RockfordRecruiter Since 2001
the smart solution for Rockford jobs

Compliance Specialist

Company: Savant Capital Management
Location: Rockford
Posted on: June 15, 2019

Job Description:

Job Summary

The Compliance Specialist is responsible for supporting the firm's compliance program to ensuring that all activities of the firm meet regulatory requirements. This form is not an exhaustive job description and may include other essential and non-essential functions as may be assigned from time to time.

Duties and Responsibilities

The Compliance Specialist can expect to focus in the following areas:

--- Assist in the day-to-day operation of the Compliance Program



  • Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
  • Identify potential areas of compliance vulnerability and risk; suggest corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
  • Ensure proper reporting of violations or potential violations to the CCO
  • Assist in any external examinations performed by regulators
  • Assist with the periodic reviews and updates of the Compliance Manual and Code of Ethics and any related policies to ensure continuing currency and relevance in providing guidance to management and employees
  • Maintain team approach by assisting and filling in for others
  • Perform other duties as requested

    The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of the incumbent in this position.

    Qualifications


    The Compliance Specialist position typically requires the following qualifications:

    --- Bachelor's degree from an accredited college or university



    • Solid strategic thinker and problem solver
    • Strong research and auditing skills
    • Able to work effectively with confidential information
    • Outstanding attention to detail
    • Networking and relationship building skills
    • Effective written and verbal communication skills'internal and external
    • Strong MS Word, & Excel skills
    • Team player with ability to interact effectively with all levels of firm, as well as internal and external clients

      Any combination of equivalent education and work experience will be considered.

      Savant Capital LLC, is an Equal Opportunity Employer


      ---Keywords:SEC, FINRA, Securities Compliance, Financial Compliance, Compliance Auditor

Keywords: Savant Capital Management, Rockford , Compliance Specialist, Other , Rockford, Illinois

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Other Jobs


Regional CDL A Truck Drivers - Earn Up To $75k/Year - Home Weekly! - Dubuque
Description: Werner Enterprises is now hiring Regional CDL
Company: Werner Enterprises
Location: Dubuque
Posted on: 06/20/2019

CDL A Lease Purchase Truck Drivers - Only $600 Weekly Truck Payments! - Dubuque
Description: For a limited time, TransX USA is offering a Two-Year Lease. Have all the advantages of being an Owner Operator without the long term commitment. When the year is up, you'll have the opportunity to
Company: TransX USA
Location: Dubuque
Posted on: 06/20/2019

Truck Driver - Avg. $1,400 / Week + $5,000 Sign On Bonus - No Touch - Hoffman Estates
Description: Ryder is Hiring Dedicated Class A DriversAverage 1,400 / week-- 5,000 Sign-On Bonus - No TouchRyder is a commercial transportation, logistics, and supply chain management solutions company in business (more...)
Company: Ryder - Rochelle, IL
Location: Hoffman Estates
Posted on: 06/20/2019


Business Development Specialist
Description: TeleReach Corporate is a national telephone-marketing firm engaged exclusively in outbound business to business calls. We offer a unique opportunity with an excellent earning
Company: TeleReach Corporate
Location: Hoffman Estates
Posted on: 06/20/2019

Bid On Local Window Installing Jobs - Reach New Customers In Your Area
Description: Over 25 million homeowners have trusted HomeAdvisor 1800Contractor to help them find quality professionals with the expertise to turn their home improvement
Company: HomeAdvisor
Location: Moline
Posted on: 06/20/2019

Outbound Call Center HiringB2B Expertise
Description: TeleReach Corporate is a national telephone-marketing firm engaged exclusively in outbound business to business calls. We offer a unique opportunity with an excellent earning
Company: TeleReach Corporate
Location: Hoffman Estates
Posted on: 06/20/2019

RN - High Acuity - Alexian Brothers Behavioral Health - Hoffman Estates
Description: We Are Hiring br br RN-Behavioral Health - Adlt Psychiatry Nrsng Unit 001 - Part-Time,Evening - AMITA Health ABBHH - Hoffman Estates,IL br br Why Join AMITA br br AMITA Health is a joint (more...)
Company: AMITA Health
Location: Hoffman Estates
Posted on: 06/20/2019

Freelance Job Promoter
Description: Mommy Jobs Online is now recruiting part-time and full-time Freelance Job Promoters to work remotely. Great opportunity for the perfect person that has a home office setup to work remotely. At Mommy Jobs (more...)
Company: Mommy Jobs Online
Location: Dubuque
Posted on: 06/20/2019

Registered Nurse Neurology Unit - Hoffman Estates, IL
Description: We Are Hiring br br RN-Float - Neurology Unit 001 - PRN,Night - AMITA Health SAMC - Hoffman Estates,IL br br Why Join AMITA br br AMITA Health is a joint operating company formed by the (more...)
Company: AMITA Health
Location: Hoffman Estates
Posted on: 06/20/2019

CDL A Lease Purchase Truck Drivers - No Money Down! - Dubuque
Description: TransX--USA--has an exciting opportunity for a Lease Purchase/Owner Operator Class A Driver to run Midwest and Southeast. NO NORTHEAST .--Sign on bonus for a Lease Purchase Driver is 1500 plus additional (more...)
Company: TransX USA
Location: Dubuque
Posted on: 06/20/2019

Log In or Create An Account

Get the latest Illinois jobs by following @recnetIL on Twitter!

Rockford RSS job feeds