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Mutual Fund Wholesaler
Navian Capital - Cincinnati, OH
Maintain a high level of professional conduct ensuring that all FINRA, SEC, and Navian compliance and firm policies as well as the rules of engagement of our...
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Wealth Management - CWM Ops - Investment Servicing Sr Specia...
JP Morgan Chase - 13,557 reviews - Columbus, OH 43240
Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.). About JP Morgan Wealth Management....
Manager of Accounting Policy and Control
Apple & Associates Inc - Cleveland, OH
SEC reporting and consolidation accounting experience a plus. Lead assessment, implementation and compliance with new and proposed accounting and reporting...
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Internal Audit Team Manager Sr

PNC - 3,101 reviews - Cleveland, OH 44101 (Central area)
AUDIT AND COMPLIANCE FUNCTION - Subject Matter Expertise. Leads complex internal audits to assess the effectiveness of controls, accuracy of financial records,...

RIA Compliance Manager

EF Hutton - 5 reviews - Springfield, OH
$31,000 - $78,000 a year
_RIA Compliance Manager_. Maintain records of regulatory compliance. 5+ years of work experience in regulatory compliance or as investment advisor - including...
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Internal Audit Manager

PNC - 3,101 reviews - Cleveland, OH 44101 (Central area)
AUDIT AND COMPLIANCE FUNCTION - Extensive Experience. Works closely with internal clients at all levels in developing audit findings and recommendations...

Compliance Analyst

Victory Capital Management - 5 reviews - Brooklyn, OH
Assist with the implementation of compliance testing, monitoring, and execution of the Compliance Program. Cleveland-based investment manager seeks compliance...

Manager of Accounting Policy and Control

Lincoln Electric - 195 reviews - Cleveland, OH 44117
SEC reporting and consolidation accounting experience a plus. Lead assessment, implementation and compliance with new and proposed accounting and reporting...

Analyst II/III/IV

FirstEnergy Corp. - 268 reviews - Akron, OH 44308 (Downtown area)
Consolidation of FirstEnergy subsidiaries, financial statement and disclosure preparation, SOX compliance, XBRL review and SEC and other regulatory reporting...

Business Controls Program Analyst

Fifth Third Bank - 1,174 reviews - Cincinnati, OH
Knowledge of the securities industry and SEC / FINRA regulations is preferred. 3-5 years of financial services industry, risk, business controls or compliance...

Regional Supervisory Officer Senior

Huntington - 47 reviews - Columbus, OH
Supports compliance and other regulatory agencies (FINRA, SEC, etc.). Minimum three years in compliance or supervision role....

Social Media Compliance Anal

Western & Southern Financial Group - 117 reviews - Cincinnati, OH
Demonstrated knowledge of FINRA, SEC and state insurance compliance requirements. Ensures social media compliance with all SEC, FINRA and state insurance...

Accounting Coordinator

Chipotle Mexican Grill - 4,182 reviews - Columbus, OH 43240 (Far North area)
Assisting with SOX compliance and internal audit requests. Assisting with the tie out of XBRL tags in SEC filings....
Wealth Management - CWM Operations, Investment Servicing Sr...
JP Morgan Chase - 13,557 reviews - Columbus, OH 43240
Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.). J.P....
Associate Financial Advisor
McCarthy & Cox Retirement & Estate Specialists LLC - Marysville, OH
Comply with all FINRA/SEC/Commonwealth compliance regulations; Come join a winning team and grow with us!...
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