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Job Posting End Date 11-23-2025 Please note the job posting will close on the day before the posting end date. Job Summary The Enterprise NERC Reliability Assurance (ENRA) team at AEP provides coordination and decision-making authority for NERC (North American Electric Reliability Corporation) compliance obligations. The team leads cross business unit teams, executes process improvements, performs root cause and incident analysis, provides independent oversight and technical support, project and risk management, metrics development, and engagement and outreach. The team operates in a matrix environment that interfaces directly with federal and regional regulators. This position within ENRA will be primarily focused on Oversight and Compliance Management. Job Description At AEP, we're more than just an energy company - we're a team of dedicated professionals committed to delivering safe, reliable and innovative energy solutions. Guided by our mission to put the customer first, we strive to exceed customers' expectations by listening, responding, and continuously improving the way we serve our communities. If you are passionate about making a meaningful impact and being part of a forward-thinking organization, this is the company for you!ENRA NERC Specialist Sr. - ENRA NERC Prin. What You'll Do: Coordinate the development and maintenance of enterprise-wide interpretations of obligations within the NERC and Regional Standards. Develop knowledge of the Standards and communicate with key staff at NERC and/or the Regions to add clarity regarding what is required to demonstrate compliance. Execute assessments of compliance related materials to determine readiness for external compliance audits and provide reasonable assurance of compliance status. Execute assessments of the design and operational effectiveness of reliability and compliance internal controls. Support completion of externally mandated deliverables, including compliance monitoring activities per NERC Compliance Monitoring and Enforcement Program (CMEP). Organize processes and procedures to support NERC CMEP functions per the NERC Rules of Procedure. Review responses to data requests; analyze data for trends and quality purposes; drive consistency in responses. Review mitigation plans; track milestone execution in response to potential violations of NERC and Regional Reliability Standards. Support responsible managers and subject matter experts (SMEs) in operational BUs. Coordinate process improvement efforts within the team. Participate with other utility stakeholders and industry organizations in the consideration of reliability compliance issues and associated regulatory matters. Participate in industry forums/events to keep current on industry best practices, tools, and technology. Drive organizational alignment through an enterprise-wide approach to achieving a state of audit readiness with each new NERC reliability Standard; contribute in governance-related activities. Execute central reliability compliance training and awareness program; ensure message content consistency and maximize delivery effectiveness. Review emerging NERC developments; Address feedback responses to drafting reviewing, and complying with the NERC Reliability Standards, and other standards. Participate in periodic Regional Entity (RE) and Regional Transmission Operator (RTO) audits, and internal audits as required. Support other ENRA functions as needed. What We're Looking For: ENRA NERC Specialist Sr. Education: Bachelor's degree in engineering, mathematics, communications, computer science, business, or related field of study; or Associate's degree in one of the aforementioned fields of study and two (2) years of relevant work experience. Experience: In addition to any experience required above, five (5) years of experience in electric utility or similarly regulated industry. Preferred Qualifications: Master’s Degree is desirable. Law Degree is desirable. Certification or Licensure is preferred. Other qualifications/skills: Demonstrate the highest standards of ethical behavior and support of Company’s Corporate Compliance policy. Demonstrate strong problem-solving skills and ability to initiate solutions to complex technical issues. Demonstrate ability to effectively and efficiently develop functional relationships on all levels as well as external partnerships with various regulatory agencies/industry organizations. Proficient in oral and written communication skills, including the ability to articulate strategy and provide guidance to management and witnesses on case as required. Proficient in navigating and creating spreadsheets is required. Demonstrated ability to manage multiple projects and coordinate deadlines to enable the organization to not miss deadlines. Occasional travel will be required. What You'll Get In addition to a competitive compensation, AEP offers a unique comprehensive benefits package that aims to support and enhance the overall well-being of our employees. ENRA NERC Specialist Sr: (Salary Grade 8) $96,110.00 - $115,330.00 ENRA NERC Specialist Prin: (Salary Grade 9) $112,896.00-$135,443.00 #AEP #NERC Compensation Data Compensation Grade: SP20-008 Compensation Range: $96,110.00-124,940.00 USD The Physical Demand Level for this job is: S – Sedentary Work: Exerting up to 10 pounds of force occasionally (Occasionally: activity or condition exists up to 1/3 of the time) and/or a negligible amount of force frequently. (Frequently: activity or condition exists from 1/3 to 2/3 of the time) to lift, carry, push, pull or otherwise move objects, including the human body. Sedentary work involves sitting most of the time but may involve walking or standing for brief periods of time. Jobs are sedentary if walking and standing are required only occasionally, and all other sedentary criteria are met. Hear about it first! Get job alerts by email. Log in to your Candidate Home Account today! If you don't have an account, you can create one. It is hereby reaffirmed that it is the policy of American Electric Power (AEP) to provide Equal Employment Opportunity in all respects of the employer-employee relationship including recruiting, hiring, upgrading and promotion, conditions and privileges of employment, company sponsored training programs, educational assistance, social and recreational programs, compensation, benefits, transfers, discipline, layoffs and termination of employment to all employees and applicants without discrimination because of race, color, religion, sex (including pregnancy, gender identity, and sexual orientation), national origin, age, veteran or military status, disability, genetic information, or any other basis prohibited by applicable law. When required by law, we might record certain information or applicants for employment may be invited to voluntarily disclose protected characteristics.

