Auto-apply to these compliance jobs

The Compliance Lead, Regulatory Compliance supports EQT's enterprise compliance framework by leading execution of key regulatory compliance activities throughout the organization. This role coordinates regulatory tracking, impact assessment, and change management efforts, ensuring that new or evolving requirements are efficiently assessed, communicated, and integrated into business operations. Working cross-functionally with Legal, Operations, Upstream, Midstream, Environmental, and Safety teams, this position helps drive consistency, strengthen controls, and reinforce a culture of proactive compliance across the organization. The Compliance Lead, Regulatory Compliance responsibilities include but are not limited to: Maintain EQT's regulatory repository and compliance control documentation to ensure requirements remain current, traceable, and actionable. Track and assess regulatory developments affecting upstream and midstream operations, as well as the domestic and international supply of natural gas to customers. Lead the regulatory impact assessment process, coordinating input from business stakeholders to evaluate applicability and operational impact. Partner with compliance champions and process owners to embed regulatory obligations into procedures, training, and monitoring activities. Support the development and execution of remediation and control improvement plans for identified compliance risks or findings. Analyze preventable notices of violation (NOVs) and similar enforcement actions to identify root causes and drive sustainable corrective actions. Coordinate compliance change management activities, ensuring updates to requirements are communicated, documented, and operationalized. Provide data-driven insights to inform compliance reporting, audits, and management reviews. Contribute to continuous improvement initiatives by identifying efficiency opportunities in compliance monitoring, documentation, and reporting. Required Experience and Skills: Bachelor's degree in law, engineering, environmental science, business, or a related discipline. 7-10 years of progressive regulatory compliance experience in the natural gas, midstream, or broader energy sector. Proven ability to interpret, implement, and operationalize requirements from agencies such as FERC, PHMSA, EPA, OSHA, and state-level regulators. Experience maintaining compliance repositories, impact assessments, or control frameworks. Strong analytical and problem-solving skills, with the ability to assess regulatory risk and drive remediation activities. Excellent communication and collaboration skills; able to influence and coordinate across diverse teams and functional areas. Demonstrated integrity, judgment, and discretion when managing sensitive or confidential information. Skilled in managing multiple priorities and adapting to a dynamic regulatory environment. Proficiency with GRC platforms, data analytics, or regulatory tracking systems preferred. Preferred Experience and Skills: Advanced degree (JD, MBA, or master's) or professional certification (CCEP, CRCM, CPCU, CAMS). Experience supporting or enhancing compliance management systems and regulatory reporting tools. Strong understanding of regulatory frameworks and enforcement practices relevant to the natural gas industry. Prior experience coordinating compliance change management or regulatory implementation projects. Effective at developing presentations and reports for business and regulatory audiences. Ability to mentor junior compliance staff or serve as a subject matter resource within the compliance program. Remote work is being considered for this role excluding the following states: California, Connecticut, Delaware, Illinois, Indiana, Louisiana, Massachusetts, Michigan, New Jersey, New York, and Tennessee unless willing to relocate.

Our Purpose Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential. Title and Summary Manager, Risk & Compliance - Consumer Compliance and AML -Open Banking The Services team and solutions fuel growth for partners globally by providing cutting edge services in the areas of Customer Acquisition and Engagement, Security Solutions, Business and Market Insights, and Open Banking. Focused on thinking big and scaling fast, our agile sales team is responsible for end-to-end solutions for a diverse global customer base including retailers, airlines, hotels, tourism agencies, public sector entities, restaurants, consumer goods and telecom companies. Leveraging Mastercard's global payments network, our account-to-account business provides domestic and cross-border solutions to enable the frictionless future of payments. We help our customers leverage rich messaging functionality and applications to capture business and consumer payment flows both domestically and cross-border; offer solutions to connect, enable, and safeguard the Open Banking ecosystem, and protect banks and their customers from financial crime. All this is supported by account-based data insights and consulting to help our clients optimize their payment strategies across the world. The Open Banking team is looking to expand its product offerings on a global basis. At Mastercard we are committed to the highest standards of ethics and integrity. Ethics and Compliance are at the core of our company values and are essential to both the personal success of every Mastercard employee and to the success of the company. The Compliance Manager, Open Banking, Risk and Compliance, will be responsible for supporting our Consumer products, Consumer Reporting Agency requirements and conducting Anti-Money Laundering (AML) related activities as part of the customer monitoring and investigation process. Working under general supervision of the Director of Compliance, this role will leverage an existing understanding of Consumer Compliance & AML/CFT practices and data analysis skills, including extracting and preparing data, drawing conclusions, performing complex research, assessing risk factors and supporting other strategic compliance activities. Role Align compliance strategy and priorities with Senior Management and Board Assess Compliance Risk Appetite and advise on appropriate actions to address areas outside of risk appetite through review of risks, controls, MIS and operational dashboards Partner with Sales, product teams and functional partners to assess consumer financial & AML risks, design and timely implementation of compliance controls Represent Consumer Compliance on critical regulatory matters. Collaborate with internal partners including Legal, Regulatory, Technology, and others to address compliance issues Lead investigations of financial crime or breaches of compliance programs and support High risk customer due diligence escalations and risk assessment activities Lead design, implementation and ongoing operation of compliance systems and tools Support transaction monitoring systems, including data acquisition, development of new rules, rule optimization, and machine learning integration Represent Consumer Compliance on critical regulatory matters. Collaborate with internal partners including Legal, Regulatory, Technology, and others to address compliance issues Drive development of consumer compliance & AML training and guidance materials for internal and external stakeholders and partners Maintain subject matter expertise and ongoing awareness of requirements of applicable consumer laws and industry best practices (Including but not limited to GLBA, UDAAP, FCRA, AML and other related laws and regulations) All About You Knowledge of Compliance laws, rules, regulations, risks and typologies Experience in banking or financial operations, payments industry, risk management or compliance related field Proficiency in consumer regulations required (e.g., FCRA, UDAAP, GLBA, etc.) and BSA/AML/OFAC Knowledge of Compliance Risk & Controls concepts and functions within financial services Ability to interpret regulations and guidance to assess impact and develop practical operational procedures to ensure ongoing compliance Adaptable to unexpected changes in expectations or requirements Demonstrate a high degree of self-motivation, independence, organization, time management, and attention to detail Knowledge and experience of Open Banking products is a plus Compliance certification, e.g. CAMS and/or CRCM or industry equivalent preferred Mastercard is a merit-based, inclusive, equal opportunity employer that considers applicants without regard to gender, gender identity, sexual orientation, race, ethnicity, disabled or veteran status, or any other characteristic protected by law. We hire the most qualified candidate for the role. In the US or Canada, if you require accommodations or assistance to complete the online application process or during the recruitment process, please contact reasonable_accommodation@mastercard.com and identify the type of accommodation or assistance you are requesting. Do not include any medical or health information in this email. The Reasonable Accommodations team will respond to your email promptly. Corporate Security Responsibility All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must: Abide by Mastercard's security policies and practices; Ensure the confidentiality and integrity of the information being accessed; Report any suspected information security violation or breach, and Complete all periodic mandatory security trainings in accordance with Mastercard's guidelines. In line with Mastercard's total compensation philosophy and assuming that the job will be performed in the US, the successful candidate will be offered a competitive base salary and may be eligible for an annual bonus or commissions depending on the role. The base salary offered may vary depending on multiple factors, including but not limited to location, job-related knowledge, skills, and experience. Mastercard benefits for full time (and certain part time) employees generally include: insurance (including medical, prescription drug, dental, vision, disability, life insurance); flexible spending account and health savings account; paid leaves (including 16 weeks of new parent leave and up to 20 days of bereavement leave); 80 hours of Paid Sick and Safe Time, 25 days of vacation time and 5 personal days, pro-rated based on date of hire; 10 annual paid U.S. observed holidays; 401k with a best-in-class company match; deferred compensation for eligible roles; fitness reimbursement or on-site fitness facilities; eligibility for tuition reimbursement; and many more. Mastercard benefits for interns generally include: 56 hours of Paid Sick and Safe Time; jury duty leave; and on-site fitness facilities in some locations. Pay Ranges Salt Lake City, Utah: $103,000 - $165,000 USD

