Compliance Officer Jobs in Brown County, Wisconsin

Sales-Financial Services - Director and Chief Compliance Officer - Investments Earnings Range / Type: Commission/Fee Based ......  More »    Fewer «   Minimum Years Registered: N/A Minimum Level of Education: High School Minimum Gross Production: N/A Minimum Assets Required: N/A           Fewer «

Position Summary The Bank Compliance Officer is responsible for developing, maintaining and implementing a comprehensive ......  More »    Fewer «   compliance program and various aspects of the bank’s overall compliance program designed to ensure that the activities of Thrivent Financial Bank comply with mortgage lending and other consumer protection laws, regulations and statements of policy, as well as internally-developed policies and procedures. Position Roles/Responsibilities/Accountabilities • Develop, maintain and implement a comprehensive bank compliance program that ensures compliance with applicable federal and state laws, consumer protection regulations and statements of policy, including but not limited to, mortgage lending regulatory requirements. • Analyze and interpret new bank regulatory requirements, particularly those pertaining to mortgage lending activities, to ensure the bank’s compliance program remains effective and accurate.           Fewer «

Job Title: Regional Compliance Officer, Midwest (Chicago) Profession: Accounting/Finance -> Auditing Description ......  More »    Fewer «   Work closely with North America and Global Compliance Officers and Regional and Business Management; Advise and provide guidance to Regional and Business Unit Management, Operations and Business Unit Compliance Officers regarding applicable laws and regulations as well as internal policies and procedures designed to mitigate business risk and exposure; Provide support and guidance to Management and personnel in developing and implementing policies and procedures to ensure all business activities are conducted in accordance with the highest ethical standards; Develop training material and implement policies and procedures tailored to a variety of business units and contexts; and Monitor adherence to standards through the collection and analysis of errors and omissions data, business-led self-assessment file reviews           Fewer «

Bank Compliance Officer Requisition ID 4211 Location Appleton, WI Minneapolis, MN Description Position Summary The Bank ......  More »    Fewer «   Compliance Officer is responsible for developing, maintaining and implementing a comprehensive compliance program and various aspects of the bank's overall compliance program designed to ensure that the activities of Thrivent Financial Bank comply with mortgage lending and other consumer protection laws, regulations and statements of policy, as well as internally-developed policies and procedures. Position Roles/Responsibilities/Accountabilities - Develop, maintain and implement a comprehensive bank compliance program that ensures compliance with applicable federal and state laws, consumer protection regulations and statements of policy, including but not limited to, mortgage lending regulatory requirements.           Fewer «

Finance Company Allstate Description The Allstate Corporation is the nation`s largest publicly held personal lines insurer ......  More »    Fewer «  . A Fortune 100 company, with $156 billion in assets, Allstate sells 13 major lines of insurance, including auto, property, life and commercial. Allstate also offers retirement and investment products and banking services. Allstate is widely known through the You`re In Good Hands With AllstateR slogan. Allstate was founded in 1931 and became a publicly traded company in 1993. The primary responsibility of the Chief Compliance Officer (CCO) is to oversee the compliance activities of Allstate Investments LLC and AIMCO and to design, implement and maintain a Compliance Program designed to promote an organizational culture that encourages a strong commitment to compliance with applicable laws and regulations and ethical conduct; including to exercise due diligence to prevent and detect criminal conduct.           Fewer «

Title: ASSISTANT COMPLIANCE OFFICER Location: null ASSISTANT COMPLIANCE OFFICER - Legal Compliance and Supplier Diversity ......  More »    Fewer «   JOBANNOUNCEMENT Office of Compliance Number of Positions: 2 Duties:Receives, investigates and responds to allegations of compliance violations to ensure City programs and processes adhere with governmental policies and regulations. Develops compliance training materials and may perform or participate in ongoing compliance training for employees and vendors. Develops, initiates, maintains, revises and researches best practices relative to the operation of the Compliance Program. Interprets compliance ordinances and guidelines and reviews documents to determine eligibility for City programs. Participates in advising departments and vendors on new or modified procedures and practices. Prepares reports on assigned cases in identifying potential areas of compliance vulnerability and risk and identifying developing trends. Testifies in court and at hearings concerning case findings.           Fewer «

