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Merchants Bancorp
Carmel, IN, United States
Job Type Full-time Description The VP - Compliance Officer is primarily responsible for administering monitoring programs under the Company's compliance management system to assist in managing compliance risk across the organization. In particular, the Compliance Officer will assist in monitoring and providing guidance on, Bank's performance u
Job Source: Merchants BancorpGoelzer Investment Management
Indianapolis, IN, United States
The successful candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment. The successful candidate will be an individual who demonstrates a high level of respect for each person they encounter, is truly interested in co
Job Source: Goelzer Investment ManagementGoelzer Investment Management, Inc
Indianapolis, IN, United States
Job Description Job Description The successful candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment. The successful candidate will be an individual who demonstrates a high level of respect for each person they enc
Job Source: Goelzer Investment Management, IncOptimyl Benefits
Indianapolis, IN, United States
At Optimyl Benefits, we're revolutionizing the healthcare landscape for small employers by providing accessible, high-quality, and easy-to-use healthcare plans. Drawing from deep experience working with small employers, Optimyl delivers plans crafted specifically for them, finding the "Optimyl" Balance. Our mission is ambitious, and we're already m
Job Source: Optimyl BenefitsMerchants Bank of Indiana
Carmel, Indiana
Description: The VP – Compliance Officer is primarily responsible for administering monitoring programs under the Company's compliance management system to assist in managing compliance risk across the organization. In particular, the Compliance Officer will assist in monitoring and providing guidance on, Bank's performance under the Community Re
Job Source: Merchants Bank of IndianaMerchants Bank IN
Carmel, IN, United States
Description The VP – Compliance Officer is primarily responsible for administering monitoring programs under the Company’s compliance management system to assist in managing compliance risk across the organization. In particular, the Compliance Officer will assist in monitoring and providing guidance on, Bank’s performance under the Community Rei
Job Source: Merchants Bank INCommunicarehealth
Indianapolis, IN, United States
Chief Compliance Officer, Medicare Advantage CommuniCare Advantage, a member of CommuniCare Health Services , is currently recruiting a Chief Compliance Officer for our Medicare Advantage plan. The Chief Compliance Officer ensures compliance with regulations and controls by examining and analyzing records, reports, operating practices, and docu
Job Source: CommunicarehealthAston Carter
Indianapolis
Description: Summary: The main function of a compliance analyst is to ensure the organizations operations and procedures meet government and industry compliance standards. A compliance analyst may research regulations and policies communicate requirements and apply for compliance certifications on behalf of the organization. Job Responsibilities: R
Job Source: Aston CarterIndianapolis, IN, United States
WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.
Please note: You must currently hold FINRA S24 (or 9 &10)
Core Job Responsibilities:
Conduct inspections of affiliated offices and producer interviews and complete required documentation
Monitor and enforce disciplinary actions and tailored supervision arrangements
Review and monitor advisor transactions, correspondence, sales material and business practices per industry and company guidelines
Approve and monitor outside business activities
Document advisor onboarding and offboarding
Participate in firm inspections and regulatory audits
Training and education
Additional duties assigned by supervisor
Must maintain FINRA licenses noted below
This position is Full-Time and works from the Indianapolis office. Salary is proportionate with qualifications and experience.
No immigration sponsorship available for this role.
Required Qualifications:
Series 7, 24 (or 9 and 10), 66 (or 63 and 65)
Bachelor's degree or equivalent combination of education and experience
Preferred Qualifications:
3+ years of professional experience in a similar role
Series 53 preferred, or must pass within 120 days of employment
WestPoint Financial Group is dedicated to bringing financial wisdom and clarity in a world of infinite information. Our associates are highly competent professionals, respected for their precise expertise, product knowledge and commitment to professional growth. Our stringent code of ethics places the client’s needs above all others and demands uncompromising integrity in every aspect of our business conduct.
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Email Alert for Compliance Officer jobs in Indianapolis, IN, United States
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