2026 Spring Part Time Undergraduate Compliance Engineer Co-op A Day in Your Life at MKS: As a Compliance Engineer Co-op at MKS Inc., you will partner with the Global Product Compliance team to assess product BOMs for environmental compliance and execute regulatory compliance activities for MKS product lines nationally and internationally. In this role, you will report to the Director Operations, Compliance. Co-op Program Overview: 6-month co-op assignment within a functional area of MKS Instruments that provides students a comprehensive and engaging experience from before your program starts to after the program ends Full time or part time commitment Meaningful work and project assignments Networking opportunities with peers and executives Exposure to different divisions of the business Understanding of MKS Instruments' commitment to culture & belonging Co-op Term: This is a 6-month co-op beginning in January 2026. Candidates must be available for the entire duration of the assignment. Co-Op Location: This co-op is located in Wilmington, MA, Broomfield, CO, Portland, OR, or Denver, CO. You Will Make an Impact By: Closely partnering with compliance engineers and product development teams globally to assess environmental compliance of products worldwide Data mining product BOMs for per- and polyfluoroalkyl substances (PFAS) Participating in project/product discussions and responding to customer requests for documentation Preparing Declarations of Conformity and product environmental attestations Working with third-party laboratories to schedule and support compliance testing activities Generating training presentations and company-wide process/procedure documentation. Work with both domestic and international teams on product compliance activities relating to new product development Skills You Bring: Enrolled in a Bachelor's Degree program in Material Science, Environmental Engineering, Mechanical Engineering, Electrical Engineering, or other relevant majors Preferred Skills: Knowledge of EPA TSCA, PFAS, RoHS, REACH, POP, FCC, CE, KC Proficient in Microsoft applications including Excel calculations such as word and excel Python database coding familiarity, or similar programming language Physical Demands and Working Conditions: Perform activities such as sitting, standing, or typing for extended periods of time This co-op is open to part time, flexible hours 25-40 flexible hours per week. Full time is preferred. Must be able to communicate information and ideas so others will understand Must be able to exchange accurate information with both internal and external customers Operates in a professional office environment Constantly operates a computer and other office productivity machinery. Compensation and Benefits: Hourly Pay Range: $25.00 to $32.00 per hour. This range is a good faith estimate of the expected salary range for this position, based on a wide range of factors including qualifications, experience and training, operational and business needs and other considerations permitted by law. At MKS, it is not typical for an individual to be hired at or near the top of the range for the role. Benefits: MKS offers a benefits package for interns/co-ops working at least 20 hours per week, including 11 paid holidays, sick time, and 15 paid vacation days accrued on a biweekly basis. MKS is an equal opportunity employer, including disability, veteran status and all categories protected by law. Please review our EOE statements for additional details. Globally, our policy is to recruit individuals from wide and diverse backgrounds. However, certain positions require access to controlled goods and technologies subject to the International Traffic in Arms Regulations (ITAR) or Export Administration Regulations (EAR). Applicants for these positions may need to be "U.S. persons." "U.S. persons" are generally defined as U.S. citizens, noncitizen nationals, lawful permanent residents (or, green card holders), individuals granted asylum, and individuals admitted as refugees. MKS is committed to working with and providing reasonable accommodations to qualified individuals with disabilities. If you need a reasonable accommodation during the application or interview process due to a disability, please contact us at: accommodationsatMKS@mksinst.com . #LI-DNI Globally, our policy is to recruit individuals from wide and diverse backgrounds. However, certain positions require access to controlled goods and technologies subject to the International Traffic in Arms Regulations (ITAR) or Export Administration Regulations (EAR). Applicants for these positions may need to be "U.S. persons." "U.S. persons" are generally defined as U.S. citizens, noncitizen nationals, lawful permanent residents (or, green card holders), individuals granted asylum, and individuals admitted as refugees. MKS Inc. and its affiliates and subsidiaries ("MKS") is an affirmative action and equal opportunity employer: diverse candidates are encouraged to apply. We win as a team and are committed to recruiting and hiring qualified applicants regardless of race, color, national origin, sex (including pregnancy and pregnancy-related conditions), religion, age, ancestry, physical or mental disability or handicap, marital status, membership in the uniformed services, veteran status, sexual orientation, gender identity or expression, genetic information, or any other category protected by applicable law. Hiring decisions are based on merit, qualifications and business needs. We conduct background checks and drug screens, in accordance with applicable law and company policies. MKS is generally only hiring candidates who reside in states where we are registered to do business. MKS is committed to working with and providing reasonable accommodations to qualified individuals with disabilities. If you need a reasonable accommodation during the application or interview process due to a disability, please contact us at: accommodationsatMKS@mksinst.com . If applying for a specific job, please include the requisition number (ex: RXXXX), the title and location of the role