Responsibilities: The company seeks a motivated Compliance Officer who`s looking to apply analytical skills in a dynamic ......  More »    Fewer «  , forward-thinking environment. This role will help the Chief Compliance Officer with ongoing oversight and administration of a compliance program for multiple registered investment advisors. This position is based in our Chicago office. As Compliance Officer, you will create, revise, and implement policies and procedures on a continual basis. You will develop and implement compliance training and education, as well as help conduct an annual review of the compliance program. Qualifications: We`re looking for a detail-oriented, independent thinker to interact with employees at all levels. This person should have excellent communication and problem-solving skills. Candidates should have at least eight to 10 years of experience in the asset management industry, specifically in compliance.           Fewer «

Qualifications: Education: Master’s or Ph.D. degree with a scientific focus Work Experience: 15+ years of food ......  More »    Fewer «   and beverage experience is a must. Must have a working knowledge of food and safety laws General Summary The Chief Compliance Officer oversees the risk management function including compliance, quality assurance and regulatory and is the face of the customers, professional organizations, and government bodies. Principal Duties and Responsibilities Oversee GMP/Hygiene/HACCP design and training for the International locations. Design Corporate Quality / Regulatory Standards for manufacturing sites including co-packers, distributors, and manufacturing partners. Review and update Standard Operating Procedures relating to quality processes and systems. Monitor and understand changes in the legal landscape pertaining to food and beverage manufacturing and compliance and recommend policies to ensure adherence.           Fewer «

Qualifications: Education: Master’s or Ph.D. degree with a scientific focus Work Experience: 15+ years of food and ......  More »    Fewer «   beverage experience is a must. Must have a working knowledge of food and safety laws General Summary The Chief Compliance Officer oversees the risk management function including compliance, quality assurance and regulatory and is the face of the customers, professional organizations, and government bodies. Principal Duties and Responsibilities Oversee GMP/Hygiene/HACCP design and training for the International locations. Design Corporate Quality / Regulatory Standards for manufacturing sites including co-packers, distributors, and manufacturing partners. Review and update Standard Operating Procedures relating to quality processes and systems. Monitor and understand changes in the legal landscape pertaining to food and beverage manufacturing and compliance and recommend policies to ensure adherence.           Fewer «

Responsibilities Administers the Public Securities compliance programs to ensure compliance processes and procedures are ......  More »    Fewer «   integrated and aligned with business processes Evaluates and reviews existing programs, policies and procedures based upon changed requirements Reviews marketing materials, advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations, and maintains a database of approved materials for use in presentations and client meetings Prepares client-mandated compliance reports and certifications Prepares various SEC materials and forms Monitors REIT-ownership charter limitations Works with Public Securities and Compliance teams in interpreting client investment guidelines, resolving compliance issues, researching client guidelines and security issues, and analyzing post-trade compliance results           Fewer «

Title: Compliance Officer I (Full time)-Green Bay, WI (Holmgren Way) Location: Wisconsin-Green Bay Monday-Friday 8am-5pm JOB ......  More »    Fewer «   SUMMARY Under general direction from the Director of Corporate Compliance, or his/her designee, implements strategies related to the compliance functions for the Corporation and its affiliates. Develops, designs and implements policies and procedures required to maintain an acceptable level of regulatory compliance and prevention of financial loss. Provides support for affiliates through the identification and interpretation of the current banking and related financial services laws and regulations and any changes thereto. Monitor, test and report on the effectiveness of the compliance programs and oversee regulatory examination process. KEY RESULT AREAS ? Meet the minimum requirements for compliance with banking and related financial services laws and regulations established by regulatory agencies ? Verify affiliate policies and procedures relative to compliance           Fewer «

Job Title: Investment Compliance Officer Profession: Analysis/Consulting/Project Management -> Business Analysis Investment ......  More »    Fewer «   Compliance Officer 219685 Location: Chicago Assignment: Full Time Pay Rate: $75,000-$100,000 Industry: Financial Services Responsibilities Administers the Public Securities compliance programs to ensure compliance processes and procedures are integrated and aligned with business processes Evaluates and reviews existing programs, policies and procedures based upon changed requirements Reviews marketing materials, advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations, and maintains a database of approved materials for use in presentations and client meetings Prepares client-mandated compliance reports and certifications Prepares various SEC materials and forms           Fewer «

