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Compliance Manager-logo
Compliance Manager
Ameriprise FinancialMinneapolis, MN
We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who will manage aspects of, and complete, document management activities for supervisory procedures in CompliSource. Conduct testing of written supervisory procedures (WSP, IA P&P, BUSP, etc.) to evaluate if they are reasonably designed and executed to achieve compliance with regulatory requirements. Support the execution of team processes such as the Annual Review, document management (CompliSource) and Monthly Reporting. Provide training, coaching and mentoring to compliance and business partners. Responsibilities Administer individual and team document management activities for supervisory procedures in CompliSource. Conduct testing of procedures, controls, and supervision of business unit activities. Support the execution of team processes such as the Annual Review and Monthly Reporting. Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures. Provide training, coaching and mentoring to team members and business partners. Maintain current knowledge of industry practices and developments. Required Qualifications Bachelor's degree or equivalent experience. 5-7 years of experience. Series 7 and Series 24. Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services. Excellent communication, presentation and organizational skills. Ability to plan and manage multiple competing priorities. Ability to work independently, meet deadlines and be a team player. Preferred Qualifications Prior operational experience in client service or clearing functions at a broker-dealer or insurance company. Prior experience testing broker-dealer controls or similar internal or external audit functions. High proficiency with Microsoft Word, Access and Excel. Document management skills. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $77,100 / $120,100 year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization

Posted 1 week ago

Trade Compliance Coordinator-logo
Trade Compliance Coordinator
EnvistaQuakertown, PA
Job Description: Position Overview: The Trade Compliance Coordinator is responsible for assisting the Trade Compliance Subject Matter Expert Classification and Manager (hereinafter referred to as "SME/TC Manager") with the import and export activities for the Metrex (Romulus) and Dental Imaging (Quakertown) Operating Companies ("OpCos") locations within Envista. Directly reporting to the SME/TC Manager. Active participation in supporting and auditing the Trade Compliance program. Metrics reporting, broker communication and import/export documentation auditing, and assisting SME/TC Manager in updating SOPs will be the primary responsibilities. Assisting SME/TC Manager with special projects relating to import and export as needed. Essential Duties and Responsibilities: Assist the SME/TC Manager with classifying Envista products with the Harmonized Tariff Schedule of the United States (HTSUS) and BIS - Export Commodity Control Numbers (ECCN) classifications Manage the daily trade compliance operations for US import and export transactions by working with the customs brokers and freight forwarders to ensure timely clearance for Metrex and Dental Imaging OpCos Conduct Metrex and Dental Imaging import and export compliance audits and review and implement corrective actions at the guidance of the SME/TC Manager At the direction of the SME/TC Manager prepare metrics and KPI reports for import and export operations for trade compliance management involving Metrex and Dental Imaging Opcos Annual qualification of USMCA for US manufactured items Maintain master country of origin and classification database for Metrex and Dental Imaging OpCo parts Assist the SME/TC Manager with auditing import/export programs at Metrex and Dental Imaging OpCos and the development of countermeasures and action plans for compliance improvements as directed by the SME/TC Manager Analyze data from ACE reports for errors and anomalies Work with various internal departments including, procurement, regulatory, logistics, international shipping and R&D to collect and manage trade related information to accurately classify shipments, obtain certificates of origin, and collect information pertaining to assists Gather import and export information/documentation to audit brokers and freight forwarder activities Audit Customs entries for accuracy and comprehensiveness as well as work with the other Envista Trade Compliance team members to resolve errors found in entry audits and prepare corrective action plans to avoid future errors at the direction of the SME/TC Manager Maintain the document retention program regarding trade compliance for Metrex and Dental Imaging OpCos import and export activities Maintain the Import and Export Standard Operating Procedures (SOP's) based on applicable governmental regulations and SOP templates Actively participate in special projects as assigned by the SME/TC Manager Job Requirements: Qualifications: Must possess proven experience in Trade Compliance (i.e., International trade, Customs and/or Export Controls compliance). Strong analytical, planning and organizational skills to design and execute work plans, sharp critical thinking abilities to troubleshoot and problem-solve and excellent communication skills are essential elements to be successful in this role. Minimum Bachelor's degree in International Business, Trade compliance or related field required 3-5 years of related work experience in Trade Compliance. Proficiency with Microsoft Office Applications (Word, Access, Excel, Outlook, and PowerPoint) ACE (Government Import/Export portal) required Experience in classifying under the HTSUS Experience with USMCA qualification Travel between Romulus and Quakertown once per quarter based on business needs Preferred: ERP experience preferred (SAP or Oracle) Ability to interpret & examine Federal CFR and EAR regulations Experience in medical field with FDA regulatory a plus Self-motivated, able to work independently and in a team environment with little supervision Able to effectively handle multiple projects simultaneously. Strong project management skills Excellent verbal and written communication skills Strong analytical and research skills Able to work effectively with all levels within the Envista corporation Able to maintain confidentiality Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this Job, the employee is regularly required to sit. The employee is frequently required to walk. The employee is occasionally required to stand. The employee must occasionally lift and/or move up to 10 pounds. The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. #LI-RJ1 IND123 Operating Company: Corporate Envista is a global family of more than 30 trusted dental brands, united by a shared purpose: to partner with professionals to improve lives. Envista helps its partners deliver the best possible patient care through industry-leading products, solutions, and technology. Our comprehensive portfolio, including dental implants and treatment options, orthodontics, and digital imaging technologies, covers an estimated 90% of dentists' clinical needs for diagnosing, treating, and preventing dental conditions as well as improving the aesthetics of the human smile. Envista and all Envista Companies are equal opportunity employers that evaluate qualified applicants without regard to race, color, national origin, religion, sex, age, marital status, disability, veteran status, sexual orientation, gender identity, or other characteristics protected by law. The "EEO is the Law" poster is available at: http://www.dol.gov/ofccp/regs/ compliance/posters/pdf/eeopost.pdf. Envista and its family of companies (Envista) will not accept unsolicited resumes from any source other than directly from a candidate. Envista will consider unsolicited referrals and/or resumes submitted by vendors such as search firms, staffing agencies, professional recruiters, fee-based referral services and recruiting agencies (Agency) to have been referred by the Agency free of charge and Envista will not pay a fee for any placement resulting from the receipt such unsolicited resumes. An Agency must obtain advance written approval from Envista's internal Talent Acquisition or Human Resources team to submit resumes, and then only in conjunction with a valid fully-executed contract approved by the Global Talent Acquisition leader and in response to a specific job opening. Envista will not pay a fee to any Agency that does not have such agreement and written approval in place.