At St. Jude Children’s Research Hospital, every role contributes to our mission of advancing cures and saving children. The Compliance Program Administrator for International Compliance plays a vital part in safeguarding the integrity of our global collaborations and research. This position leads to the development, implementation, and oversight of international compliance programs, including trade compliance areas such as export controls, sanctions, antiboycott laws, and anti-bribery/anti-corruption initiatives. The role ensures adherence to U.S. and international regulations while serving as a trusted resource for faculty, staff, and leadership. Responsibilities include implementing policies and training programs, conducting audits and monitoring activities, advising on complex compliance matters, and partnering on risk management strategies. Through this work, you help protect St. Jude’s commitment to ethical practices and scientific excellence—so that together, we can continue to make discoveries that change lives worldwide. Key Responsibilities Program Leadership & Compliance Oversight Direct St. Jude ’s international compliance program s , including policy development, implementation, and continuous improvement. Serve as the primary point of contact for export control s, sanctions, restricted party screenings, antiboycott laws, anti-bribery/anti-corruption programs, and general international compliance questions. Manage risk assessment processes, conduct periodic reviews, and ensure compliance program effectiveness. ​ Regulatory Guidance & Determinations ​ Provide export classifications and jurisdiction determinations for technology, equipment, software, and materials. Assess eligibility for license exemptions and exceptions; prepare technology control plans when . Advise on applicability of the Fundamental Research Exclusion and other regulatory provisions. Training & Education Develop and maintain comprehensive international compliance training programs, including in-person sessions, online modules, and workshops. Ensure internal websites and resources remain current and accessible. Act as a resource for faculty, researchers, and staff engaged in export-controlled projects. Collaboration & Advisory Role Partner with internal offices (e.g., Grants and Sponsored Programs, Legal , Global Pediatric Medicine ) to provide guidance on proposals, awards, and agreements. Review St. Jude -related documents such as NDAs, MTAs, licensing agreements, and visa applications for export compliance considerations. Advise St. Jude on trade compliance, including export and import control s , sanctions and other applicable laws and institutional policies. Government & External Relations M anage relate correspondence with U.S. government agencies regarding , including registrations, licenses, classification requests, and technical assistance agreements. Represent St. Jude in national organizations such as the Association of University Export Control Officers (AUECO) and attend relevant continuing education sessions. Monitoring & Continuous Improvement Track and analyze regulatory changes impacting international compliance. Identify and implement new tools, systems, and efficiencies to strengthen compliance efforts. Maintain auditable records related to all areas of assigned work. Qualifications Minimum Education and/or Training: Bachelor's degree in relevant field . J.D. or advanced degree in science, engineering, or related field. Minimum Experience: Minimum Requirement: 5+ years of directly applicable compliance experience (e.g., governance, auditing and monitoring, training, risk assessment, investigation of compliance concerns and action recommendation). Prior compliance program management experience. Proven performance in earlier role. Preferred Qualifications: Comprehensive knowledge of ITAR, EAR, OFAC, FCPA, and other related federal regulations. Acumen to conduct research, in partnership with legal teams, into global regulations that apply to St. Jude’s international operations . Proficiency in compliance software tools (e.g., restricted party screening tools, shipping tools) , familiarity with research administration systems , a nd experience with federal export control systems including SNAP-R and ACE. Experience in a biomedical research environment or an academic medical center. Knowledge of cybersecurity principles and international research collaboration risks. Experience advising on complex and nuanced international compliance matters. People management experience a plus. Licensure, Registration and/or Certification Required by SJCRH Only: One of the following licenses/certifications must be obtained within 2 years of employment: RHIA: Registered Health Information Administrator. CHC: Certified in Healthcare Compliance. CHRC: Certification in Healthcare Research Compliance. CHPC: Certification in Healthcare Privacy Compliance. CCEP/CCEP-I: Certified Compliance & Ethics Professional/Certified Compliance & Ethics Professional- International. CCS: Certified Compliance Specialist. CPCO: Certified Professional Compliance Officer. CCP: Certified Compliance Professional. CIPP: Certified Information Privacy Professional, CQA: Certified Quality Auditor, CQE: Certified Quality Engineer, or other relevant license/certification. (LC: RN TN) Must possess a current Tennessee State Board of Nursing license if primary residence is Tennessee or a Nurse Licensure non-Compact state, (LC: RN ARK or RN Miss) Must possess a current State Board of Nursing license in the state of primary residence if the state is a Nurse Licensure Compact state. (LC: NBCRNA) Certification by National Board of Certification and Recertification of Nurse Anesthetists, (LC: APN-TN) Must possess a current Advanced Practice Nurse License issued by the Tennessee State Board of Nursing, (LC: PHARM-TN) Licensure by the Tennessee State Board of Pharmacy, (LC: PTCB-PTECH) Pharmacy Technician Certification by the Pharmacy Technician Certification Board (PTCB). CIA: Certified Internal Auditor. Preferred Certifications: Certified U.S. Export Compliance Officer (CUSECO) or Certified Sanctions and Export Control Professional (CSECP). Certified Compliance & Ethics Professional – International. CHC: Certified in Healthcare Compliance. CHRC: Certification in Healthcare Research Compliance. CHPC: Certification in Healthcare Privacy Compliance. Compensation In recognition of certain U.S. state and municipal pay transparency laws, St. Jude is including a reasonable estimate of the compensation range for this role. This is an estimate offered in good faith and a specific salary offer takes into account factors that are considered in making compensation decisions including but not limited to skill sets, experience and training, licensure and certifications, and other business and organizational needs. It is not typical for an individual to be hired at or near the top of the salary range and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current salary range is $86,320 - $154,960 per year for the role of Compliance Program Administrator- International Compliance. Explore our exceptional benefits ! St. Jude is an Equal Opportunity Employer No Search Firms St. Jude Children's Research Hospital does not accept unsolicited assistance from search firms for employment opportunities. Please do not call or email. All resumes submitted by search firms to any employee or other representative at St. Jude via email, the internet or in any form and/or method without a valid written search agreement in place and approved by HR will result in no fee being paid in the event the candidate is hired by St. Jude.

POSITION SUMMARY Serves as a key contributor as second line of defense and subject matter expert (SME) of banking compliance. This is accomplished through a compliance management and review program including: risk assessments, monitoring, testing, reporting and meeting with various Business Units as well as third party vendors. Contributes, performs, and supports reviews in other areas of Compliance as necessary including compliance audits and examinations. ESSENTIAL REQUIREMENTS Effectively communicates with various departments as needed to provide responses to basic compliance inquiries as they relate to the various federal and state banking regulations. Coordinates and conducts compliance risk assessments by scheduling, assigning, and reviewing reports with various Business Units to assess the banks regulatory compliance risks. Reports results of compliance risk assessments to Risk Management area and assists with preparation of final reports including identifying missing risks that lack, controls or mitigation, and recommending action plans as needed. Assists in implementing the Banks compliance monitoring review schedule by performing internal testing and monitoring, and coordinating third-party reviews to ensure adherence to processes, policies, procedures, and regulatory requirements. Reports results of compliance monitoring and reviews to management and assists with preparation of final reports including any required remedial actions. Conducts supplementary testing, monitoring and validation reporting as needed and/or on an ongoing basis. Regular and predictable attendance is an essential requirement of the position. Responsible for the completion of all compliance training related to the position. Must understand and comply with all applicable laws and regulations that apply to the position including reviewing and staying abreast of all associated regulatory changes and their impacts to bank and the banks' customers. NON-ESSENTIAL FUNCTIONS Participates as needed in various committees, internal audits and examinations. Participate in various compliance committees and workgroups for the Bank as deemed relevant. Performs all other duties as assigned. EXPERIENCE/SKILLS Minimum of five (5) year's of financial institution experience required. Minimum of two (2) year's in regulatory compliance preferred. Subject matter expertise in consumer banking and commercial banking is preferred. Basic knowledge of regulations involving deposits and lending including but not limited to: Reg B (ECOA), Reg E (EFTA), Reg DD (TISA), Reg Z (TILA), Reg X (RESPA), Reg C (HMDA), Reg CC, and Reg-H (Flood) is preferred. If knowledge is lacking, must have the ability and willingness to complete additional training in these areas. Prior experience with reviewing, validating and filing annual HMDA LAR preferred. Prior experience in reading, analyzing and summarizing lending regulations preferred. Demonstrated ability to perform research and analysis on unfamiliar topics with little direction. Ability to meet deadlines and work with no supervision; must be able to manage time for high productivity and allocate resources to match production needs. Ability to work with a diverse set of colleagues in different business units, subject matters (products and services) and priorities. Highly motivated with the ability to be proactive, take initiative, and carefully monitor, follow through, and completes every project/responsibility in a professional and timely fashion. Strong attention to detail and root cause analysis skills required. Requires proficiency with PC utilization and software (Microsoft Office, Word, Excel, Outlook, PowerPoint, SharePoint, etc.). Requires strong written and verbal communications skills. EDUCATION Bachelors' Degree preferred. Certification in banking compliance (ICBA, ABA, CAMS, CFE) preferred. TRAVEL REQUIREMENTS Ability to travel for meetings, projects or seminars. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals to perform the essential functions. While performing the duties of this job, the employee is required to sit, stand and walk; use hands and fingers to operate keyboard and other office equipment; reach with hands and arms; and talk or hear. The employee is occasionally required to stoop or kneel. The employee may occasionally lift and/or move up to 10 pounds. EQUIPMENT PC, phone and standard office equipment.

COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR's insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR's investments may include the activities of its sponsored funds and insurance subsidiaries. POSITION OVERVIEW The Senior Compliance Officer- Marketing Review will support the Company's compliance program, with a particular emphasis on the Advertising and Marketing Review function of our asset management and insurance businesses. The position will also support other areas of the KKR compliance program such as private placement filings, lobbyist disclosures, reporting, RFPs, DDQs, social media, and additional aspects of program management. The Senior Compliance Officer- Marketing Review will join the Compliance team in Boston, MA, and must be comfortable working with a geographically dispersed team. IDEAL EXPERIENCE This Associate should bring a minimum of at least three years conducting marketing/advertising review for a broker-dealer, independent marketing organization, asset management firm, or an insurance carrier (preferably annuity). Ideal candidates would bring experience in the alternative asset management space including private equity, private credit, interval funds, etc., as well as insurance. RESPONSIBILITIES Build and maintain strong relationships within the Compliance, Legal, Product, and Marketing Departments on a global basis Build and maintain strong relationships with internal customers striving always to find business-friendly but compliant solutions to daily work. Be an active contributor and collaborator on daily tasks and larger projects, as assigned. Understand KKR and Global Atlantic's business processes, products and regulatory obligations and apply that understanding to tasks assigned. Support management and team and actively contribute to a positive work environment that is collaborative and encouraging. Identify and recommend process improvements that reduce workloads and improve quality for the existing process. Establish strong working relationships within the broader KKR organization. Seek out knowledge and provide prompt and accurate responses to inquiries. Help to identify and develop AI tools and workflows QUALIFICATIONS Required: Have or obtain shortly after starting FINRA Series 7 & 24 licenses. Bachelor's Degree (or relevant work experience equivalent). At least 3 years in a financial services role (preferably in broker-dealer, investment advisor, alternative asset manager, insurance company, or independent marketing organization (IMO). Ability to make decisions, use independent judgment, establish priorities and work effectively on multiple initiatives concurrently while maintaining strict attention to detail. Experienced communicator (written and oral). Ability to work with a geographically dispersed team. Capacity to consider, process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment. Ability to work across enterprises and present complex matters to internal colleagues, management, or business leaders. A willingness to accept directions from leaders and peers. A strong desire to work well with others. Strong communication skills, work ethics and high level of personal integrity and accountability Self-starter and have a desire for knowledge. Business knowledge and acumen. Demonstrates the ability to use sound judgment and discretion regarding confidential information. This is the expected annual base salary range for this Boston-based position. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance. Base Salary Range $140,000 - $175,000 USD KKR is an equal opportunity employer. Individuals seeking employment are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, sexual orientation, or any other category protected by applicable law.

We are driven to do more. More for our customers and the financial professionals who offer our products. If you are driven to do more and love the challenge of pursuing more, Athene is your kind of company. You will find we offer more than the basics to create an inclusive and dynamic work environment at our various locations. Purpose: Athene is hiring! We're looking for a professional to support key AML and Anti-Fraud functions, including sanctions screening, transaction monitoring, and KYC activities. This role leads AML and fraud investigations, prepares required state and federal regulatory reports, and conducts periodic risk assessments. Additional responsibilities include employee training, maintaining case management systems and investigative documentation, and supporting audits and regulatory inquiries. The position also participates in process improvements, system enhancements, and serves as a subject matter expert for AML and Anti-Fraud initiatives. Accountabilities: Conduct Sanctions Screening, Transaction Monitoring, and Know Your Customer (KYC) activities. Lead AML and fraud investigations, documenting findings and escalating to law enforcement as necessary. Prepare regulatory AML and anti-fraud reports to meet state and federal obligations. Conduct periodic AML and Anti-Fraud risk assessments and track remediation actions. Expanded responsibilities include employee training, case management systems, and investigative documentation. Maintain positive relationships with regulators and assist during audits and inquiries. Participate in business process improvements and system enhancement projects for AML/SIU tools. Serve as subject matter expert for AML and Anti-Fraud compliance initiatives. Qualifications and Experience: Bachelor's degree in Accounting, Finance, Criminal Justice, or related field (preferred). 4+ years of experience in AML or financial crime investigations. Strong analytical and investigative interviewing skills. Excellent verbal and written communication abilities. Demonstrated proficiency in Microsoft Office and AML case management systems. Certifications such as CFE, CFS, CIFI, or CAMS preferred. Travel is 5% expected; role requires adaptability to changing priorities. Drive. Discipline. Confidence. Focus. Commitment. Learn more about working at Athene. Athene is a Military Friendly Employer! Learn more about how we support our Veterans. Athene is committed to inclusion and is proud to be an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, veteran status or any other status protected by federal, state or local law.

About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role POSITION The Compliance Senior Analyst will support Wellington Management’s Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas. Key responsibilities of this role include assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member of the Americas Core Compliance team within the Legal, Compliance and Risk Group. Responsibilities Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc. Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions) Assist with policies and procedures revisions for key risk and compliance areas Participate in managing and responding to regulatory inquiries and examinations Recommend enhancements to supervisory processes, internal controls and testing Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes Qualifications 3+ years of relevant investment adviser compliance experience Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management. Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers Global mindset and strong business judgement Strong written and oral communication skills. Strong presentation skills and comfort interacting with all levels of management Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms Creativity and ability to work under pressure Proactive, self-motivated and well-organized Experience developing and implementing technology solutions to strengthen internal processes and controls a plus Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment Ability to effectively prioritize tasks, consistently execute and meet strict deadlines JOB TITLE Senior Compliance Analyst, Americas Core Compliance JOB FAMILY Compliance LOCATION 280 Congress Not sure you meet 100% of our qualifications? That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com . At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 80,000 - 150,000 This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families , and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time). We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.

