Compliance SpecialistOxford Financial Group, Ltd. • Cincinnati, OH, United States
Compliance Specialist
Oxford Financial Group, Ltd. • Cincinnati, OH, United States
job_description.job_card.variable_days_ago
serp_jobs.job_preview.job_type
- serp_jobs.job_card.full_time
- serp_jobs.filters_job_card.quick_apply
job_description.job_card.job_descriptionParticipate in external audits and regulatory examinations, coordinating with internal departments and external resources, and compiling and preparing documentation and responses Facilitate testing activities led by Compliance service provider Develop and conduct internal testing and analyses, document findings and formulate recommendations Work cross-functionally to support AI implementation efforts, monitoring for responsible and compliant use of AI in alignment with evolving legal and ethical frameworks Assist in ascertaining training needs and help develop training based on gaps identified through compliance monitoring and testing Assist Compliance Manager with the oversight of testing program led by Compliance service provider Act as a compliance generalist, contributing wherever needed with flexibility, curiosity, and ownership Communicate and socialize compliance program objectives to business partners to foster a culture of internal client service Remain up-to-date on relevant regulatory changes and industry best practices to identify and mitigate potential compliance risks Support the CCO and Compliance Manager on compliance, corporate projects and various reporting needs Assist with training for Compliance team members and Oxford associates regarding systems, regulatory functions and processes Implement projects and assignments as directed by the CCO and / or Compliance Manager Bachelor's degree in Business, Finance, Economics, or a related field is preferred; however, a combination of education, job specific certifications such as a Series 65 and relevant experience will also be considered Seven to ten years of regulatory compliance or risk management experience at a broker-dealer or RIA. Demonstrated working knowledge of the Investment Advisers Act of 1940 and SEC regulatory framework In-depth understanding of relevant regulations, including but not limited to, anti-money laundering (AML), data privacy and securities laws Extensive experience reviewing marketing and advertising for compliance regulations Proven ability to thrive in a fast-paced, deadline-driven environment Demonstrated flexibility and a proactive willingness to take on new and diverse responsibilities as the firm needs evolve Display a strong desire to learn and deliver high-quality results Effective at collaborating within a team setting while also capable of working independently Proficient in Microsoft Office Suite, with knowledge of Excel Strong attention to detail and ability to analyze complex information Must have a positive, professional demeanor with the utmost respect for confidential matters. Must have excellent written and verbal communication skills with strong interpersonal skills. Extensive computer usage 100% on-site Travel to the Indianapolis office monthly
POSITION SUMMARY
The Compliance Specialist plays a pivotal role in ensuring Oxford's adherence to regulatory requirements, particularly those set by the SEC, by providing comprehensive oversight of marketing material reviews, compliance testing and risk management efforts. This position also contributes to the design and enhancement of compliance analytics and regulatory reporting processes. Working closely with the Chief Compliance Officer and the Compliance Manager, supporting key functions across compliance, including program monitoring, examinations, associate training, and implementation of new regulatory initiatives.
DUTIES & RESPONSIBILITIES
Compliance
- Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
- Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
- Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
- Contribute to the annual 206(4)-7 IA review, Form ADV updates, and ongoing RIA compliance obligations
- Lead the execution of compliance program objectives for assigned area, products / services, and applicable regulations
- Working with the Compliance Manager, oversee the compliance monitoring program and review activity to ensure it falls within established risk control limits
- Maintain compliance calendars and logs
- Coordination of associate onboarding and offboarding, including compliance training and Code of Ethics certification
- Monitor ongoing Code of Ethics adherence
- Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
- Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
- Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
Exam, Audit and Testing
General Compliance
QUALIFICATIONS
WORKING CONDITIONS
serp_jobs.job_alerts.create_a_job
Compliance Specialist • Cincinnati, OH, United States
Job_description.internal_linking.related_jobs
Join Point Management / Shangri-La as a Full-Time Compliance Specialist in Cincinnati, Ohio, and become an integral part of our mission-driven team.
This onsite role offers a unique opportunity to w...serp_jobs.internal_linking.show_more
Provider Integration Specialist.Please review the job description below and contact me ASAP if you are interested.Employee benefits include, but are not limited to, health insurance (medical, denta...serp_jobs.internal_linking.show_more
Bachelor's or Master's degree in Special Education, active Special Education Teacher license and minimum 1+ years Special Education Teacher experience required.
Applicants who do not meet th...serp_jobs.internal_linking.show_more
The Night Auditor is responsible for the preparation and disposition of all Night Audit work.Responsible for the front desk operation during the overnight shift (Typically 11pm-7am).Primary respons...serp_jobs.internal_linking.show_more
Accounts Receivable Specialist.Location : West Chester, Cincinnati, Ohio.Reports to : Director of Accounting, Ventures & Capital.
