Legal Compliance

Legal Compliance Finance Jobs

55 jobs found

Financial Advisor

Kellogg Community Credit Union Battle Creek, MI

12d ago

Full time Marketing Advisor Business Development

Marketing Advisor Business Development

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Job Description

The Financial Advisor role at Kellogg Community Credit Union is an onsite position in Battle Creek, MI, focused on promoting investment services, processing securities transactions, and managing client relationships across branch offices.

Responsibilities

Process securities orders to facilitate sales activity from receipt to execution.
Qualify prospects and open new brokerage accounts for clients who do not require a personal Financial Advisor meeting.
Lead the planning and execution of seminars, campaigns, and sales literature across the offices in their market.
Design and oversee branch training and referral initiatives.
Set up brokerage accounts and assemble all required documentation to open them.
Handle cashing and booking of checks and stock certificates, ensuring compliance with legal requirements for stock certificates in brokerage accounts.
Track and close all outstanding paperwork.
Process journals between brokerage accounts.
Coordinate with the corporate office to resolve issues.
Establish and maintain mutual fund periodic investment plans and systematic withdrawal plans.
Configure money movement arrangements, including ACH or EFT transfers, to settle trades.

Requirements

A college degree or equivalent business experience is required; related experience may substitute for formal education.
Securities licenses Series 7 and 63, plus a State Insurance License.
Minimum of two years of experience in a related role.
Clean U-4 on file.
Customer relations and sales experience is required.
Actual business experience in the field.
Ability to learn the detailed requirements of the position.
Participation in all required compliance training, including Bank Secrecy Act / anti-money laundering training, along with internal and external training programs, online courses, meetings, and seminars.

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Assistant Controller

C&L Aviation Group Bangor, ME

15d ago

Full time Accounting Assistant Budgeting

Accounting Assistant Budgeting

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Job Description

Assistant Controller role at C&L Aviation Group, onsite in Bangor, ME, reporting to the Financial Controller.

Responsibilities

Lead the monthly close cycle, ensuring timeliness and accuracy of financial statements.
Maintain accuracy and completeness of general ledger activity with proper supporting documentation.
Conduct monthly, quarterly, and annual reconciliations of general ledger accounts.
Compile financial statements monthly, quarterly, and yearly in accordance with GAAP and applicable legal requirements.
Support budget oversight, variance analysis, and forecasting activities.
Analyze financial data to identify trends and present actionable recommendations to leadership.
Detect discrepancies in records and propose corrective actions.
Oversee internal controls to protect company assets and ensure compliance.
Prepare audit documentation and assist with both internal and external audits.
Meet internal and regulatory reporting deadlines.
Identify process improvements in accounting workflows and help implement changes.
Document and maintain internal accounting processes and procedures.
Supervise and mentor staff accountants.

Requirements

Solid grasp of accounting concepts and standards.
Proven experience in financial reporting and analysis.
Strong communication and interpersonal abilities.
Strong analytical and problem-solving capabilities.
Previous leadership or supervisory experience.
Bachelor's degree in accounting or finance is required.
Ability to work effectively both independently and in a team.

Life at C&L Aviation Group

C&L emphasizes a personal approach to aviation, prioritizing customers and team while fostering transparency, trust and service excellence.
Your success and well-being are treated as a priority alongside the quality of work delivered.

A Culture of Trust & Growth

Engaged leadership fosters a collaborative environment where every voice matters, with opportunities for growth in a company that cares.

A Thriving Future

What began as a one-person operation has grown into a 30-year industry leader with more than 200 employees and a 200,000 square foot facility, offering comprehensive aviation services from parts sales to maintenance and refurbishments.

More Than Business

We support local schools, community projects, and families in need, extending service beyond aviation to strengthen the community.

Living in Bangor, Maine

Bangor combines small-town charm with access to scenic trails, waterfront views, vibrant arts, and top schools, making it a great place to call home.