Posted 30+ days ago

Sr. FAA Compliance Specialist - New Glenn-logo
Sr. FAA Compliance Specialist - New Glenn
Blue OriginSeattle, WA
Application close date: Applications will be accepted on an ongoing basis until the requisition is closed. At Blue Origin, we envision millions of people living and working in space for the benefit of Earth. We're working to develop reusable, safe, and low-cost space vehicles and systems within a culture of safety, collaboration, and inclusion. Join our team of problem solvers as we add new chapters to the history of spaceflight! This role supports the development and operations of New Glenn, a single-configuration, heavy-lift orbital launch vehicle capable of routinely carrying people and payloads to low-Earth orbit, geostationary transfer orbit, cislunar, and beyond. Its first stage is fully reusable, and the vehicle was designed from the beginning to be human-capable. As part of a small, passionate team, you will work on launch vehicles, space vehicles, and launch facility systems for New Glenn. This critical role supports regulatory compliance efforts on the NG program focused on licensing with the Federal Aviation Administration Office of Commercial Space Transportation. You will support the regulatory compliance efforts to ensure accurate and timely regulatory approvals for the New Glenn launch vehicle program. To be successful in this role, you will develop and maintain positive relationships across the New Glenn program and our US government partners at the US Space Force and NASA. You must be proactive in developing the strategy associated with sophisticated products across many technical subject areas while also developing, delivering, and communicating results in support of government requests. You will support developing, reviewing, and providing licensing products. Lastly, you must have the resourcefulness and flexibility to perform at a high-level in a fast-paced, dynamic environment and be an incredible team member! We are looking for someone to apply their technical expertise, leadership skills, and high standard of quality to positively impact safe human spaceflight. Passion for our mission and dedication to building a future where millions of people are living and working in space is required! Qualifications: Minimum of a B.S. degree in engineering/Science or an equivalent technical management field Proven experience with large-scale, development aerospace program Experience with key regulatory requirements (e.g., 14 CFR Part 450) Experience with key domain of FAA Licensing: Systems Safety, Flight Safety Analysis, and/or Flight Safety Systems Ability to work within a team environment Excellent communication and coordination skills Use excellent judgement and be comfortable making high-quality and high-velocity decisions Exhibit excellent written and verbal communication skills Strong track record of product ownership Ability to earn trust and develop positive and inclusive relationships Experience with collaboration tools such as Confluence and JIRA Ability to earn trust, maintain positive and professional relationships, and contribute to a culture of inclusion Must be a U.S. citizen or national, U.S. permanent resident (current Green Card holder), or lawfully admitted into the U.S. as a refugee or granted asylum. Compensation Range for: CA applicants is $140,959.00-$197,342.25;CO applicants is $129,611.00-$181,454.70;WA applicants is $140,959.00-$197,342.25 Other site ranges may differ Culture Statement Don't meet all desired requirements? Studies have shown that some people are less likely to apply to jobs unless they meet every single desired qualification. At Blue Origin, we are dedicated to building an authentic workplace, so if you're excited about this role but your past experience doesn't align perfectly with every desired qualification in the job description, we encourage you to apply anyway. You may be just the right candidate for this or other roles. Export Control Regulations Applicants for employment at Blue Origin must be a U.S. citizen or national, U.S. permanent resident (i.e. current Green Card holder), or lawfully admitted into the U.S. as a refugee or granted asylum. Background Check Required for all positions: Blue's Standard Background Check Required for Certain Job Profiles: Defense Biometric Identification System (DBIDS) background check if at any time the role requires one to be on a military installation Required for Certain Job Profiles: Drivers who operate Commercial Motor Vehicles with a Gross Vehicle Weight (GVW), Gross Vehicle Weight Rating (GVWR) or combination of power unit and trailer that meets or exceeds 10,001 lbs. and/or transports placardable amounts of hazardous materials by ground in any vehicle on a public road while in commerce, may be subject to additional Federal Motor Carrier Safety Regulations including: Driver Qualification Files, Medical Certification, Road Test, Hours of Service, Drug and Alcohol Testing (CDL drivers only), vehicle inspection requirements, CDL requirements (if applicable) and hazardous materials transportation/shipping training. Benefits Benefits include: Medical, dental, vision, basic and supplemental life insurance, paid parental leave, short and long-term disability, 401(k) with a company match of up to 5%, and an Education Support Program. Paid Time Off: Up to four (4) weeks per year based on weekly scheduled hours, and up to 14 company-paid holidays. Discretionary bonus: Bonuses are designed to reward individual contributions as well as allow employees to share in company results. Eligibility for benefits varies by role type, please check with your recruiter for a comprehensive list of the benefits available for this role. Equal Employment Opportunity Blue Origin is proud to be an Equal Opportunity/Affirmative Action Employer and is committed to attracting, retaining, and developing a highly qualified, diverse, and dedicated work force. Blue Origin hires and promotes people on the basis of their qualifications, performance, and abilities. We support the establishment and maintenance of a workplace that fosters trust, equality, and teamwork, in which all employees recognize and appreciate the diversity of individual team members. We provide all qualified applicants for employment and employees with equal opportunities for hire, promotion, and other terms and conditions of employment, regardless of their race, color, religion, gender, sexual orientation, gender identity, national origin/ethnicity, age, physical or mental disability, genetic factors, military/veteran status, or any other status or characteristic protected by federal, state, and/or local law. Blue Origin will consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state, and local laws, including the Washington Fair Chance Act, the California Fair Chance Act, the Los Angeles Fair Chance in Hiring Ordinance, and other applicable laws. For more information on "EEO Is the Law," please see here. Affirmative Action and Disability Accommodation Applicants wishing to receive information on Blue Origin's Affirmative Action Plans, or applicants requiring a reasonable accommodation in order to participate in the application and/or interview process, please contact us at EEOCompliance@blueorigin.com. California Applicant Privacy Notice If you are a California resident, please reference the CA Applicant Privacy Notice here.

