ABOUT US. Come join the dynamic team at Kestra Financial. Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized ...
Position Overview: Responsible for performing independent, secondary reviews of processes/activities pertaining to various areas of the Bank (primarily relating to lending), while aiding in the ongoing development, implementation, and maintenance of the Bank’s Quality Control Program. Ensures business line processes, policies, and controls are effective, demonstrate compliance with applicable regulatory requirements, investor guidelines, and gove...
At SESLOC, it is the people that make the place. Rooted in academics, and locally headquartered for over 80 years, we are the credit union with the funny name. But to us, financial dreams and goals are serious business. Job Summary. In this position you will. analyze regulations and laws, impacting Credit Union policies, processes, products, and services to determine associated risks and compliance adherence. You will develop and perform risk ass...
. . . Position Overview. . The Compliance Analyst assists the Community Behavioral Health (CBH) Manager of Compliance and Director of Internal Compliance and Risk Management with the implementation, maintenance, and monitoring of the CBH Compliance Program. They will work to ensure the organization complies with regulatory requirements and ethical standards, as well as contractual obligations, and that company policies and procedures reflect appl...
