Cetera Trust Company (CTC) is an affiliate of Cetera Financial Group, a premier wealth advisory organization specializing in providing personalized investment management services. A key component of this role is developing strong working relationships with the financial professionals who partner with Cetera Trust to service their mutual clients and stakeholders. The Trust Compliance Officer manages the compliance duties and responsibilities for CTC and ensures that all activities adhere to laws, regulations and internal policies. The Trust Compliance Officer will maintain effective compliance policies and procedures to minimize risk and promote compliance within the organization.  Success is defined primarily through maintaining the highest levels of compliance, best practices, and adhering to all applicable laws and regulations.    What You Will Do:  Manage an effective compliance program that adheres to all federal and state laws, rules and regulations....

About Integrity: A leading, fast-growing national platform in the insurance, wealth, and retirement services sector is seeking a senior regulatory and compliance executive to lead the regulatory compliance and enterprise risk functions for its multi-entity, expanding wealth management business. This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more. Job summary: This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities. In this highly visible leadership role, the executive will drive compliance oversight, guide regulatory and risk strategy; interface directly with regulators; oversee examinations and filings; identify and lead risk mitigation initiatives; oversee all required regulatory filings; and partner closely...

The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications, regulatory requests and examinations and other departmental projects as assigned by management staff. At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we...