Posted 2 weeks ago

Assured Compliance Assessment Solution Administrator-logo
Assured Compliance Assessment Solution Administrator
Booz Allen Hamilton Inc.Base Lewis-McChord, WA
Assured Compliance Assessment Solution Administrator The Opportunity: As the Assured Compliance Assessment Solution (ACAS) Administrator for our team, you will be responsible for supporting the development and fielding efforts, including testing and installing operating systems and application lock-down related to the ACAS architecture. You will apply current cyber and Risk Management Framework (RMF) protocols to complex servers, networks, and interconnected systems to meet the conditions necessary to maintain an Authority to Operate. You will also support the implementation of DoD Security Technical Implementation Guides (STIGs) for operating systems, monitor and apply Information Assurance Vulnerability Alerts (IAVA), conduct system vulnerability scanning and mitigate findings, and remediate findings to ensure system security and compliance. Furthermore, you will be engaged in the development and fielding efforts, applying RMF protocols to intricate server, network, and interconnected systems to uphold the requisite conditions for maintaining an Authority to Operate. Your role will include overseeing the implementation of STIGs for operating systems, monitoring IAVA, performing system vulnerability scans, mitigating vulnerabilities, and remediating issues to guarantee system integrity and compliance. You will leverage your experience with ACAS architecture, proficiency in applying RMF protocols, knowledge of DoD STIGs implementation, expertise in vulnerability scanning and mitigation, and remediating security findings effectively. Join us. The world can't wait. You Have: 3+ years of experience in the implementation, operation, and maintenance of DoD ACAS Experience with vulnerability scanning tools, remediation of findings, detecting assets and vulnerabilities using several sensors, such as active scanning, passive discovery, agent-based scanning, and event analysis Experience with Windows and UNIX operating systems administration Secret clearance HS diploma or GED DOD 8570.01-M IAT II DCWF Certification Nice If You Have: Ability to pay strict attention to detail Ability to work collaboratively in a team environment Possession of excellent problem-solving skills Clearance: Applicants selected will be subject to a security investigation and may need to meet eligibility requirements for access to classified information; Secret clearance is required. Compensation At Booz Allen, we celebrate your contributions, provide you with opportunities and choices, and support your total well-being. Our offerings include health, life, disability, financial, and retirement benefits, as well as paid leave, professional development, tuition assistance, work-life programs, and dependent care. Our recognition awards program acknowledges employees for exceptional performance and superior demonstration of our values. Full-time and part-time employees working at least 20 hours a week on a regular basis are eligible to participate in Booz Allen's benefit programs. Individuals that do not meet the threshold are only eligible for select offerings, not inclusive of health benefits. We encourage you to learn more about our total benefits by visiting the Resource page on our Careers site and reviewing Our Employee Benefits page. Salary at Booz Allen is determined by various factors, including but not limited to location, the individual's particular combination of education, knowledge, skills, competencies, and experience, as well as contract-specific affordability and organizational requirements. The projected compensation range for this position is $61,900.00 to $141,000.00 (annualized USD). The estimate displayed represents the typical salary range for this position and is just one component of Booz Allen's total compensation package for employees. This posting will close within 90 days from the Posting Date. Identity Statement As part of the application process, you are expected to be on camera during interviews and assessments. We reserve the right to take your picture to verify your identity and prevent fraud. Work Model Our people-first culture prioritizes the benefits of flexibility and collaboration, whether that happens in person or remotely. If this position is listed as remote or hybrid, you'll periodically work from a Booz Allen or client site facility. If this position is listed as onsite, you'll work with colleagues and clients in person, as needed for the specific role. Commitment to Non-Discrimination All qualified applicants will receive consideration for employment without regard to disability, status as a protected veteran or any other status protected by applicable federal, state, local, or international law.