A&F Souvenir is looking for a detail-oriented accounting team ...serp_jobs.internal_linking.show_more
Since founded in 1904, Union Savings Bank has been serving the local community by promoting responsible home ownership through prudent lending.
We are headquartered in Cincinnati, Ohio, where we beg...serp_jobs.internal_linking.show_more
Apartment Management Consultants (AMC) is a leader in the property management industry.Our passion for helping people, creating authentic relationships, and common values has established a working ...serp_jobs.internal_linking.show_more
Location : Cincinnati, Ohio 45226 (Onsite).AM to 4 : 00 PM Central with a 30-minute unpaid break.Zero absences are allowed during the training period.
Ability to learn from mistakes.Assist in implement...serp_jobs.internal_linking.show_more
Tax & ESOP Compliance Specialist.We are seeking an experienced and detail-oriented Tax and ESOP Compliance Administrator to join our Finance team.
This role is an exciting opportunity for a tax ...serp_jobs.internal_linking.show_more
This position evaluates proposed solicitations for inclusion goal-setting, reviews bids and proposals for attainment of applicable inclusion goals, monitors contracts for compliance, and evaluates ...serp_jobs.internal_linking.show_more
Documentation Control Specialist We are seeking a highly organized and detail-oriented Documentation Control Specialist with experience in the Electronics Manufac...serp_jobs.internal_linking.show_more
Renuity is seeking a detail-driven Onboarding Specialist to support our 1099 contractor hiring process with a strong focus on compliance and regulatory requirements.
This role ensures that subcontra...serp_jobs.internal_linking.show_more
Business Process Compliance Specialist II.Cintas is seeking a Business Process Compliance Specialist II who will be responsible for working and strategizing with the Distribution Centers and Field ...serp_jobs.internal_linking.show_more
Compliance Strategy And Education.Lead multiple efforts to establish strategy and collaborate with Kroger Health leadership to design and maintain effective compliance programs for areas of regulat...serp_jobs.internal_linking.show_more
GE Aerospace is seeking a highly experienced and motivated Site Compliance Audit Leader to design, lead, and continuously improve our global site compliance audit program.This critical role is resp...serp_jobs.internal_linking.show_more
Apartment Management Consultants (AMC) is a leader in the property management industry.Our passion for helping people, creating authentic relationships, and common values has established a working ...serp_jobs.internal_linking.show_more Food Labeling Regulations Expert.Provide expertise in the area of food labeling regulations as it relates to reviewing and approving corporate brand labels for nutritional, health / structure / functio...serp_jobs.internal_linking.show_more 
Americas Delivery Center - Financial Crimes Compliance Analyst.Protiviti's Americas Delivery Center is seeking an Analyst to join our financial crimes compliance competency.Embracing Protiviti's vi...serp_jobs.internal_linking.show_more
Compliance Specialist
Herban Quality Control / Point Management • Cincinnati, OH, USA
serp_jobs.job_card.full_time
serp_jobs.filters_job_card.quick_apply
serp_jobs.last_updated.last_updated_variable_days
Provider Integration Specialist
Pyramid Consulting, Inc • Norwood, OH, United States
serp_jobs.job_card.temporary
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
OH Virtual SPED (Intervention Specialist) Role | 25 / 26 School Year Need
VocoVision • Hamilton, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Night Auditor
Athena Hospitality Group • Dry Ridge, KY, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Accounts Receivable Specialist
A&F Souvenir • West Chester, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_1_day • serp_jobs.job_card.promoted
Retirement Specialist
Union Savings Bank • Loveland, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Compliance Manager (Cincinnati)
Apartment Management Consultants • Cincinnati, OH, US
serp_jobs.job_card.part_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Fraud Specialist
eTeam Inc • Cincinnati, Ohio, United States
serp_jobs.job_card.temporary
serp_jobs.filters_job_card.quick_apply
serp_jobs.last_updated.last_updated_30
Corporate Tax Compliance Specialist
Finit • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
CONTRACT COMPLIANCE SPECIALIST (NON-COMPETITIVE)
Government Jobs • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Documentation Specialist
MBS Professional Staffing • Batavia, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Onboarding Compliance Specialist - 1099
Renuity • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Business Process Compliance Specialist II
Cintas • Mason, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
SR COMPLIANCE LEADER- KROGER HEALTH
Kroger • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Audit Leader - Site Compliance
GE Aerospace • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Compliance Manager
Apartment Management Consultants • Cincinnati, OH, United States
serp_jobs.job_card.part_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
REGULATORY COMPLIANCE SPECIALIST
Kroger • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Americas Delivery Center - Financial Crimes Compliance Analyst
Protiviti • Cincinnati, OH, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted