Compliance Officer Career Research and Resources
Administrative Concepts
Pre-approvals, initial visits, site inspections, safety training and Worker's Compensation issues. Also accident investigations.
Avg. Salary: $0 · Company Rank: Not Available
Resource Management, Inc.
Write safety plans and make site inspections, do safety training, and handle Worker's Compensation issues.
Avg. Salary: $0 · Company Rank: Not Available
KAI Consulting
Lead the team which provides information security and regulatory compliance guidance and consulting to healthcare technology providers.
Avg. Salary: $135,000 · Company Rank: 4.0 out of 5
Trustwave
Managing both the Compliance Solutions team delivering professional services to existing clients of the Trustwave GRC product, and the customer product support team. Product Management contributor for vision and design of the Trustwave GRC software product.
Avg. Salary: $135,000 · Company Rank: 3.0 out of 5
ControlPath/Accuvant
Professional Services Director to successfully deploy ControlPath to multiple clients in a variety of markets. Responsible for customer support, QA/Testing, documentation and training departments, including creating the teams, hiring and managing employees. Product Management responsibilities for the ControlPath Automated Risk and Compliance Tool.
Avg. Salary: $135,000 · Company Rank: 4.0 out of 5
National City Bank
Bank officer responsible for Information Protection (Security).
Avg. Salary: $135,000 · Company Rank: Not Available
Sprott Global Resource Investments/Sprott Asset Management USA
Provide strict enforcement of all FINRA and SEC rules and regulations and Sarbanes-Oxley Act and PATRIOT Act compliance. Solely responsible for SEC, FINRA and State regulatory notifications/audits/queries, written supervisory procedures and code of ethics, KYC/CIP reviews, BSA/AML/OFAC compliance, SAR submissions, business continuity plans, annual compliance meetings and attestations, submission and investigation of complai...
Avg. Salary: $100,000 · Company Rank: Not Available
NEXT Financial Group, Inc.
Advertising Analyst (February 2010 – Present) • Review and approve advertisements, sales literature, websites, business cards, sales correspondence submitted by the representatives and Division Managers. • Advise representatives and Division Managers of modifications required to meet internal and external requirements or regulations. • File materials with FINRA advertising regulation departm...
Avg. Salary: $46,735 · Company Rank: Not Available
Nova 401(k) Associates
• Obtained necessary documentation to install new plans. • Adhered to general compliance rules and regulations as they pertained to the IRS and Department of Labor. • Corresponded with numerous parties to coordinate the implementation of 401(k) plans.
Avg. Salary: $46,735 · Company Rank: Not Available
Kellog Brown and Root
To conduct internal quality audits by examining and evaluating objective evidence applicable to the quality system and consistent with specified requirements and reference documents. Locate variances to specified requirements and reference documents and notate findings to prepare reports for disbursement. Prioritize audits to insure scheduled audits are completed in a manner consistent with company requirements.
Avg. Salary: $110,000 · Company Rank: 4.0 out of 5
