- Guardian Life (Indianapolis, IN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **The Role at a Glance** We are excited to bring on an accomplished ** Compliance Consultant** to our Retirement Plan Services/Product team to work in our Fort Wayne… more
- Lincoln Financial (Indianapolis, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- Atria Wealth Solutions (Marion, IN)
- …registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of ... To learn more about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a stable track record of… more
- Charles Schwab (Indianapolis, IN)
- …Nexis. + Bachelor's Degree is a plus (but not required). + Experience with a securities broker - dealer is a plus (but not required). + Familiarity with bank and ... filing regulatory reports. All investigations must be conducted in compliance with firm policies and applicable regulations. What You...broker - dealer business practices is a plus (but… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... shareholder servicing agreements and distribution-related contracts, including those with broker -dealers, retirement plan administrators and other intermediaries. * Drafting,… more
- Lincoln Financial (Indianapolis, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... participant communications - in partnership with external administration vendor. * Ensure compliance with applicable regulations such as IRC 409A and coordinate with… more
- Lincoln Financial (Indianapolis, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... of business processes, risks, and control objectives. + Carry out duties in compliance with all state and federal regulations and guidelines. Comply with all company… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... tied to current business requirements. + Leads the development of risk mitigation and compliance strategies to ensure that the IT portfolio adheres to compliance … more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Names Rule requirements. * Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and… more