cloud collaboration suites preferred (Google / Office365) Ability to effectively meet predefined deadlines Must demonstrate exceptional verbal and written communication skills High quality character, servant's heart, meet the standards of Sowell Core Values. Hours - Monday - Friday 8am - 5pm Beating every deadline, marketing review, compliance cases, daily Best Execution review, new IAR / RIA onboarding.
Compliance Associate
Sowell Management
Little Rock, AR ONSITE
Reports to Chief Compliance Officer
Here at Sowell Management everything we do is centered around our Core Values and our clients :
- We are family . Have each others back - Put others first - Critique in private.
- Attitude is everything . Don't be a jerk & don't suck. Be enthusiastic, positivity goes both ways.
- Care about what you do . Passion, desire, and drive for excellence - No half-hearted efforts
- Own your commitments . Do what you say. First time, every time.
- Go above and beyond . Teamwork always wins, Help each other out, When it's not your job or after 5.
About the Role :
The Compliance Associate works to ensure that all regulatory rules & regulations and all Federal & state laws are complied with at all times, and that all compliance deadlines are met.
What you are responsible for :
Qualifications :
Expectations and Measurables :