Posted 30+ days ago

Compliance Head, U.S. FDA-logo
Compliance Head, U.S. FDA
SanofiSwiftwater, PA
Job Title: Compliance Head- US FDA Location: Framingham, MA, Morristown, NJ Job Title: Compliance Head- US FDA Location: Framingham, MA, Morristown, NJ About the Job We deliver 4.3 billion healthcare solutions to people every year, thanks to the flawless planning and meticulous eye for detail of our Manufacturing & Supply teams. With your talent and ambition, we can do even more to protect people from infectious diseases and bring hope to patients and their families. Foster best-in-class performance by leveraging data, technology and diverse talents to secure product launches and support compliance through audits, inspections, regulatory surveillance, and advocacy. Grounded in core values Integrity, Collaboration, Innovation, Expertise. We are an innovative global healthcare company with one purpose: to chase the miracles of science to improve people's lives. We're also a company where you can flourish and grow your career, with countless opportunities to explore, make connections with people, and stretch the limits of what you thought was possible. Ready to get started? Main Responsibilities: Ensure US FDA GMP Inspection Readiness, Inspection Activities, Inspection Follow-Up for US FDA exposed sites within Sanofi and the external network (e.g., CMOs, Alliance Partners, etc.): Enhance inspection readiness through on-site quality system assessments, audits, identifying gaps, and developing mitigation action plans. Oversee FDA inspection preparation, providing guidance, training, and coaching to ensure thorough readiness and effective response management. Provide direct support to US FDA GMP inspections on-site to ensure successful outcomes. In collaboration with the sites, coordinate and prepare briefing materials for US FDA inspections, ensuring key stakeholders are well-prepared and informed. Collaborate with SMEs and Business Process Owners (BPOs) to ensure consistent and high-quality responses and support the development and promotion of Global Quality Documentation. Supports the preparation, execution and closure of regulatory inspections. Ensures responses are qualitative and submitted on time and resulting CAPA are implemented as committed. Maintain a system ensuring continuous inspection readiness. Maintain oversight of Sanofi's aggregate GMP US FDA findings and action plans, for trending purposes, and ensuring accurate reporting to Operations Management and Global Quality. Core member of critical governance Sanofi's GMP GDP Quality Council to facilitate sharing of US FDA inspection findings and best practices across entities, M&S sites, R&D, and countries Quality Audit Inspection Intelligence & Advocacy Leadership Team Lead cGMP compliance projects aligned with the company's Quality Operations strategy and US FDA regulations. Drive digital transformation initiatives Contribute US FDA domain expertise to the development of predictive models for quality risk exposure and risk-based auditing. Represent Sanofi externally at key industrial and trade association meetings and in working groups. Foster a culture of quality and cGMP compliance, engaging all organizational levels to drive continuous improvement. Management Responsibilities: This position has no direct reports. This position interacts with: Quality Audit Inspection Intelligence & Advocacy Leadership and Department Compliance heads, Cluster Quality heads and PQL across all global business units (GBUs) Site Quality Managers Operational functions within GBUs Global Quality functions including the quality technical experts and quality business process owners (BPOs). Latitude of Action: This position reports solid line to the Head of Quality Audit Inspection Intelligence & Advocacy. The role holder is required to work autonomously taking decisions in line with Sanofi Global Quality Policy, Standards, Procedures and Processes. The role holder is highly independent strategic thinker and has strong compliance mindset; results-driven, can-do-attitude, solution-oriented, change-agent, patient centric mindset, innovative and resourceful. Role Impact: The role provides a key link among all US FDA exposed sites and entities in the GMP network. It is a key role in ensuring coherent development and roll-out of the Sanofi Quality Management System in line with US FDA cGMP regulatory requirements, Pharmaceutical Quality System ICH Q10 and Sanofi quality policy across the managed manufacturing sites' network. About You Basic Qualifications A minimum of a Master's degree in science, pharmacy, engineering, data science, or equivalent is required Current or