Description Come and join an amazing team that is passionate about what we do! Tower Water is a leading company in the environmental services industry, we are looking for someone that shares our values and passion for the work we do to join our team and manage accounts in the New York City Metropolitan Area. We are seeking a detail-oriented candidate who is passionate about water treatment and problem-solving. This individual will provide excellent customer service, address client concerns and provide field-oriented guidance throughout the New York Metropolitan area. This is an 80% autonomous position which requires the ability to meet and execute deadlines in a timely manner. The ideal candidate must be responsive, have a positive Can-Do attitude, and be practical exhibiting good judgement and decision-making skills, be flexible and capable of performing the job under various circumstances, such as last-minute schedule changes, exposure to the elements, and meeting client needs related to the position. This is a full-time, entry-level position. Training is provided POSITION WILL ENTAIL THE FOLLOWING: Primary Duties · Review, audit, and monitor facility water management plans. · Collaborate and liaise with our divisions focused on water treatment and construction. · Serve as a point of contact among building facilities, vendors, and the department of health to reduce the risk of legionella in cooling water systems. · Inspecting of cooling towers based on local legionella regulations. · Collecting and submitting Legionella samples as planned or in response to emergencies. · Creating and supplying documentation to clients to ensure a satisfactory compliance status is maintained. · Deliver training and assistance regarding water management plans. · Informing clients about the services offered. · Other duties as needed. Requirements Requirements: · Preferred 7G Pesticide License · Preferred a minimum of 2 Years’ experience in Water Treatment industry · An individual with an open mind seeking to acquire conceptual skills. · Ability to communicate with clients in a constructive manner · Candidate must possess strong organizational and time management skills · Candidate must exhibit a "can-do" attitude · Successfully accomplish assigned tasks in a timely manner. · Excellent verbal & written communication skills · Computer literacy (MS office suite including word, excel, google, maps…etc.) · Basic “hands on” mechanical skills (using hand tools) · Reliable individual who understands the value of reputation · Ability to manage tasks autonomously with supervision as required Preferred Education: · 2 Year Technical Degree or advanced · Certified industrial hygienist · Environmental Consultant · ASSE 12080 Legionella Water Safety and Management Personnel *Experience in water treatment industry may supplement education requirement Working Conditions: (This is a field position, much of your time will be spent traveling to different locations in varying weather conditions.) · Standing for 6-8 hours · Frequently carrying equipment with an average weight of 25 to 50lbs · Safely scaling ladders to access equipment · Potential to hazardous environment which may involve exposure to dangerous chemical, navigating tight spaces, and varying temperature conditions safely · Commuting to and from New York Metropolitan area Benefits Compensation: Starting annual salary of $62,355 to 65k based on experience. 401K (with employer matching up to 4%) Accrued PTO and paid holidays Generous employer contribution towards medical, dental and vision health benefits costs Employer paid life insurance, with additional options Employer paid supplemental short term disability insurance FSA & HAS pretax benefit options We provide all tools required to perform duties including a work computer and cell phone The company covers all expenses related to professional certifications. Opportunities for professional development and growth, along with quarterly performance discussions. Tower Water is an Equal Opportunity Employer. We are committed to creating an inclusive environment for all employees and applicants, regardless of race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other characteristic protected by law. We encourage individuals from all backgrounds to apply.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm's policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor's degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

Job Description Position: Second line of defense (2LOD) SME focused on CRAs, compliance testing and monitoring Role: Senior Consultant Location: Richardson, TX Are you passionate about transforming how financial institutions execute the 2LOD function? Do you thrive at the intersection of compliance, technology, and data-driven insights? At Infosys Consulting, we're looking for professionals who bring expertise in various areas of 2LOD, focused on RCSAs, CRAs, compliance testing and compliance monitoring areas-along with a keen interest in leveraging data, automation, and AI to modernize risk and compliance. If this excites you, let's talk! About the Role As a Senior Consultant, you will lead and manage delivery of engagements, being responsible for quality, budget and staffing, working closely with senior client managers. You will contribute to the firm's development by guiding and mentoring teams and sharing knowledge. You will be recognized as an expert in your respective domain and contribute to advancing Infosys Consulting's thought leadership in the industry. We are seeking an experienced professional with deep expertise in Second Line of Defense (2LOD) functions within financial services. The role combines strategic business insight with risk governance expertise, providing independent oversight and guidance to first-line functions. The successful candidate will ensure robust risk management, regulatory compliance, and control effectiveness, with hands-on experience in CRAs, compliance monitoring, and compliance testing Role expects you to Play a lead role in delivery of large change programs, which includes IT and Business Change Lead and manage a team of consultants to develop concise and practical strategies, roadmap and/or re-engineering program recommendations with a clear implementation path Seek out client input in a structured manner to better understand needs and develop ideas for how to meet those needs On client engagements, provide independent oversight and credible challenge to first-line activities across operational, regulatory, and conduct risks Design, lead or support Control Risk Assessments (CRAs), including assessment, analysis, and remediation oversight Assist clients in designing and conducting compliance monitoring programs to ensure adherence to internal policies and regulatory requirements Design and execute compliance testing and control effectiveness reviews, identifying gaps and recommending corrective actions Conduct interviews / workshops / walkthroughs with subject matter experts and process owners to elicit and document requirements to identify, assess, and monitor key risks, ensuring alignment with enterprise risk appetite Design, review, assess, programs for risk and control self-assessments (RCSAs), KRIs, and control frameworks Advise senior management on emerging risks, control gaps, and regulatory developments Collaborate with audit, compliance, and enterprise risk teams to maintain a cohesive 3LOD model Assist in standing up initiatives for risk culture, training, and awareness programs across the organization Support the design and continuous improvement of risk frameworks, governance structures, and policies Direct teams of global consulting, IT professionals & subject matter experts in establishing comprehensive business and functional requirements, then translating those requirements into actionable project initiatives with associated metrics Play a key liaison and coordinator between the business, IT, senior management, vendor teams and other members of the change programs Collaborate with client functions (Business, first line of defense, Compliance Risk Management and Regulatory Affairs) to assess impact of a specific regulation on existing policies, risks and controls Collaborate with cross-functional teams across the client organization and Infosys on regulatory change programs and initiatives Manage end-to-end project execution, stakeholder communication and minimize engagement risk by proactively identifying issues and recommending courses of remediation Practice Development Provide insights on new and emerging technologies, best practices and contribute to the development of service offerings Work with other practice members to support Infosys Consulting thought leadership activities and develop innovative assets, including differentiated points of view and methodologies Build social networks that enable knowledge and information flow and stay abreast of developments in 2LOD areas Prepare thought papers and participate in industry conferences and forums Contribute to practice growth and vitality through roles such as recruitment, training and retention People Management Coach and develop junior team members to deliver quality results and promote professional development Participate in and contribute to practice training activities Business Development Lead small, medium sized sales pursuits and business development activities ranging from creation of client proposals to formulating commercial constructs / contracts Develop and build relationships at senior management and CXO levels Formulate and present Infosys Consulting propositions and service offerings Basic Qualifications 5-7 years of experience in risk management, compliance, or control functions within financial services Strong understanding of Second Line of Defense roles, including oversight, governance, challenge, and policy enforcement Hands-on experience with CRAs, compliance monitoring, and compliance testing Proven ability to engage with business leaders, influencing risk-taking behavior while maintaining commercial perspective Knowledge of regulatory frameworks (e.g., OCC, PRA, MAS, SEC, or local equivalents) and ability to interpret requirements for business application Experience in designing, implementing, and improving risk and control frameworks Strong analytical, reporting, and communication skills to present risk insights to senior stakeholders Bachelor's degree or foreign equivalent; or three years of relevant work experience in lieu of every year of education Demonstrated ability in defining, mobilizing and delivering complex change programs in large organizations Strong background of leading teams, comprising both IT and business specialists A demonstrable ability to turn business requirements into technology solutions with the commercial acumen to create supporting business cases Excellent presentation and facilitation skills with ability to build relationships at senior management and CXO levels Successful business development history including exposure to each of the various aspects of a typical sales cycle All candidates must be willing and able to travel up to 100%, depending on client requirements Preferred Qualifications MBA or equivalent advanced degree Experience of leading programs where stakeholder engagement is a key requisite to achieving successful program/project delivery Proven ability to deliver under tight deadlines and challenging constraints Ability to collaborate within the firm and leverage existing resources Demonstrate thought leadership, ability to conceptualize and drive new solution / service offerings and take them to market Ability and willingness to work as part of a cross-cultural team including flexibility to support multiple time zones when necessary long with competitive pay, as a full-time Infosys employee you are also eligible for the following benefits: Medical/Dental/Vision/Life Insurance Long-term/Short-term Disability Health and Dependent Care Reimbursement Accounts Insurance (Accident, Critical Illness, Hospital Indemnity, Legal) 401(k) plan and contributions dependent on salary level Paid holidays plus Paid Time Off Candidates authorized to work for any employer in the United States without employer-based visa sponsorship are welcome to apply. Infosys is unable to provide immigration sponsorship for this role at this time The job entails sitting as well as working at a computer for extended periods of time. Should be able to communicate by telephone, email or face to face. Travel may be required as per the job requirements.