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Financial Controller

Boys and Girls Clubs of Dorchester Dorchester, MA

15d ago

$80k - $90k/yr Full time Accounting Accounts Payable Banking

Accounting Accounts Payable Banking

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Job Description

Reporting to the Chief Financial Officer, the Financial Controller ensures timely and accurate accounting deliverables and close processes while providing financial information to other departments. This onsite role is based in Dorchester, MA.

Responsibilities

Direct the accounts payable and payroll teams to guarantee timely and accurate payments to vendors and staff.
Manage the monthly, quarterly, and annual close cycles and the associated reporting.
Execute month-end and year-end closings, including bank and balance sheet reconciliations, closing journal entries, and posting monthly accruals.
Prepare and review journal entries to ensure completeness and accuracy of financial data.
Supervise monthly reconciliations across all systems, including banking, investments, accounts payable, UKG payroll, Daxko membership and program systems, and Raiser's Edge for development.
Produce and analyze financial statements, management reports, and variance analyses.
Coordinate departmental financial statements and regularly report results to the CFO.
Assist in coordinating and supervising operating cash flow management, including weekly AP payments.
Support the CFO in preparing materials for Board and Finance Committee meetings, including monthly reports, forecasts, and financial presentations.
Assist the CFO with the annual budgeting process.
Oversee Abila MIP configuration and administration, including user access management and GL account creation.
Provide guidance and recommendations to the CFO on issues affecting BGCD.
Ensure proper grant accounting and timely grant reporting.
Assist the CFO with external audits and manage relationships with external auditors.
Develop and continuously improve accounting processes, procedures, and internal controls.
Ensure compliance with current accounting standards and legal requirements.
Lead process improvement initiatives to increase efficiency and accuracy.
Support the CFO with ad hoc reporting.
Assist in preparing reports for required governmental agencies and BGCA, manage transactions and files, and ensure timely preparation of all account reports.
Manage and develop accounting staff and foster a collaborative, high-performance team.
Handle special projects as assigned to support financial objectives.

Requirements

Mission-driven professional eager to contribute to a respected nonprofit organization.
Bachelor's degree in Accounting or Finance, with preference for an accounting degree.
At least five years of relevant experience.
Strong knowledge of GAAP and practical GAAP experience.
Experience in the nonprofit sector, including UG audits, UFR reporting, and 990 reporting.
Knowledge of banking operations, systems, and cash management.
Experience with grant accounting and cost allocation methods is a plus.
Proficiency in Word, advanced Excel, PowerPoint; and Google Workspace (Gmail and Docs).
Experience with Abila MIP is beneficial.
Ability to collaborate effectively within a team.
Strong written and verbal communication skills and meticulous attention to detail.
Strong problem-solving abilities and a proactive, can-do mindset.
Ability to communicate effectively with finance leadership.

Technologies

Abila MIP
UKG
Daxko
Raiser’s Edge
Word
Excel
PowerPoint
Google Email
Google Docs

Compensation

Salary: USD 80,000 - 90,000 per year

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Senior Credit Products Specialist - Private Banking

Flagstar Bank New York, NY

16d ago

$141k - $168k/yr Full time Manager Senior Banking

Manager Senior Banking

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Job Description

This onsite role in New York, NY supports Private Banking by structuring, negotiating, and managing highly complex commercial credit relationships. The position offers an annual salary range of USD 141,299 to 168,468 and emphasizes risk management guidance for the portfolio along with mentorship of junior credit professionals.

Responsibilities

Lead the structuring, analysis, and approval of complex credit transactions, balancing risk with business objectives.
Monitor portfolio risk proactively, identifying industry trends and macroeconomic factors affecting credit quality.
Act as a strategic partner to relationship managers and senior leadership, providing expertise in credit negotiations and deal execution.
Collaborate with clients, legal counsel, and internal teams to structure and negotiate credit agreements.
Provide mentorship to junior credit professionals, training on credit risk best practices and escalating process-improvement opportunities to senior leadership.
Exercise independent judgement to make decisions on the assigned portfolio.
Diagnose and resolve issues affecting the portfolio.
Contribute to special projects and other duties as assigned.
Maintain compliance with regulatory and compliance policies, complete required trainings, and adhere to applicable laws and regulations.