recent employment at US FDA (within last 3 years) and US FDA experience (>10 years) with a minimum of 15 years relevant experience in the pharmaceutical, biotech, medical device, or related industries. Extensive knowledge of Quality Systems and Data Integrity is required. Strong command of manufacturing processes, validation principles, risk assessment methodologies, and statistical techniques. A minimum of eight or years of professional experience as an auditor and/or inspector is required. Previous experience interfacing with Regulatory Authority Inspectors from different regions of the world. Inclusive, transformational, pragmatic leadership, change management Fluency in French speaking is a plus. This position may require up to 50% overall business travel Preferred Qualifications Member of International Society for Pharmaceutical Engineering (ISPE), BioPhorum, BSI, and/or Parenteral Drug Association (PDA) with working group experience in authoring guidance documents and/or white papers. French speaking is a plus. Why Choose Us? ·Bring the miracles of science to life alongside a supportive, future-focused team. Discover endless opportunities to grow your talent and drive your career, whether it's through a promotion or lateral move, at home or internationally. Enjoy a thoughtful, well-crafted rewards package that recognizes your contribution and amplifies your impact. Take good care of yourself and your family, with a wide range of health and wellbeing benefits including high-quality healthcare, prevention and wellness programs and at least 14 weeks of gender-neutral parental leave. Sanofi Inc. and its U.S. affiliates are Equal Opportunity and Affirmative Action employers committed to a culturally diverse workforce. All qualified applicants will receive consideration for employment without regard to race; color; creed; religion; national origin; age; ancestry; nationality; marital, domestic partnership or civil union status; sex, gender, gender identity or expression; affectional or sexual orientation; disability; veteran or military status or liability for military status; domestic violence victim status; atypical cellular or blood trait; genetic information (including the refusal to submit to genetic testing) or any other characteristic protected by law. Sanofi Inc. and its U.S. affiliates are Equal Opportunity and Affirmative Action employers committed to a culturally diverse workforce. All qualified applicants will receive consideration for employment without regard to race; color; creed; religion; national origin; age; ancestry; nationality; marital, domestic partnership or civil union status; sex, gender, gender identity or expression; affectional or sexual orientation; disability; veteran or military status or liability for military status; domestic violence victim status; atypical cellular or blood trait; genetic information (including the refusal to submit to genetic testing) or any other characteristic protected by law. #GD-SP #LI-SP #LI-Hybrid #vhd Pursue progress, discover extraordinary Better is out there. Better medications, better outcomes, better science. But progress doesn't happen without people - people from different backgrounds, in different locations, doing different roles, all united by one thing: a desire to make miracles happen. So, let's be those people. At Sanofi, we provide equal opportunities to all regardless of race, colour, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, ability or gender identity. Watch our ALL IN video and check out our Diversity Equity and Inclusion actions at sanofi.com! US and Puerto Rico Residents Only Sanofi Inc. and its U.S. affiliates are Equal Opportunity and Affirmative Action employers committed to a culturally inclusive and diverse workforce. All qualified applicants will receive consideration for employment without regard to race; color; creed; religion; national origin; age; ancestry; nationality; natural or protective hairstyles; marital, domestic partnership or civil union status; sex, gender, gender identity or expression; affectional or sexual orientation; disability; veteran or military status or liability for military status; domestic violence victim status; atypical cellular or blood trait; genetic information (including the refusal to submit to genetic testing) or any other characteristic protected by law. North America Applicants Only The salary range for this position is: $210,000.00 - $303,333.33 All compensation will be determined commensurate with demonstrated experience. Employees may be eligible to participate in Company employee benefit programs. Additional benefits information can be found through the LINK.