2026 Spring Part Time Undergraduate Compliance Engineer Co-op A Day in Your Life at MKS: As a Compliance Engineer Co-op at MKS Inc., you will partner with the Global Product Compliance team to assess product BOMs for environmental compliance and execute regulatory compliance activities for MKS product lines nationally and internationally. In this role, you will report to the Director Operations, Compliance. Co-op Program Overview: 6-month co-op assignment within a functional area of MKS Instruments that provides students a comprehensive and engaging experience from before your program starts to after the program ends Full time or part time commitment Meaningful work and project assignments Networking opportunities with peers and executives Exposure to different divisions of the business Understanding of MKS Instruments' commitment to culture & belonging Co-op Term: This is a 6-month co-op beginning in January 2026. Candidates must be available for the entire duration of the assignment. Co-Op Location: This co-op is located in Wilmington, MA, Broomfield, CO, Portland, OR, or Denver, CO. You Will Make an Impact By: Closely partnering with compliance engineers and product development teams globally to assess environmental compliance of products worldwide Data mining product BOMs for per- and polyfluoroalkyl substances (PFAS) Participating in project/product discussions and responding to customer requests for documentation Preparing Declarations of Conformity and product environmental attestations Working with third-party laboratories to schedule and support compliance testing activities Generating training presentations and company-wide process/procedure documentation. Work with both domestic and international teams on product compliance activities relating to new product development Skills You Bring: Enrolled in a Bachelor's Degree program in Material Science, Environmental Engineering, Mechanical Engineering, Electrical Engineering, or other relevant majors Preferred Skills: Knowledge of EPA TSCA, PFAS, RoHS, REACH, POP, FCC, CE, KC Proficient in Microsoft applications including Excel calculations such as word and excel Python database coding familiarity, or similar programming language Physical Demands and Working Conditions: Perform activities such as sitting, standing, or typing for extended periods of time This co-op is open to part time, flexible hours 25-40 flexible hours per week. Full time is preferred. Must be able to communicate information and ideas so others will understand Must be able to exchange accurate information with both internal and external customers Operates in a professional office environment Constantly operates a computer and other office productivity machinery. Compensation and Benefits: Hourly Pay Range: $25.00 to $32.00 per hour. This range is a good faith estimate of the expected salary range for this position, based on a wide range of factors including qualifications, experience and training, operational and business needs and other considerations permitted by law. At MKS, it is not typical for an individual to be hired at or near the top of the range for the role. Benefits: MKS offers a benefits package for interns/co-ops working at least 20 hours per week, including 11 paid holidays, sick time, and 15 paid vacation days accrued on a biweekly basis. MKS is an equal opportunity employer, including disability, veteran status and all categories protected by law. Please review our EOE statements for additional details. Globally, our policy is to recruit individuals from wide and diverse backgrounds. However, certain positions require access to controlled goods and technologies subject to the International Traffic in Arms Regulations (ITAR) or Export Administration Regulations (EAR). Applicants for these positions may need to be "U.S. persons." "U.S. persons" are generally defined as U.S. citizens, noncitizen nationals, lawful permanent residents (or, green card holders), individuals granted asylum, and individuals admitted as refugees. MKS is committed to working with and providing reasonable accommodations to qualified individuals with disabilities. If you need a reasonable accommodation during the application or interview process due to a disability, please contact us at: accommodationsatMKS@mksinst.com . #LI-DNI Globally, our policy is to recruit individuals from wide and diverse backgrounds. However, certain positions require access to controlled goods and technologies subject to the International Traffic in Arms Regulations (ITAR) or Export Administration Regulations (EAR). Applicants for these positions may need to be "U.S. persons." "U.S. persons" are generally defined as U.S. citizens, noncitizen nationals, lawful permanent residents (or, green card holders), individuals granted asylum, and individuals admitted as refugees. MKS Inc. and its affiliates and subsidiaries ("MKS") is an affirmative action and equal opportunity employer: diverse candidates are encouraged to apply. We win as a team and are committed to recruiting and hiring qualified applicants regardless of race, color, national origin, sex (including pregnancy and pregnancy-related conditions), religion, age, ancestry, physical or mental disability or handicap, marital status, membership in the uniformed services, veteran status, sexual orientation, gender identity or expression, genetic information, or any other category protected by applicable law. Hiring decisions are based on merit, qualifications and business needs. We conduct background checks and drug screens, in accordance with applicable law and company policies. MKS is generally only hiring candidates who reside in states where we are registered to do business. MKS is committed to working with and providing reasonable accommodations to qualified individuals with disabilities. If you need a reasonable accommodation during the application or interview process due to a disability, please contact us at: accommodationsatMKS@mksinst.com . If applying for a specific job, please include the requisition number (ex: RXXXX), the title and location of the role