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.

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.

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.

We have many opportunities available on our other career site pages. Click here to link to our careers page! Signet Jewelers is the world's largest retailer of diamond jewelry, operating more than 2,800 stores worldwide under the iconic brands: Kay Jewelers, Zales, Jared, H.Samuel, Ernest Jones, Peoples, Banter by Piercing Pagoda, Rocksbox, JamesAllen.com and Diamonds Direct. We are a people-first company and t his core value is at the heart of everything we do, from empowering our valued team members, to collaborating with our customers, to fostering the communities in which we live and serve. People – and the love their actions inspire – are what drive us. We’re not only proud of the love we inspire outside our walls, we’re especially proud of the diversity, inclusion and equity we’re inspiring inside. There are dynamic career paths awaiting you – rewarding opportunities to impact the lives of others and inspire love. Join us! POSITION SUMMARY : The Compliance Manager will lead the development and execution of global compliance focused on customs regulations and international trade practices . This role is accountable for ensuring that all imported and exported goods meet legal and internal requirements. The role includes direct supervision of a team of Compliance Analysts, providing strategic and operational leadership to build a strong compliance foundation that supports Signet Brands. KEY RESPONSIBILITIES : Customs & Trade Compliance Ensure full compliance with U.S. Customs and Border Protection (CBP) regulations and international trade laws. Oversee classification (HTS), valuation, country of origin declarations, and use of preferential trade programs (e.g., USMCA, GSP). Manage relationships with customs brokers, freight forwarders, and internal logistics stakeholders. Monitor tariff updates, duty implications, and trade policy developments and work cross-functionally to ensure execution. Team Leadership & Development Manage and develop a team of Compliance Specialists, ensuring clarity of roles, accountability, and ongoing skill development. Provide daily guidance, workload prioritization, and coaching on regulatory matters and internal policies. Lead performance reviews and promote continuous improvement in compliance execution. Cross-Functional Collaboration Serve as the subject matter expert on compliance implications for sourcing decisions, new product launches, and special programs. Work closely with Legal, Logistics, QA, Sourcing, and Buying teams to align on compliance objectives. QUALIFICATIONS : Bachelor’s degree in business, supply chain, logistics, international trade, or a related field. 5+ years of experience in customs compliance, trade operations, or international logistics. Solid understanding of U.S. Customs regulations, HTS classification, country of origin rules, and preferential trade programs (e.g., USMCA, GSP). Proven ability to manage and coach a team in a fast-paced operational environment. Strong attention to detail and organizational skills. Effective communication and interpersonal abilities to collaborate across departments. Proficiency with compliance tools and systems Ability to adapt to changing regulations and maintain compliance in day-to-day operations. BENEFITS & PERKS : We believe in rewarding top talent with a comprehensive and competitive benefits package designed to support your well-being, professional growth, and work-life balance: ✔ Premium Healthcare Coverage – Comprehensive medical, dental, and vision plans to keep you and your family covered.✔ 401(k) with Company Match – Invest in your future with a generous retirement savings plan, including company matching after just one year.✔ Generous Time Off – Recharge with a robust PTO package, plus company holidays.✔ Diversity, Equity & Inclusion Programs – Be part of a culture that celebrates diverse perspectives and fosters belonging.✔ Career Growth & Development – Opportunities for leadership development, mentorship, and continuous learning.✔ Exclusive Perks – Enjoy additional benefits, wellness programs, employee discounts, and more!

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 preferred but not initially required (need to obtain within 6 months) 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.

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

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 Provide advisory compliance and legal support to the firm's research and data initiatives across all investment strategies, with particular focus on data, software, and advancing technological solutions Conduct due diligence reviews of potential data providers and software solutions including, but not limited to, applicable compliance policies; usage rights; authorization to sell, license, or share the data; and compliance with applicable federal and state laws Prepare due diligence memoranda Conduct diligence reviews of automated open-source program requests and document accordingly Provide compliance support and monitor research centric for discretionary investment, proprietary research, and quantitative investment strategy teams Negotiate data and research provider contracts Draft, enhance, and implement compliance best practices Collaborate internally with the broader Compliance department Advise key stakeholders and management on applicable regulatory developments and case law, and help draft and refine policies and training as required Assist with ad hoc legal and compliance issues, special projects, and strategic initiatives What's required 1-3 years of compliance experience in the financial services industry Juris Doctorate degree from an accredited law school and bar membership Strong verbal and written communication skills Strong analytical, problem-solving, planning, and organizational skills Attention to detail and the ability to handle multiple tasks simultaneously 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. 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/ . The annual base salary range for this role is $125,000-$175,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.