Posted 6 days ago

Risk And Compliance Business Partner - Investment Operations-logo
Risk And Compliance Business Partner - Investment Operations
Netwealth Group LimitedMelbourne, FL
About Netwealth Netwealth is more than a company; it is a catalyst for change, inspiring a new perspective on wealth and a brighter future for everyone involved. Our innovative and award-winning wealth management platform reflects our commitment to excellence and cutting-edge technology. Founded in 1999, Netwealth has grown rapidly, driven by an entrepreneurial spirit that encourages us to challenge the status quo. Our NextGen superannuation and investment technology exemplify our agile and nimble approach, unburdened by bureaucracy, allowing us to adapt quickly to meet the needs of our clients. At Netwealth, our team is our greatest asset. We are a collective of passionate individuals dedicated to making life better for more Australians. Our values-Curious, Optimistic, Courageous, Collaborative, Agile, and Genuine-are the guiding principles that shape our decisions and define how we present ourselves to the world. Join us in our mission and become part of a team that not only envisions a better future but actively works to create it. The opportunity As a Risk and Compliance Business Partner, you will provide expert advice and oversight to the Investment Operations department at Netwealth on all risk and compliance matters. You will be responsible for assessing and overseeing risk and compliance activities, managing and resolving issues and incidents, monitor actions, and reporting on risk and compliance performance. You will also collaborate with the Legal, Risk and Compliance department and other stakeholders to implement and improve risk and compliance frameworks, policies and standards. About you We are looking for an experienced Risk and Compliance professional who excels in providing proactive and solution-oriented support to their stakeholders. Ideally you have at least 5-7 years of experience in the banking or financial services industries, preferably with exposure to managed investment, IDPS and/or superannuation products. You will be able to manage your time effectively, communicate clearly and persuasively, present confidently and engage with various stakeholders. You will also be able to work independently and collaboratively in a fast paced and dynamic environment. Specifically, skills and experience include. Experience in financial markets and investment operations Experience in compliance reviews and audit Sound knowledge of relevant financial services laws and regulator expectations (e.g., ASIC/APRA/OAIC) Ability to analyse data and trends to provide insights and recommendations Life At Netwealth At Netwealth, people are our core strength, and we invest in our employees no matter what stage of life they are in. When you're at your best, we're at our best! We prioritise the growth of our employees, and you'll be able to learn and develop yourself and your career at Netwealth. We provide access to further education and diverse training opportunities, and we actively support internal mobility. 32% of our jobs filled in 2023 were from internal candidates. We have a flexible and adaptable hybrid working policy with the expectation you'll spend 4 days a fortnight coming into our state-of-the-art office. We're located in the heart of Melbourne's CBD and have all the bells and whistles you would expect - including modern end of trip facilities for your commute to work, and breakfast provided daily. We have a number of benefits that have been designed with a focus on health and well-being, support and growth. Some of these include: Family-friendly workplace, with parental leave and a kid's holiday programme Wellness and lifestyle perks including discounted gym memberships, income protection, flu shots, wellness weeks, shopping and retail discounts, access to financial wellbeing services We're a social bunch and love to get together regularly, participating in corporate sporting events, games and trivia nights Employee Resource Groups - LGBTQIA, Women of Netwealth, Culture Group, Carers Group Support for community involvement through volunteering and our Netwealth Impact Group Apply now! Here at Netwealth, we support and encourage everyone to bring their genuine selves to work (it's one of our core values), and we're proud of our inclusive and diverse workforce. We are committed to this through our gender equality, disability, LGBTQIA+, well-being and cultural initiatives. We are proud to be endorsed and certified by Work180, Family Friendly Workplaces and Great Place to Work. Are you curious about this opportunity but don't meet every single requirement? Research shows that we don't always apply to jobs we are interested in unless we meet every single qualification. If you are excited about this role but don't tick every box, we encourage you to apply anyway! If you require any reasonable adjustments throughout the recruitment process, please let us know by emailing people@netwealth.com.au

Posted 30+ days ago

Svp, Senior Compliance Officer - Alternatives-logo
Svp, Senior Compliance Officer - Alternatives
PIMCONewport Beach, CA
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Location: There is a strong preference for the role to be based in Newport Beach, though there may be flexibility to consider New York for the right candidate. Overview PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the investment adviser compliance program and compliance matters relating to PIMCO's alternatives and private funds business. The position will be based in our corporate headquarters in Newport Beach, CA. Responsibilities Support the development and implementation of PIMCO's investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally Manage regulatory compliance aspects of PIMCO's investment adviser compliance program, with a focus on the alternatives/private funds business Implement and adapt the compliance program to respond to business needs and regulatory changes Draft and implement policies, procedures, memos and internal and external communications Participate in the Advisers' and private funds' risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures, and controls and identifying enhancements based on test results Identify and address situations involving conflicts of interest Work with various teams and departments including Legal, Portfolio Management, Operations, and client facing teams to identify and address regulatory matters Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO's investment advisory business Must take initiative in learning and applying new skills and regulations Demonstrate integrity and a commitment to PIMCO's values and ethical principles Requirements This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Bachelor's degree or equivalent required; graduate degree or Juris Doctorate preferred Several years of relevant experience in a major financial services firm or global asset manager, with a focus on private funds and alternative strategies Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity across different investment products Demonstrate initiative, integrity, and a commitment to PIMCO's values and ethical principles Excellent problem-solving skills Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas Service-oriented; the ability to balance regulatory and policy standards along with a business perspective Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 215,000.00 - $ 260,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Posted 2 weeks ago