About the Role: The Corporate Compliance Analyst will p rovide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm’s five business lines, Compliance, and the firm’s corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You’ll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm’s policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You’ll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor’s degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

Job Summary This position serves as a critical compliance resource and will work closely with the Chief Compliance Officer on oversight of Fidelity & Guaranty Securities Corp., a registered broker dealer ensuring strict adherence to federal and state securities and insurance regulations, including SEC and FINRA. This positions will also be responsible for ensuring advertising compliance with all state advertising laws and regulations for all F&G products. This position reports to Director, Product and Advertising Compliance Duties and Responsibilities Broker Dealer Compliance (60%) Ensure compliance with FINRA, SEC and state insurance department regulations Maintain all policies and procedures for Fidelity & Guaranty Securities Corp., a registered broker dealer. Review and monitor correspondence. Identify potential compliance risks, and apply regulatory requirements to the broker dealer’s structure. Prepare and submit all FINRA required filings and reports. Maintain accurate documentation for regulatory examinations. Assist with various exams and audits both internal and external relating to broker dealer. Ad Review Process Support (40%) Review and approve all assigned advertising material to ensure adherence with applicable FINRA, SEC, and state insurance regulations. Research and review applicable FINRA, SEC, and state insurance advertising regulations ensuring continued compliance and addressing any changes impacting F&G business lines. Partner with stakeholders to provide guidance on advertising laws, regulations, and compliance issues. Build and maintain strong working relationships with stakeholders to understand business needs. Assist with preparation and presentation of periodic advertising training to internal stakeholders. Other Responsibilities Acts as a company resource with respect to broker dealer, advertising and other related issues through special assignments and committees. Represents Compliance and F&G at various internal and external meetings. Experience and Education Requirements Bachelor’s degree in business, English or related field or equivalent relevant work experience required. ALMI, FLMI or AIRC preferred. Series 6, 26, and 63 required Minimum of three years of experience in the insurance industry with a concentration on life insurance and annuity products. Experience with compliance, controls and auditing processes. Experience in FINRA and SEC supervision and best practices Knowledge of life insurance and securities industry rules, regulations, and best practices Knowledge of variable products and services Knowledge, Skills & Abilities Strong verbal and written communication skills. Detail oriented with strong organizational skills. Strong analytical skills and critical thinking abilities. Ability to work independently and collaborate across multiple departments. Aptitude to perform in a fast-paced production environment while addressing multiple projects and responsibilities. Other Requirements Perform other functions, duties and projects as assigned Regular and punctual attendance Some travel may be required (less than 10%) #LI-JB1 #LI-Remote Additional Information Work Environments F&G believes in an employee-centric flexible environment, which is why we offer the ability for in-office, hybrid and remote work arrangements. During the hiring process, you'll work with your leader to decide what works best for your role. F&G complies with federal and state disability laws and makes reasonable accommodations for applicants and candidates with disabilities, unless such accommodation would cause an undue hardship for F&G. If reasonable accommodation is needed to participate in the job application or interview process, please contact talentacquisition@fglife.com. Join our employee-centric hybrid work environment: F&G Careers About F&G Since 1959, Fidelity & Guaranty Life Insurance Company (F&G) has offered annuity and life insurance products to those who are seeking security in retirement and protection during life’s unexpected events. As a national Top Workplace 1 , an Iowa Top Workplace 2 and a proud equal opportunity employer, F&G team members are empowered, collaborative, dynamic and authentic. We believe that by embracing these values, we will continue to build and strengthen the company while continuing to be a great place to work. 1 Top Workplaces USA 2022 – 2023 2 Des Moines Register Top Workplaces 2018 – 2022 Notice for all Applicants who are California residents under the California Privacy Rights Act. Please click here to review the policy.

We are driven to do more. More for our customers and the financial professionals who offer our products. If you are driven to do more and love the challenge of pursuing more, Athene is your kind of company. You will find we offer more than the basics to create an inclusive and dynamic work environment at our various locations. Purpose: Athene is hiring! We’re looking for a professional to support key AML and Anti-Fraud functions, including sanctions screening, transaction monitoring, and KYC activities. This role leads AML and fraud investigations, prepares required state and federal regulatory reports, and conducts periodic risk assessments. Additional responsibilities include employee training, maintaining case management systems and investigative documentation, and supporting audits and regulatory inquiries. The position also participates in process improvements, system enhancements, and serves as a subject matter expert for AML and Anti-Fraud initiatives. Accountabilities: Conduct Sanctions Screening, Transaction Monitoring, and Know Your Customer (KYC) activities. Lead AML and fraud investigations, documenting findings and escalating to law enforcement as necessary. Prepare regulatory AML and anti-fraud reports to meet state and federal obligations. Conduct periodic AML and Anti-Fraud risk assessments and track remediation actions. Expanded responsibilities include employee training, case management systems, and investigative documentation. Maintain positive relationships with regulators and assist during audits and inquiries. Participate in business process improvements and system enhancement projects for AML/SIU tools. Serve as subject matter expert for AML and Anti-Fraud compliance initiatives. Qualifications and Experience: Bachelor’s degree in Accounting, Finance, Criminal Justice, or related field (preferred). 4+ years of experience in AML or financial crime investigations. Strong analytical and investigative interviewing skills. Excellent verbal and written communication abilities. Demonstrated proficiency in Microsoft Office and AML case management systems. Certifications such as CFE, CFS, CIFI, or CAMS preferred. Travel is 5% expected; role requires adaptability to changing priorities. Drive. Discipline. Confidence. Focus. Commitment. Learn more about working at Athene . Athene is a Military Friendly Employer! Learn more about how we support our Veterans . Athene is committed to inclusion and is proud to be an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, veteran status or any other status protected by federal, state or local law.