Position Summary... What you'll do... Join the U.S. Import Trade Compliance organization to support the Trade Compliance Classification & Admissibility area for the world’s largest retailer based out of the Walmart Headquarters in Bentonville, AR. The Senior Analyst, Specialty Compliance and Ethics – Trade Compliance Classification & Admissibility will provide expertise on U.S. Import regulations, documentation, compliance matters, and regulatory areas for US Imports. This role will report to the Senior Manager, Specialty Compliance and Ethics – Trade Compliance Classification & Admissibility. You will make an impact by: E nsuring compliance with U.S. Customs and Partnering Government Agencies for all items that are Direct Imported into the United States by assigning proper harmonized tariff code, duty percent. Identifying and gathering all required documentation to ensure all items are in fact admissible into the United States. Ensuring compliance with global customs and regulatory authorities. Developing, executing, and maintaining relevant legislation to ensure proper application to impacted items and purchase orders. Researching proposed regulatory laws and existing regulations to serve as SME to the business. Providing guidance to merchants and/or global sourcing to help support accurate costing decisions. Collaborating with Senior Managers in identifying compliance and ethics process gaps and recommending and developing improvements. What you bring: Bachelor's degree in Business, Human Resources, or related field OR 2 years’ experience in compliance, ethics, legal, project management, or related area. 1-3 years’ experience in Data Analyst and Data entry. History of High Follow Through on projects. 1-3 years’ experience in Microsoft office products, most importantly excel. 1-3 years of import experience. Any experience with Harmonized Tarriff Code. You’ll Sweep Us Off Our Feet: Any previous project management experience Fluent command of English and good communication skills Well organized, proactive with a sense of urgency Problem Solving skills and Analytical Skills Strong Numerical skillset Team player with ability to work with associates from different cultures, and a history of cross functional work Highly motivated with high sense of urgency and initiative and takes ownership. The above information has been designed to indicate the general nature and level of work performed in the role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The full Job Description can be made available as part of the hiring process. Benefits & Perks: Beyond competitive pay, you can receive incentive awards for your performance. Other great perks include 401(k) match, stock purchase plan, paid maternity and parental leave, PTO, multiple health plans, and much more. Equal Opportunity Employer Walmart, Inc. is an Equal Opportunity Employer – By Choice. We believe we are best equipped to help our associates, customers and the communities we serve live better when we really know them. That means understanding, respecting and valuing belonging styles, experiences, identities, ideas and opinions – while being inclusive of all people. Who We Are Join Walmart and your work could help over 275 million global customers live better every week. Yes, we are the Fortune #1 company. But you’ll quickly find we’re a company who wants you to feel comfortable bringing your whole self to work. A career at Walmart is where the world’s most complex challenges meet a kinder way of life. Our mission spreads far beyond the walls of our stores. Join us and you'll discover why we are a world leader in belonging, sustainability, and community involvement. From day one, you’ll be empowered and equipped to do the best work of your life. If you are ready to take on this exciting challenge and join a team of talented and motivated professionals, apply now! At Walmart, we offer competitive pay as well as performance-based bonus awards and other great benefits for a happier mind, body, and wallet. Health benefits include medical, vision and dental coverage. Financial benefits include 401(k), stock purchase and company-paid life insurance. Paid time off benefits include PTO (including sick leave), parental leave, family care leave, bereavement, jury duty, and voting. Other benefits include short-term and long-term disability, company discounts, Military Leave Pay, adoption and surrogacy expense reimbursement, and more.You will also receive PTO and/or PPTO that can be used for vacation, sick leave, holidays, or other purposes. The amount you receive depends on your job classification and length of employment. It will meet or exceed the requirements of paid sick leave laws, where applicable. For information about PTO, see https://one.walmart.com/notices .Live Better U is a Walmart-paid education benefit program for full-time and part-time associates in Walmart and Sam's Club facilities. Programs range from high school completion to bachelor's degrees, including English Language Learning and short-form certificates. Tuition, books, and fees are completely paid for by Walmart. Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to a specific plan or program terms. For information about benefits and eligibility, see One.Walmart . The annual salary range for this position is $70,000.00 - $130,000.00 Additional compensation includes annual or quarterly performance bonuses.Additional compensation for certain positions may also include : - Stock ㅤ ㅤ ㅤ ㅤ ‎ Minimum Qualifications... Outlined below are the required minimum qualifications for this position. If none are listed, there are no minimum qualifications. Minimum Qualifications: Bachelor's degree in Business, Human Resources, or related field OR 2 years’ experience in compliance, ethics, legal, project management, or related area. Preferred Qualifications... Outlined below are the optional preferred qualifications for this position. If none are listed, there are no preferred qualifications. Customer Research, Data Analysis and InsightsMasters: Business AdministrationProject Management- Project Management Professional- Certification Primary Location... 601 N Walton Blvd, Bentonville, AR 72716, United States of AmericaWalmart and its subsidiaries are committed to maintaining a drug-free workplace and has a no tolerance policy regarding the use of illegal drugs and alcohol on the job. This policy applies to all employees and aims to create a safe and productive work environment.

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 Along 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.