Alcohol Compliance Rep - Coastal Credit Union Music Park At Walnut Creek-logo
Alcohol Compliance Rep - Coastal Credit Union Music Park At Walnut Creek
LegendsRaleigh, NC
The Role Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. Company Overview Legends is a holistic agency that specializes in delivering solutions for legendary brands. We approach each project with our 360-degree service solution. Our Global Planning, Global Sales, and Hospitality service solutions collaborate on every project to ensure success across each of our six verticals including professional sports, collegiate, attractions, entertainment, international, and conventions. Our intellectual property is our people. It's our expertise that makes up Legends. We know what it's like to be on the team, business, or athletic department side, which drives our passion in creating solutions for our partners. Collectively, our leadership has over 300 years of experience in sales and sponsorship, analytics and valuation, hospitality and operations. Responsibilities Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. Supervises the serving of alcohol by game day staff Ensures staff is adhering to Legends' alcohol service policy Observes and documents all alcohol related issues or violations Assists with alcohol cut-off and performs other duties as assigned by management Completes inventory at assigned locations Must maintain a friendly, positive attitude and a professional demeanor always Ability to interact with guests and staff to insure guest satisfaction Must have extensive knowledge of food and beverage menu, specials and services offered Know the "layout" of the venue and assigned area where you are working Provide guests with personal service and attention to detail that will exceed expectations Maintain a clean, neat and safe work area Ability to assure compliance with all company service standards Work as a team with fellow associates and other service departments within venue Ability to work a flexible schedule to meet service demand levels, including days, nights, weekends and holidays Must meet state and local health requirements for food handlers and alcoholic beverage services. Qualifications Must have experience working in a fast paced environment Some alcohol compliance experience preferred Must be proactive, self-motivated, organized and the ability to prioritize as needed Must be detail oriented Ability to work under pressure and adapt to change quickly Must be punctual and dependable Ability to move quickly and act on assigned duties within production and service time frames established Must maintain personal hygiene and a well-groomed appearance standards Ability to walk long distances and stand for extended periods of time Must be able to stand, kneel, lift (up to 30 pounds), carry items, push carts, walk at a fast pace, and bend down Must be able to operate in a fast paced, challenging, and diverse environment efficiently Practice safe work habits, follow all safety policies and procedures and regulations, complete company-wide safety training and any additional job specific safety training. Legends is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, disability, or genetic information.

Posted 30+ days ago

Compliance Consultant - Financial Marketing-logo
Compliance Consultant - Financial Marketing
American Century InvestmentsKansas City, MO
About Us American Century Investments is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income, multi-asset strategies, ETFs, and private investments. Privately controlled and independent, we focus solely on investment management. But there's an unexpected side to us, too. We direct over 40% of our profits every year-more than $2 billion since 2000-to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institute's breakthrough work and mission of defeating life-threatening diseases like cancer and Alzheimer's. So, the better we do for our clients, the more we can do for everyone. All 1,400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative, the deep relationships we build with our clients, and the way we treat each other in the hallway. If you're excited to learn more about us, we can't wait to learn more about you. Role Summary We're seeking an exceptionally skilled Compliance Consultant to join our world-class Marketing Compliance Team in a full-time, in-house capacity. You will review, analyze, and provide guidance and approval for communication materials intended for use with retail, intermediary, institutional, and non-US audiences. Your role ensures flawless compliance with regulatory requirements, internal guidelines/policies, and risk-related issues. As a crucial team member, you will review diverse public communications, including printed materials, presentations, social media, videos, web pages, and email campaigns. In addition, the consultant may be responsible for filing material with FINRA, if applicable. Collaboration with marketing experts and the Legal Department is key to your success! This hybrid position will be based out of our Kansas City, MO or New York City, NY office. This position is not eligible for visa sponsorship. Applicants must be authorized to work in the U.S. without visa sponsorship, now or in the future. How You Will Make an Impact Reviewing a robust number of marketing materials promoting the firm's products and services to ensure they meet regulatory requirements. Working with business partners to provide regulatory guidance with the goal of producing strong, effective, and compliant communications. Proactively staying current with applicable securities laws, rules, regulations, and guidance related to communications. Assisting in developing and conducting training for marketing, communications, public relations, social media, and electronic content teams to enhance knowledge of compliance requirements. Interacting collaboratively with business project teams, investment professionals, legal counsel, and team members. Assisting with the timely and accurate filing of marketing materials with FINRA, if applicable. What You Bring to the Team (Required) Bachelor's degree in a related field or relevant equivalent work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, or legal. Proven ability to understand and communicate effectively about technical, complex compliance standards and policies. FINRA Series 7 and 24 licenses required. Alternatively, must be willing to complete and maintain such licenses. Interest in, and comfort with, emerging communication technology. Outstanding organizational skills with the ability to prioritize and handle several tasks, make independent judgments, and be diligent in a fast-paced, time-sensitive environment. Ability to work independently and as part of a high-functioning, collaborative team of compliance professionals. Excellent writing and editorial skills. Ability to interpret, understand, and apply rules and regulations applicable to the SEC, GIPS, FINRA, MSRB, and internal guidelines. Strong working knowledge of the financial industry; investment and economic concepts/trends; and applicable regulatory standards. Effective analytical reasoning, good personal/business judgment, problem-solving skills, and risk assessment abilities. Ability to work well with a team, have a strong work ethic, and display integrity. Innovative and collaborative with the ability to build credibility with business partners and team members. Demonstrates the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven. Additional Assets (Preferred) 3-8 years of applicable experience in communications review in the financial services industry or equivalent experience. Comprehensive understanding and experience in the financial industry with marketing/advertising compliance and dedication to policy and process controls related to marketing compliance. Specialized regulatory compliance knowledge relevant to securities marketing (e.g., FINRA rules, SEC Rules, GIPS requirements, Brokerage, 529 Savings Plans, or Non-US Global Marketing). Advanced degree or other professional certification, is a plus. The above statements are not intended to be a complete list of all responsibilities, duties, and skills required. What We Offer Competitive compensation package with bonus plan Generous PTO and competitive benefits 401k with 5% company match plus annual performance-based discretionary contribution Tuition reimbursement, formal mentorship program, live and online learning Learn more about our benefits and perks. For New York based candidates, the salary range for this role is $110,000 to $130,000. Actual offers are based on various factors including but not limited to a candidate's location, skills, experience, and relevant education and/or training. This position is eligible for cash incentive providing the potential to earn more. Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role. American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions. We encourage people of all backgrounds to join us on our mission. If you require reasonable accommodation for any aspect of the recruitment process, please send a request to HR-Talent_Acquisition@americancentury.com. All requests for accommodation will be addressed as confidentially as practicable. American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases. #LI-Hybrid American Century Proprietary Holdings, Inc. All rights reserved.