Requirements

Undergraduate Degree (4 years or equivalent) in Finance, Accounting, Economics, or a related field, or 12+ years of equivalent experience.
Minimum 8+ years in commercial credit analysis, structuring, underwriting, portfolio management, and risk analysis.
Deep expertise in structuring and negotiating complex credit agreements.
Strong leadership skills with the ability to influence credit strategy and policy.
In-depth understanding of macroeconomic factors and their impact on credit risk.
Proven ability to manage large portfolios and advise senior executives.
Exceptional communication and stakeholder management skills.
As relevant for the supported line of business, well versed in legal documentation such as Credit Agreements, and positioned to develop junior associates, interact with internal and external legal counsel, and negotiate directly with clients.

Benefits

Medical insurance
Dental insurance
Vision insurance
Life insurance
Disability insurance
Comprehensive leave program

Preferred Qualifications

Master's degree (MBA or CFA) preferred

Job Competencies

Strategic Credit Expertise: Deep knowledge of complex commercial lending structures, industry trends, and economic factors affecting credit risk.
High-Level Risk Oversight: Ability to assess portfolio risk at a macro level, identifying patterns and trends that inform credit strategy.
Client & Executive Engagement: Strong ability to interact with senior leadership, legal teams, and high-profile clients on structuring and negotiating credit agreements.
Deal Structuring & Negotiation: Expertise in negotiating complex loan terms, partnering with legal counsel and senior RMs to finalize agreements.
Leadership & Mentorship: Mentors junior credit professionals, develops talent and fosters a strong credit culture.
Change Management & Innovation: Identifies opportunities for process improvement, technology adoption, and best practice implementation.
Regulatory & Policy Knowledge: Deep understanding of credit policies, compliance standards, and legal considerations in lending.
Executive-Level Communication: Ability to articulate complex credit decisions clearly and persuasively to internal and external stakeholders.
Relationship Building & Collaboration: Demonstrates the ability to build relationships with stakeholders through clear communication, proactive collaboration, and cross-functional insights; aligns efforts with enterprise goals to drive performance.
Client Relationship Leadership: Builds trusted client relationships by identifying needs and delivering tailored solutions to enhance the client experience.
Physical demands (ADA): No unusual physical exertion involved.

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Construction Risk and Insurance Manager

Cobalt Recruitment Mahwah, NJ

16d ago

$125k - $150k/yr Full time Manager Senior Audit

Manager Senior Audit

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Job Description

This role oversees insurance administration, risk management, and legal coordination for construction operations, onsite in Mahwah, NJ.

Responsibilities

Oversee subcontractor insurance compliance, handling a high volume of certificates of insurance (COIs) and endorsements.
Review policies for exclusions, coverage gaps, and contractual alignment.
Coordinate resolution of deficiencies with subcontractors, brokers, and internal teams.
Manage corporate insurance renewals and incident reporting processes.
Support insurance claims, construction litigation, audits, and regulatory inquiries.
Lead risk mitigation initiatives and advise leadership on emerging insurance and regulatory issues.

Requirements

Bachelor's degree or equivalent professional experience
OSHA-30 certification
Solid experience in construction insurance and risk management
Ability to manage high-volume workflows in a fast-paced environment
Proficiency with construction systems; Timberline and Elation experience is a plus

Technologies

Timberline
Elation

Compensation

Salary: USD 125,000 - 150,000 per year

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Experienced Automotive Finance (F&I) Manager for Automotive Dealership

Superior Automotive Group Bentonville, AR

16d ago

$125k - $175k/yr Full time Manager Automotive Banking

Manager Automotive Banking

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Job Description

Why join Superior Automotive Group

On-site, full-time opportunity in Bentonville, AR at our multi-brand dealership, serving BMW, Cadillac, Mazda, and Mercedes-Benz customers. Benefit from a competitive compensation package and a robust benefits program while shaping finance and insurance strategies that support dealership profitability.

Compensation and benefits

Salary: USD 125,000 to 175,000 per year
401(k)
401(k) matching
Health insurance
Dental insurance
Vision insurance
Health savings account
Paid time off
Retirement plan
Employee discount

Responsibilities

Provide exceptional customer service by clearly communicating finance and insurance options and guiding customers through the decision process.
Present and explain financing and insurance products, including extended service contracts, windshield protection, wheel and tire coverage, gap insurance, and other relevant offerings.
Overcome objections through value-based negotiations.
Evaluate credit applications, assess creditworthiness, and secure competitive financing that aligns with the customer's financial situation.
Collaborate with financial institutions and lenders to secure favorable loan terms while maintaining strong partner relationships.
accurately complete all required paperwork and documentation for financing and insurance transactions, ensuring compliance with industry regulations and dealership policies.
Securely manage customer data, financing deals, and insurance contracts using dealership software systems.
Stay up-to-date with industry regulations, legal requirements, and best practices related to finance and insurance operations.
Coordinate with the sales team to ensure a smooth transition from sales agreement to the finance process and closing.

Requirements

Minimum of two years of experience as a Finance & Insurance Manager within the automotive industry.
Comprehensive understanding of finance and insurance products relevant to the automotive sector.
Proven track record of meeting or exceeding sales targets and contributing to dealership profitability.
Excellent communication and interpersonal skills, with the ability to explain complex financial concepts clearly.
Strong negotiation and customer service skills.
Detail-oriented and organized, able to manage multiple tasks and paperwork efficiently.
Knowledge of industry regulations and compliance standards related to finance and insurance transactions.
Proficiency in dealership management software and tools including Dealertrack, Route1, Elead, Vauto, and Darwin.
Bachelor's degree in Finance, Business Administration, or a related field is preferred.

Technology and systems

Technologies used in this role include Dealertrack, Route1, Elead, Vauto, and Darwin.

Position details

Location: Bentonville, AR (onsite)

Job type: Full-time

Experience preferences: Finance 1 year, Sales 1 year, Sales management 1 year (preferred)

Education preference: Bachelor's degree in Finance, Business Administration, or a related field (preferred)

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Lead Wealth Advisor

Hapanowicz Financial Pittsburgh, PA

16d ago

$115k - $200k/yr Full time Advisor Client Relations Client Service

Advisor Client Relations Client Service

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Job Description

Hapanowicz Financial offers a comprehensive benefits package for a Lead Wealth Advisor in Pittsburgh, onsite. This role centers on delivering personalized financial guidance, ongoing advisory services, and holistic planning for individuals and families.

Benefits

401(k)
401(k) matching
Dental insurance
Flexible schedule
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Professional development assistance
Retirement plan
Tution reimbursement
Vision insurance

Position overview

Lead wealth advisor delivering personalized financial guidance and ongoing advisory services to clients, focusing on comprehensive financial planning, investment strategy, and tax planning.

Responsibilities

Create tailored financial plans that align with clients' short-term and long-term goals.
Advise on investment options based on clients' objectives and risk tolerance.
Regularly monitor client portfolios and adjust holdings to stay aligned with goals and market conditions.
Guide retirement, estate, tax, and education planning by assessing needs and proposing solutions.
Schedule and conduct periodic meetings to review plans and client circumstances.
Explain complex financial concepts in accessible terms to help clients make informed decisions.
Maintain current knowledge of regulations and ensure client interactions and transactions comply with legal requirements.
Coordinate with tax advisors, estate planners, and other professionals to provide comprehensive advice.
Address client questions and concerns promptly with accurate information.

Requirements

In-depth knowledge of financial planning, investment strategies, retirement planning, tax laws, and estate planning.
Strong analytical abilities to analyze financial data, assess risk, and develop effective strategies.
Excellent verbal and written communication skills to clearly convey complex concepts.
Strong interpersonal skills to build trust and rapport with clients and understand their goals.
Thorough understanding of relevant financial regulations and compliance requirements.
Problem-solving skills to identify issues and develop tailored solutions for unique situations.
Familiarity with financial planning software, investment platforms, and technology tools to enhance efficiency and service quality.