About Us: We started Novo to challenge the status quo— we’re on a mission to build the operating system to destroy the back office, so small businesses (SMB’s) can do more of what they love. Novo is flipping the script of the FinTech world, and we’re excited to lead the small business FinTech revolution. Why Novo? Novo is a rapidly growing series B fintech startup with a mission-driven team that’s passionate about helping every small business in America Positive, inclusive, supportive culture cheering you on your journey We work with very new technologies and architecture patterns We provide learning and development budgets to help you grow and bond with your team Able to work from the office 3+ days per week Offices in NYC, India, and Colombia We are looking for a Compliance Specialist that can engage in various areas of the risk and compliance team, who understands how to implement a risk-based approach to compliance processes, and how to effectively communicate across the organization and with external stakeholders to deliver. This role will focus more on business continuity and compliance testing. If you're passionate about finding the right balance of innovation and compliance for underserved markets, then we want to chat. Are you ready to revolutionize the small business banking industry with us? Are you ready to revolutionize the small business banking industry with us? Responsibilities of the Role: Establish and maintain business continuity oversight program and training in partnership with compliance leadership, business stakeholders and partner bank leadership Support the execution of the business impact assessment in partnership with business stakeholders Establish and enhance business continuity plan in consideration of critical business activities Monitor and facilitate the execution of business continuity testing and relative exercises with business stakeholders Coordinate with compliance and control partners to promote consistency in the application of the compliance program and best practices across the business Define test scope and scripts for assessment areas referenced within the annual testing schedule and business continuity plan, as applicable Perform control testing, document results and provide updates to the line of business, as necessary to ensure timely alignment with the annual testing schedule. Assist in managing issues identified within internal compliance testing and independent reviews that the business is subjected to Succinctly and clearly communicate complex fact patterns, underlying issues and recommended resolutions to others Execute necessary investigations and draft response for incoming complaints delivered through regulatory and BBB channels, as necessary Provide support for responding to regulatory inquiries and examinations Continuously determine and document risk exposure, mitigation and valuable controls related to new/ongoing processes, products/services and relative program documents/communications Other duties, as assigned Requirements for the Role: At least 5+ years of experience in audit, compliance, risk management or business continuity planning At least 5+ years of experience supporting, partnering and interacting with internal business stakeholders Experience translating complex ideas and data into clear, engaging narratives across multiple formats to key stakeholders Understanding of compliance or risk management principles and interest in strengthening subject matter expertise across multiple compliance areas. Ability to work independently on complex assignments with strong analytical skills, attention to detail, and the ability to interpret regulatory information Strong time management, organizational, and prioritization skills, with the ability to complete multiple concurrent tasks within close deadlines and a high degree of accuracy and detail Ability to navigate ambiguity in a fast-changing environment, being hands-on and going beyond direct job responsibilities to help achieve success Desire to be a reliable partner that collaborates with multiple business stakeholders across multiple lines of business Excellent research and communication skills Nice To Have, but Not Required: 2+ years of experience within Fintech Relevant coursework or certifications in compliance, risk management, or data analytics (e.g., CRCM Business Continuity Certifications, or similar compliance-related certifications). Experience working with data systems or reporting tools (scripting experience with SQL is a plus)

Come and join an amazing team that is passionate about what we do! Tower Water is a leading company in the environmental services industry, we are looking for someone that shares our values and passion for the work we do to join our team and manage accounts in the New York City Metropolitan Area. We are seeking a detail-oriented candidate who is passionate about water treatment and problem-solving. This individual will provide excellent customer service, address client concerns and provide field-oriented guidance throughout the New York Metropolitan area. This is an 80% autonomous position which requires the ability to meet and execute deadlines in a timely manner. The ideal candidate must be responsive, have a positive Can-Do attitude, and be practical exhibiting good judgement and decision-making skills, be flexible and capable of performing the job under various circumstances, such as last-minute schedule changes, exposure to the elements, and meeting client needs related to the position. This is a full-time, entry-level position. Training is provided POSITION WILL ENTAIL THE FOLLOWING: Primary Duties · Review, audit, and monitor facility water management plans. · Collaborate and liaise with our divisions focused on water treatment and construction. · Serve as a point of contact among building facilities, vendors, and the department of health to reduce the risk of legionella in cooling water systems. · Inspecting of cooling towers based on local legionella regulations. · Collecting and submitting Legionella samples as planned or in response to emergencies. · Creating and supplying documentation to clients to ensure a satisfactory compliance status is maintained. · Deliver training and assistance regarding water management plans. · Informing clients about the services offered. · Other duties as needed. Requirements Requirements: · Preferred 7G Pesticide License · Preferred a minimum of 2 Years’ experience in Water Treatment industry · An individual with an open mind seeking to acquire conceptual skills. · Ability to communicate with clients in a constructive manner · Candidate must possess strong organizational and time management skills · Candidate must exhibit a "can-do" attitude · Successfully accomplish assigned tasks in a timely manner. · Excellent verbal & written communication skills · Computer literacy (MS office suite including word, excel, google, maps…etc.) · Basic “hands on” mechanical skills (using hand tools) · Reliable individual who understands the value of reputation · Ability to manage tasks autonomously with supervision as required Preferred Education: · 2 Year Technical Degree or advanced · Certified industrial hygienist · Environmental Consultant · ASSE 12080 Legionella Water Safety and Management Personnel *Experience in water treatment industry may supplement education requirement Working Conditions: (This is a field position, much of your time will be spent traveling to different locations in varying weather conditions.) · Standing for 6-8 hours · Frequently carrying equipment with an average weight of 25 to 50lbs · Safely scaling ladders to access equipment · Potential to hazardous environment which may involve exposure to dangerous chemical, navigating tight spaces, and varying temperature conditions safely · Commuting to and from New York Metropolitan area Benefits Compensation: Starting annual salary of $62,355 to 65k based on experience. 401K (with employer matching up to 4%) Accrued PTO and paid holidays Generous employer contribution towards medical, dental and vision health benefits costs Employer paid life insurance, with additional options Employer paid supplemental short term disability insurance FSA & HAS pretax benefit options We provide all tools required to perform duties including a work computer and cell phone The company covers all expenses related to professional certifications. Opportunities for professional development and growth, along with quarterly performance discussions. Tower Water is an Equal Opportunity Employer. We are committed to creating an inclusive environment for all employees and applicants, regardless of race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other characteristic protected by law. We encourage individuals from all backgrounds to apply.

A Career with Point72’s Compliance Department The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you’ll do Conduct the firm’s annual compliance audit, and coordinate with internal Compliance colleagues Develop and maintain a library of exchange rules and regulatory enforcement actions Review and update certain compliance and trading policies What’s required Bachelor's degree from an accredited college or university GPA 3.0 or greater Exceptional attention to detail, strong organizational skills, and a structured, process-driven approach, with the ability to work independently or collaboratively Ability to manage and prioritize multiple tasks and see each task to completion Exceptional reading and writing skills, as well as outstanding communication and interpersonal skills Commitment to the highest ethical standards We take care of our people We invest in our people, their careers, their health, and their well-being. We want you to concentrate on success and leave the rest to us. When you work here, we provide: Fully-paid health care benefits Generous parental and family leave policies Volunteer opportunities Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community Mental and physical wellness programs Tuition assistance A 401(k) savings program with an employer match and more About Point72 Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry’s brightest talent by cultivating an investor-led culture and committing to our people’s long-term growth. For more information, visit https://point72.com/ .

About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role POSITION The Compliance Senior Analyst will support Wellington Management's Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas. Key responsibilities of this role include assessing the firm's compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member of the Americas Core Compliance team within the Legal, Compliance and Risk Group. Responsibilities Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc. Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm's business practices Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions) Assist with policies and procedures revisions for key risk and compliance areas Participate in managing and responding to regulatory inquiries and examinations Recommend enhancements to supervisory processes, internal controls and testing Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes Qualifications 3+ years of relevant investment adviser compliance experience Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management. Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers Global mindset and strong business judgement Strong written and oral communication skills. Strong presentation skills and comfort interacting with all levels of management Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms Creativity and ability to work under pressure Proactive, self-motivated and well-organized Experience developing and implementing technology solutions to strengthen internal processes and controls a plus Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment Ability to effectively prioritize tasks, consistently execute and meet strict deadlines Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com. At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 80,000 - 150,000 This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time) We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.