Job Title: Compliance Officer - Realpoint Profession: Banking -> Investment Banking Compliance Officer - ......  More »    Fewer «   RealpointU.S.A.Morningstars Realpoint group, a Nationally Recognized Statistical Rating Organization (NRSRO) used by more than 225 institutional investment firms, seeks a Compliance Officer to manage and direct its regulatory activities. Known for innovation and excellence in the structured finance market, Realpoint aims to increase market transparency and provide the highest quality ratings through securities research, monitoring services, data, and technology solutions. The position is based in our Horsham, Pennsylvania office, but will report to Morningstars chief compliance officer in our Chicago office.As a Compliance Officer, you will design, manage, and administer Realpoints compliance program. You will identify potential conflicts of interest, conduct periodic assessments of risks, and test compliance controls. You will then design and implement the appropriate controls, policies, and procedures.           Fewer «

Job Title: Compliance Officer Profession: Banking -> Investment Banking Compliance OfficerU.S.A.Morningstar seeks a ......  More »    Fewer «   motivated Compliance Officer who`s looking to apply analytical skills in a dynamic, forward-thinking environment. This role will help the Chief Compliance Officer with ongoing oversight and administration of a compliance program for multiple registered investment advisors. This position is based in our Chicago office.As Compliance Officer, you will create, revise, and implement policies and procedures on a continual basis. You will develop and implement compliance training and education, as well as help conduct an annual review of the compliance program.We`re looking for a detail-oriented, independent thinker to interact with employees at all levels. This person should have excellent communication and problem-solving skills. Candidates should have at least eight to 10 years of experience in the asset management industry, specifically in compliance.           Fewer «

Qualifications:Education: Master’s or Ph.D. degree with a scientific focus Work Experience: 15+ years of food and ......  More »    Fewer «   beverage experience is a must. Must have a working knowledge of food and safety laws General Summary The Chief Compliance Officer oversees the risk management function including compliance, quality assurance and regulatory and is the face of the customers, professional organizations, and government bodies. Principal Duties and Responsibilities Oversee GMP/Hygiene/HACCP design and training for the International locations. Design Corporate Quality / Regulatory Standards for manufacturing sites including co-packers, distributors, and manufacturing partners. Review and update Standard Operating Procedures relating to quality processes and systems. Monitor and understand changes in the legal landscape pertaining to food and beverage manufacturing and compliance and recommend policies to ensure adherence.           Fewer «

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Dynamic and prestigious Skilled Nursing Corporation is looking to add a new Chief Operation Officer to our Nursing division ......  More »    Fewer «  . We are looking for someone who is self motivated, driven, and has a proven track record of success. In addition we want someone who has a great understanding of Chicago?s numerous healthcare rules and regulations. This position will report directly to the CEO and be an iatrical part of helping shape the companies? future Qualifications: - 5 or more years of experience as a COO (Chief Operating Officer) in a medical, clinical, long term care or other healthcare setting - Bachelor's degree in business or health care administration or related field - Proven ability to work in collaboration with CEO and other executive levels to achieve corporate goals - Strong experience in implementing and overseeing clinical support systems, practice management systems/processes, and medical records while adhering to patient confidentiality issues           Fewer «

Job Family: Compliance & Regulatory Affairs Job Category: Full-Time Job Classification: Experienced/Established ......  More »    Fewer «   Division: Corporate Office of Ethics and Compliance Shift: First Overview: At Abbott, we provide the perspectives and experience necessary to translate science into real solutions for patients in over 130 markets worldwide. Today, 72,000 Abbott employees are doing work that matters. Job Description: PRIMARY JOB FUNCTION: · Provides support for developing, updating and maintaining elements of Abbott’s compliance program at the franchise, business unit, divisional or corporate level. · Assists in the development and administration of Office of Ethics & Compliance (OEC) education and training programs(including development of supporting materials) and assists with the development, implementation and administration of division compliance monitoring plan.           Fewer «