El Camino Health is committed to hiring, retaining and growing the best and brightest professionals who will carry our mission and vision forward. We are proud of our reputation in the community: One built on compassion, innovation, collaboration and delivering high-quality care. Come join the team that makes this happen. Applicants MUST apply for position(s) by submitting a separate application for each individual job posting number they are interested in being considered for. FTE 1 Scheduled Bi-Weekly Hours 80 Work Shift Day: 8 hours Job Description The Compliance Internal Auditor position is responsible for designing, implementing, conducting, and overseeing the internal audit work plan across the organization. Proactively monitor and audit to test and confirm compliance with regulatory requirements and the organization's policies. Prepare detailed work papers in accordance with established audit guidelines for areas of billing, operations, IT, privacy, compliance and other areas as identified. Report audit findings or activities to the Hospital Board of Directors Compliance Internal Audit committee. Assess, analyze and recommend process changes to support a strong corporate compliance program. Perform follow up procedures to determine whether recommendations have been implemented. Support continuous auditing and monitoring of identified compliance risks. Perform audits in compliance with the standards of association of healthcare internal auditors. Qualifications Bachelors degree in healthcare administration, business administration/ IT, public health law or related discipline, OR High School degree with four (4) years of healthcare or compliance experience in addition to the requirements below. Five (5) years experience in healthcare administration compliance with a minimum of two (2) years work experience in healthcare auditing in a healthcare setting or with a provider of services to the healthcare industry. Familiarity with healthcare laws, CMS regulations, IIA standards, and AHIA guidelines. Excellent communication skills, both oral and written. Demonstrated numerical aptitude and attention to detail, analytical and problem-solving skills. Demonstrated intermediate-level computer skills in MS Outlook, Word, Power Point, and Excel. License/Certification/Registration Requirements Certified in Healthcare Compliance (CHC) or Certified Healthcare Internal Audit Professional (CHIAP), preferred. Salary Range: $49.87 - $74.81 USD Hourly The Physical Requirements and Working Conditions of this job are available. El Camino Health will provide reasonable accommodations to qualified individuals with a disability if that will allow them to perform the essential functions of a job unless doing so creates an undue hardship for the hospital, or causes a direct threat to these individuals or others in the workplace which cannot be eliminated by reasonable accommodation. Sedentary Work - Duties performed mostly while sitting; walking and standing at times. Occasionally lift or carry up to 10 lbs. Uses hands and fingers. - (Physical Requirements-United States of America) An Equal Opportunity Employer: El Camino Health seeks and values a diverse workforce. The organization is an equal opportunity employer and makes employment decisions on the basis of qualifications and competencies. El Camino Health prohibits discrimination in employment based on race, ancestry, national origin, color, sex, sexual orientation, gender identity, religion, disability, marital status, age, medical condition or any other status protected by law. In addition to state and federal law, El Camino Health also follows all applicable fair and equitable employment policies from the County of Santa Clara.

Come join one of America's fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. Please note that we do not offer visa sponsorship for this position. Role Summary Are you looking to begin your Compliance career with an opportunity to join Life & Annuity Compliance? We are seeking a talented individual who is passionate about continuing to develop their professional expertise through learning more about Compliance and how what we do applies to other organizational processes. The successful candidate will become part of the Regulatory & Risk Guidance ("R&RG") team and will complete routine assignments to coordinate the workflow of all four Life & Annuity Compliance teams and perform anti-money laundering ("AML") transaction monitoring processes. In this role you will primarily communicate with your immediate supervisor, other team leaders, and peers. As part of our team, you will have the opportunity to apply the skills you have already gained through your work experience, while continuing to grow your business and compliance knowledge as you take the next step in your career journey. The main products handled by the Company are fixed life insurance, including indexed universal life insurance, along with living benefits, and fixed annuities, including fixed indexed annuities. This position currently offers an onsite work schedule, with the expectation that you are in the office four (4) days per week during onsite core days. Our current onsite core days are Monday, Tuesday, Wednesday, and Thursday. The work schedule type and core days are subject to change with advance notification and manager discretion. Essential Duties and Responsibilities Accountable for the daily intake, logging, and assignment determination of all incoming Life & Annuity Compliance advertising requests, complaints, sales practice referrals, and fraud referrals. Contribute to the research, analysis, solution, and response to AML transaction monitoring applying acquired skills and theoretical knowledge to standard procedures. Use knowledge and skills for routine and ad-hoc tasks within internally established time standards. Work under general supervision with work reviewed periodically. Build relationships with internal peers. Handles routine assignments and identifies the need for exception to standard practices. Understands NLG values and Servant Leadership Tenets and actively integrates principles into daily work life. All other duties as assigned. Minimum Qualifications 3 years Total Combined post-secondary education and relevant work experience. 3 or more years related work experience and a High School Diploma, OR 1 or more years related work experience and an Associate's Degree, Technical/ Trade School Certificate, or 2 or more years college-level coursework. Proficiency in Microsoft Office Suite. Ability to provide exceptional customer service through empathy, listening, and understanding client needs. Demonstrate tact and professionalism and the ability to interact with individuals. Excellent written and verbal communication skills. Ability to work in a fast-paced environment, with a high degree of accuracy. Ability to maintain confidentiality on sensitive matters. Strong organizational, time management, qualitative, and analytical skills. Effectively work in a team environment, closely collaborating with multiple teams and peers. This position currently offers an onsite work schedule, with the expectation that you are in the office four days per week during onsite core days. Our current onsite core days are Monday, Tuesday, Wednesday, and Thursday. The work schedule type and core days are subject to change with advance notification and manager discretion. Preferred Qualifications Basic fixed life insurance and annuity experience. Benefits Your benefits start day one and are flexible and customizable to your and your family's specific needs. Check out the BENEFITS of a Career at National Life! Base Pay Range. The base pay range for this position is the range National Life reasonably and in good faith expects to pay for the position taking into account the wide variety of factors, including: prior experience and job-related knowledge; education, training and certificates; current business needs; and market factors. The final salary or hourly wages offered may be outside of this range based on other reasons and individual circumstances. Additional Compensation and Benefits. The total compensation package for this position may also include a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. The successful candidate may also be eligible to participate in National Life's discretionary annual incentive programs, subject to the rules governing such programs. If hired, the employee will be in an "at-will position" and National Life reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, company or individual department/team performance, and market factors. National Life is accepting applications for this role on an ongoing basis and the role remains open until filled. Hourly Pay Range $20-$29 USD National Life Group is a trade name of National Life Insurance Company, Montpelier, VT - founded in 1848, Life Insurance Company of the Southwest, Addison, TX - chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group. Fortune 1000 status is based on the consolidated financial results of all National Life Group companies. Social Media Policy Site Disclosure and Privacy Policy National Life Group 1 National Life Dr Montpelier, VT 05604

