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Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI
Manage the NFA/CFTC Compliance Program and related activities Assist in reviewing NFA/CFTC regulatory developments with Compliance and Legal partners to ensure impact reviews and assessments are conducted Complete international and domestic regulatory filings and reporting Work effectively with Compliance and business line subject matter experts to implement and maintain
Posted 1 day ago
Bank of Wisconsin Dells
- Wisconsin Dells, WI
We seek an experienced Compliance Officer to join our BWD team. This role manages the bank's compliance programs including policies, procedures, systems monitoring, technology based controls, compliance training, as well as compliance monitoring and testing. In addition, the Compliance Officer facilitates both internal and external reviews, audits, and exams. To be consid
Posted Today
Franklin Energy Services
- Indianapolis, IN / Madison, WI / Fishers, IN / 3 more...
As a combined organization, and is undertaking what is perhaps the central challenge of our times to help drive the transition to net zero carbon economies while ensuring that no working families, businesses, or local communities are left behind. To do that, we are the utility industry's top provider of turn key energy efficiency and grid optimization programs and product
Posted 14 days ago
Compliance Officer Job Locations US WI Waunakee # of Openings 1 Category Compliance Overview We are seeking a self motivated and team oriented professional to join our Waunakee office as a Compliance Officer ! This position will be responsible for assisting in monitoring the effectiveness of the compliance program by performing various tasks to ensure the bank maintains a
Posted 6 days ago
Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI / 1 more...
Support the centralized monitoring program by performing risk based testing and oversight reviews, electronic communication monitoring, and market abuse testing. Identify, escalate, address, and validate potential policy violations identified through monitoring activities. Partner with business and compliance colleagues to enhance and develop compliance controls and new c
Posted 7 days ago
Allspring Global Investments
- Boston, MA / Menomonee Falls, WI / Charlotte, NC
Develop strong relationships with key business and risk partners, while providing appropriate and timely responses to business line and other inquiries. Maintain an understanding of Allspring's operations and regulatory guidance/expectations Test, draft, and provide advice and guidance on 38a 1 and 206(4) 7 policies & procedures, as well as regulations Conduct third party
Posted 9 days ago
Franklin Energy Services
- Green Bay, WI / Neenah, WI
We provide our utility clients with a wide range of energy saving and renewable energy solutions. From individual utility customers and construction contractors, to utilities, municipalities, and government bodies, our clients have come to depend on our customized energy efficiency programs to help them to meet their energy saving goals. The Energy Advisor II is responsib
Posted 12 days ago
An Assistant City Attorney assigned to the City Attorney's Office, Litigation Section engages in 42 U.S.C. 1983 civil rights defense of City agencies, departments, and their employees that involve federal or state court proceedings. Essential Functions Litigation Handle written discovery and motion practice in federal court. Evaluate case value and make settlement recomme
Posted 7 days ago
Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI / 1 more...
Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements. Experience with working with all levels of the organization to provide the business compliance risk expertise and consulting for projects and initiatives. Lead and ma
Posted 21 days ago
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