PJT Partners is a global advisory-focused investment bank. Our team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We offer a unique portfolio of advisory services designed to help our clients achieve their strategic objectives. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds. From the beginning, PJT Partners has firmly believed that having the best people is key to building an enduring franchise. Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues. Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients. To learn more about PJT Partners, please visit our website at www.pjtpartners.com. Responsibilities This is a great opportunity for a Compliance professional who has a strong background in registration and licensing and is a highly motivated and proven self-starter who can work independently and as part of a team. Primary responsibilities of the successful candidate include: Serve as a key member of the Central Compliance team, managing accurate and complete SEC and FINRA registration records for PJT Partners LP and its registered representatives Completing required onboarding validations of Form U4 Processing of Form U4, and U5 filings in a timely manner as required Accurately tracking pending licensing exams and coordinating study materials and examinations Tracking continuing education requirements and other required training, sending reminder notifications and escalating matters as applicable Producing periodic reporting for senior management Managing the regulatory requirements, including assessments and filings, related to residential remote work locations Managing and reviewing attestations related to regulatory obligations Monitoring and evaluating gifts requests and disclosures Developing, implementing, and maintaining Central Compliance operating procedures Facilitating timely responses to regulatory, audit or testing inquiries or requests Monitoring and interpreting registrations related regulatory changes and industry trends, advising compliance leadership on potential impacts and required actions Qualifications We seek to hire individuals who are highly motivated, intelligent, and are proven self-starters. The successful candidates should have excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment. The ideal candidate would have at least 5 years of compliance experience within the financial services industry (preferably at a broker dealer in a similar role) and meet the following qualifications: Bachelor's degree Proficient in using FINRA Gateway/WebCRD electronic filing systems Strong Microsoft Office skills, specifically Word, Excel and PPT Strong working knowledge of SEC, FINRA, and state registration rules, regulations, and filing requirements Demonstrates a collaborative mindset and the ability to effectively partner with internal and external stakeholders Ability to manage multiple priorities and high volumes of work while consistently delivering the highest quality results Ability and desire to get up to speed quickly with new or unfamiliar subject matter Ability to work under pressure and to fixed, tight deadlines Ability to identify and promptly escalate issues where appropriate Strong analytical, prioritization and organization skills Strong risk and control awareness Expected Annualized Base Salary of $95,000 - $110,000. PJT is an equal opportunity employer. We do not discriminate on the basis of, and will consider all qualified applicants for employment without regard to race, color, religious creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, martial or partnership status, sexual orientation, gender identity expression, disability, medical condition, genetic information or predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other category protected by law. PJT Partners also complies with all applicable laws with regard to providing reasonable accommodation of disabilities to applicants. For more information or to request an accommodation, please contact Human Resources. California Applicants: PJT Partners will consider for employment qualified applicants with arrest and/or conviction records in a manner consistent with applicable law including, but not limited to, the San Francisco Fair Chance Ordinance and/or Los Angeles Fair Chance Initiative for Hiring Ordinance. https://pjtpartners.com/applicant-privacy-notice In order to be considered, please ensure your resume/CV is submitted in PDF format.

Scheduled Hours 40 Position Summary Position is responsible for conducting comprehensive and focused audits in a variety of WashU Medicine multi-disciplinary clinical practices. The purpose of the audits is to determine accuracy of coding, documentation, and physician/provider compliance with CPT and ICD-9-CM coding standards, governmental billing regulations, and University policy. The position is responsible for analysis and interpretation of audit data resulting in communication of audit findings through written report. Job Description Primary Duties & Responsibilities: Perform audit function of the WashU Medicine Office of Physician Billing Compliance (OPBC). Follow audit plan/schedule as outlined in the OPBC fiscal year work plan as approved by the Compliance Director. Identify and select audit sample via Epic billing system query and secure selected medical records from inpatient and outpatient locations. Review medical record documentation for compliance with CPT and ICD-10-CM coding standards, University policy and Center for Medicare and Medicaid Services (CMS) regulations, including regulation applicable to physicians in teaching hospitals. Analyze and interpret the data collected. Research issues that arise out of audit findings. Prepare reports, as required, to provide an analysis of the data collected and to inform physicians, departmental staff and/or compliance personnel of findings. Report issues of non-compliance identified through the audit process to the Compliance Audit Manager. Create and/or modify all auditing tools and aids to ensure compliance, including modifications necessary to reflect changes in regulations as they occur. Research specialty specific coding/billing issues prior to departmental/divisional audits and keep abreast of current specialty-specific coding literature and changes in regulation, standard coding practice and policy. Notify Compliance Educator(s) of department/division specific practices, policies and procedures that may affect and/or raise compliance issues identified during the audit process. Ensure audit protocol adheres to the Standards of Ethical Coding as set forth by the American Health Information Management Association and to official coding guidelines. Perform special audit and compliance-related projects as assigned. Working Conditions: Job Location/Working Conditions: Normal office environment. Physical Effort: Typically sitting at desk or table. Occasional lifting (25 - 50 lbs). Equipment: Office equipment. The above statements are intended to describe the general nature and level of work performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all job duties performed by the personnel so classified. Management reserves the right to revise or amend duties at any time. Required Qualifications Education: Associate degree or combination of education and experience may substitute for minimum education. Certifications: No specific certification is required for this position. Work Experience: No specific work experience is required for this position. Skills: Health Care Driver's License: A driver's license is not required for this position. More About This Job WashU seeks highly motivated individuals who are able to perform duties in a manner consistent with our core mission and guiding principles. Preferred Qualifications Education: Bachelor's degree Certifications: Certified Professional Coder (CPC) - American Academy of Professional Coders (AAPC), Registered Health Information Administrator (RHIA) - American Health Information Management Association (AHIMA), Registered Health Information Technician (RHIT) - American Health Information Management Association (AHIMA), Registered Nurse- Illinois Department of Financial and Professional Regulation, Registered Nurse- Missouri Division of Professional Registration Work Experience: No additional work experience unless stated elsewhere in the job posting. Skills: Clinical Experience, CMS Regulations, Communication, Computer Applications, Continuous Quality Improvement (CQI), Current Procedural Terminology (CPT), HIPAA Regulations, ICD-10 Procedure Coding System, Medical Record Reviews, Spreadsheets, Teamwork, Word Proccessing, Working Independently Grade C13 Salary Range $68,100.00 - $105,500.00 / Annually The salary range reflects base salaries paid for positions in a given job grade across the University. Individual rates within the range will be determined by factors including one's qualifications and performance, equity with others in the department, market rates for positions within the same grade and department budget. Questions For frequently asked questions about the application process, please refer to our External Applicant FAQ. Accommodation If you are unable to use our online application system and would like an accommodation, please email CandidateQuestions@wustl.edu or call the dedicated accommodation inquiry number at 314-935-1149 and leave a voicemail with the nature of your request. All qualified individuals must be able to perform the essential functions of the position satisfactorily and, if requested, reasonable accommodations will be made to enable employees with disabilities to perform the essential functions of their job, absent undue hardship. Pre-Employment Screening All external candidates receiving an offer for employment will be required to submit to pre-employment screening for this position. The screenings will include criminal background check and, as applicable for the position, other background checks, drug screen, an employment and education or licensure/certification verification, physical examination, certain vaccinations and/or governmental registry checks. All offers are contingent upon successful completion of required screening. Benefits Statement Personal Up to 22 days of vacation, 10 recognized holidays, and sick time. Competitive health insurance packages with priority appointments and lower copays/coinsurance. Take advantage of our free Metro transit U-Pass for eligible employees. WashU provides eligible employees with a defined contribution (403(b)) Retirement Savings Plan, which combines employee contributions and university contributions starting at 7%. Wellness Wellness challenges, annual health screenings, mental health resources, mindfulness programs and courses, employee assistance program (EAP), financial resources, access to dietitians, and more! Family We offer 4 weeks of caregiver leave to bond with your new child. Family care resources are also available for your continued childcare needs. Need adult care? We've got you covered. WashU covers the cost of tuition for you and your family, including dependent undergraduate-level college tuition up to 100% at WashU and 40% elsewhere after seven years with us. For policies, detailed benefits, and eligibility, please visit: https://hr.wustl.edu/benefits/ EEO Statement Washington University in St. Louis is committed to the principles and practices of equal employment opportunity and especially encourages applications by those from underrepresented groups. It is the University's policy to provide equal opportunity and access to persons in all job titles without regard to race, ethnicity, color, national origin, age, religion, sex, sexual orientation, gender identity or expression, disability, protected veteran status, or genetic information. Washington University is dedicated to building a community of individuals who are committed to contributing to an inclusive environment - fostering respect for all and welcoming individuals from diverse backgrounds, experiences and perspectives. Individuals with a commitment to these values are encouraged to apply.

The Trade Desk is changing the way global brands and their agencies advertise to audiences around the world. How? With a media buying platform that helps brands deliver a more insightful and relevant ad experience for consumers –– and sets a new standard for global reach, accuracy, and transparency. We are proud of the culture we have built. We value the unique experiences and perspectives that each person brings to The Trade Desk, and we are committed to fostering inclusive spaces where everyone can bring their authentic selves to work every day. So, if you are talented, driven, creative, and eager to join a dynamic, globally-connected team, then we want to talk! What we do: We are looking for a Compliance Analyst who will assist with the Compliance program, which includes Sarbanes-Oxley (SOX), Service Organization Controls (SOC), and other compliance initiatives. The Analyst assists in leading the company’s implementation, maintenance, and remediation of compliance control initiatives. Further, this role assists with development of company-wide IT control standards, manages and participates in IT control-related projects. They will partner with stakeholders throughout the company including Engineering, Finance, Information Security, Technical Account Management, Support and Security Operations to identify solutions, process improvements, and further security compliance control-related initiatives. What you'll do: Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. Collaborate with 3rd party auditors to execute compliance program to ensure that technology and business processes meet compliance Assist with preparing compliance status reports for internal management, clients and auditors. Communicate complex IT issues in simple terms to team members. Produce quality deliverables supporting analysis and recommendations to stakeholders and executive management. Build productive working relationships with peers, reviewers and management. Work with other team members to develop best practices and a base of knowledge for future use. Stay current with emerging issues affecting the IT auditing profession. Who you are: BS or BA in relevant field (Computer Science, Information Systems, Finance, Economics, Accounting) Certifications such as CISSP, CISM, CISA or CIA, preferred 2+ years of experience public accounting experience. Big 4 preferred Experience with high technology companies and demonstrate proficiency with issues that are typical for technology companies with a complex IT environment Experience with Sarbanes Oxley, PCAOB, AICPA, SOC and COSO framework Experience supporting process improvements, coordinating projects, and assisting with change management initiatives Understanding of the Trust Services Principles, including security, availability, processing integrity, confidentiality, and privacy Strong organizational skills, follow through and detail-oriented self-starter with the ability to work independently and see tasks/projects through to completion, meet deadlines and understand when to escalate matters if needed Experience with AuditBoard or similar GRC platforms preferred Ability to make effective and independent judgments, including the ability to develop creative solutions to difficult problems Ability to summarize complex and/or technical information into easy-to-understand pieces (distinguishing message delivery from analysis) Ability to understand latest industry trends and their potential impact on the company Ability to work as an individual contributor and collaborate with internal teams Ability to juggle multiple high priorities in a fast-paced environment and have a willingness to learn Outstanding communication skills – including written and verbal communications, interpersonal, analytical, negotiating and problem-solving skills; proven ability to work cross-functionally Knowledge on privacy subject matter such as GDPR, CCPA, and general privacy laws is preferred Familiarity with leveraging AI tools to enhance audit, risk, or compliance processes preferred Experience with system integrations (e.g., ERP, GRC, or reporting tools) preferred Ability to perform light software development or scripting (e.g., Python, SQL, or APIs) to support automation and reporting preferred #LI-TP1 The Trade Desk does not accept unsolicited resumes from search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired; such resumes will be deemed the sole property of The Trade Desk. The Trade Desk is an equal opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law. [LA JOBS ONLY] The Trade Desk will consider qualified applicants with criminal histories for employment in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring, Ordinance No. 184652. [SF JOBS ONLY] Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. CO, CA, IL, NY, WA, and Washington DC residents only: In accordance with CO, CA, IL, NY, WA, and Washington DC law, the range provided is The Trade Desk's reasonable estimate of the base compensation for this role. The actual amount may differ based on non-discriminatory factors such as experience, knowledge, skills, abilities, and location. All employees may be eligible to become The Trade Desk shareholders through eligibility for stock-based compensation grants, which are awarded to employees based on company and individual performance. The Trade Desk also offers other compensation depending on the role such as sales-based incentives and commissions. Plus, expected benefits for this role include comprehensive healthcare (medical, dental, and vision) with premiums paid in full for employees and dependents, retirement benefits such as a 401k plan and company match, short and long-term disability coverage, basic life insurance, well-being benefits, reimbursement for certain tuition expenses, parental leave, sick time of 1 hour per 30 hours worked, vacation time for full-time employees up to 120 hours thru the first year and 160 hours thereafter, and around 13 paid holidays per year. Employees can also purchase The Trade Desk stock at a discount through The Trade Desk’s Employee Stock Purchase Plan. The Trade Desk also offers a competitive benefits package. Click here to learn more. Note: Interns are not eligible for variable incentive awards such as stock-based compensation, retirement plan, vacation, tuition reimbursement or parental leave At the Trade Desk, Base Salary is one part of our competitive total compensation and benefits package and is determined using a salary range. The base salary range for this role is $70,500 — $129,300 USD As an Equal Opportunity Employer, The Trade Desk is committed to making our job application process accessible to everyone and to providing reasonable accommodations for applicants with disabilities. If you have a disability or medical condition and require an accommodation for any part of the application or hiring process, please contact us at accommodations@thetradedesk.com You can also contact us using the same email address if you have a disability and need assistance to access our Company website. When contacting us, please provide your contact information and specify the nature of your accessibility issue.

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/ .

Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Commerce/Business Job Description FIS Management Services, LLC seeks Implementation-Conversion Analyst Seniors: Technology Business Consultant Senior, FIS Supervision Compliance Manager and FIS Trading Compliance Manager in Jacksonville, FL to conduct workshops with clients to understand and refine their compliance and regulatory needs. Use expertise in FIS Compliance Suite Solutions to align client expectations with product capabilities. Analyze business requirements and create Business Requirements Documentation (BRD) for FIS software customization. Collaborate with the product development team to design requirements and customize FIS software using proprietary tools, including rule logic, screens, data fields, forms, product sets, and tables. Develop detailed data maps and transaction workflow documents for seamless integration. Convert raw client data into FIS product-specific formats using Synapse Workbench for direct field mapping, advanced formula derivations, and transformation logic. Extract, transform, and load data from various sources while ensuring alignment with FIS SCM solution schemas. Share data maps with programmers, clients, and stakeholders for validation. Conduct thorough data validation by examining reports, running test scripts, and verifying transaction integrity. Lead product training sessions and demos to familiarize clients with system changes and new procedures. Utilize proprietary tools to answer client inquiries and guide them in using the FIS SCM and TCM. Test customized software solutions against client-specific needs and generate reports on data processing. Diagnose and resolve product issues, client queries, workflow bottlenecks, and alert configuration challenges. Provide solutions to optimize compliance workflows and enhance system efficiency. Coordinate readiness reviews, guide clients through test script execution, system setup, training, and report validation. Obtain formal client acceptance of results to confirm UAT phase success. Assesses client processes, forms, and reports to identify operational needs and document software functionality. Review final conversion results and obtain formal approval. Oversee post-conversion maintenance, resolve errors, implement system or data changes, and ensure ongoing system accuracy. Serve as an on-site resource during conversion, providing expert guidance, troubleshooting, and last-minute training. Train and mentor junior team members on FIS Compliance Suite solutions for successful implementation. REQUIREMENTS: Bachelor's degree or foreign equivalent in Business, Finance or related field and three (3) or more years of experience in the job offered or a related occupation: working with Capital Markets regulations, including Suitability, MAR, MiFID II, and Best Execution and understanding of the Capital Markets Trade Lifecycle and Order flows; utilizing SQL and data management tools; conducting data mapping sessions to align client data with system requirements; performing data analysis including debugging and resolving complex data issues; translating client requirements into detailed technical specifications and serving as a Subject Matter Expert (SME) for customer groups; managing implementation and conversion projects within the financial services sector; demonstrating project management skills including manage multiple projects simultaneously and consulting methodologies; and communicate complex technical concepts to non-technical stakeholders. In the alternative, the employer will accept three (3) years towards a Bachelor's degree and two (2) years of work experience to satisfy the degree requirement in the above listed fields. Telecommuting and/or working from home may be permissible pursuant to company policies. QUALIFIED APPLICANTS: Please apply directly through our website by clicking on "Apply Now." Privacy Statement FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice. EEOC Statement FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis. Sourcing Model Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company. #pridepass

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/ .

Grayscale is the largest digital asset-focused investment platform in the world by AUM and offers the broadest selection of digital asset investment products in the U.S. based on number of products. Our platform spans the full spectrum of institutional-grade solutions-from single-asset exposures to diversified and thematic strategies-with a goal of providing every investor with access to the hyper-expanding digital asset universe. Our firm offers a rare combination of decades of traditional finance work experience and digital asset leadership that brings an institutional mindset to the maturing digital asset industry. This convergence of capabilities positions us to deliver investment solutions and client experiences that are both institutionally robust and technologically advanced, which we believe offers a competitive edge that is difficult to replicate. We're proud of our deep crypto expertise and work closely with individual and institutional investors as they explore this asset class as part of their portfolio allocation. Position Summary Grayscale Investments is seeking a Compliance Associate to support the Firm's Registered Investment Adviser and Broker-Dealer. Grayscale Investments is the world's largest digital currency asset manager. Through its family of investment products, Grayscale provides access to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and unrivaled experience, Grayscale's products operate within existing regulatory frameworks, creating secure and compliant exposure for investors. Responsibilities: Assist with regulatory marketing filings, including Free Writing Prospectuses. Work closely with Marketing and Sales colleagues to ensure compliance with the Firm's policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows. Assist the Director of Compliance in facilitating the day-to-day operations of the Firm's marketing compliance program, including the Free Writing Prospectus process and assist in reviewing advertising and marketing materials (including social media) for the Firm's Registered Investment Adviser and Broker-Dealer. Assist in the monitoring of marketing activities to promote compliance with internal policies, applicable rules and regulations. Perform targeted reviews in connection with the specific ETF/ETP compliance requirements, including web and document disclosure, and other regulatory and compliance requirements. Support the Firm's compliance program under Rules 38a-1 of the Investment Company Act and 206(4)-7 of the Investment Advisers Act. Assist the Compliance team on special projects, as applicable. Effectively work and communicate across all levels of the organization. Develop in-depth knowledge of the Firm's investment products and capabilities. Stay current on developments in the digital currency ecosystem. Prior Experience/Requirements: Bachelor's degree with strong academic achievement. 2-5 years of experience reviewing different types of marketing materials including, registered fund materials, website & social media content, customized investor presentations and distribution of materials for retail and accredited investors. Interest in learning the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance. Ability to provide accurate, direct and practical advice in a timely fashion. Detail oriented with the ability to assess and prioritize projects. Ability to work effectively on a team. Must be collaborative, flexible and adaptable, reliable with a strong 'can do attitude.' Ability to operate in a fast-paced environment. Strong interest in digital assets, blockchain technology, and related concepts. Series 7 required, and willingness to obtain Series 24 We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.