Posted 1 day ago

Compliance Specialist-logo
Compliance Specialist
Artisan PartnersMilwaukee, Wisconsin
The Compliance Specialist will be responsible for performing compliance testing and surveillance functions, as well as general compliance functions. The ideal candidate will have experience and general compliance knowledge, strong analytical, interpersonal and organizational skills to drive efficiencies in current processes. Location: Milwaukee, WI Responsibilities The candidate can expect to: Provide analytical support to the compliance program by coordinating data extraction from various databases and systems Interpret and analyze data trends, identify root cause(s), and provide information and reporting on the compliance program and emerging risks to senior compliance members Review and investigate items of interest within the compliance trade surveillance platform (ACA ComplianceAlpha), escalating as necessary Ensure timely and accurate data feeds into the trade surveillance platform Complete annual compliance testing and on-going surveillances, as assigned Prepare periodic reports and metrics regarding testing and surveillance results Recommend controls when testing and surveillance results identify exceptions or trends Assist with compliance team risk assessments and other compliance projects, as requested Assist with associate political contribution requests and approvals Assist with associate gifts and business entertainment requests and approvals Assist with the firm’s anti-money laundering program Assist with service provider oversight for compliance team vendors Chaperone and summarize investment personnel’s expert network calls Actively participate in various other compliance group projects and initiatives Monitor regulatory and industry updates and make recommendations, as appropriate, regarding necessary changes to the compliance program Develop working knowledge of various Artisan systems and business operations Qualifications The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess: Bachelor’s degree in finance, accounting, economics, business administration or equivalent financial industry experience 2-5 years of broad compliance-related experience, preferably with an investment adviser Knowledge of equity and fixed income markets, trading practices and related instruments Ability to maintain a high degree of confidentiality Experience working with Charles River, Bloomberg, Aladdin, and ACA ComplianceAlpha a plus, Microsoft Excel and Tableau proficiency is preferred Dedication to maintaining accurate desk procedures Ability to prioritize and meet multiple deadlines with a sense of urgency Strong organizational and analytical skills with a high level of attention to detail Strong written and verbal communication skills, including a focus on client service-mindedness Ability to make independent judgement and handle confidential information Ability to demonstrate resourcefulness, creativity and initiative by identifying opportunities to enhance existing processes and implementing as appropriate Privacy Notice for California Applicants Artisan Partners Limited Partnership is an equal opportunity employer. Artisan Partners does not discriminate on the basis of race, religion, color, national origin, gender, age, disability, marital status, sexual orientation or any other characteristic protected under applicable law. All employment decisions are made on the basis of qualifications, merit and business need. #LI-Onsite/span>

Posted 30+ days ago

Director, Cybersecurity Governance Risk And Compliance (Grc)-logo
Director, Cybersecurity Governance Risk And Compliance (Grc)
CorvelPortland, OR
CorVel, a certified Great Place to Work Company, is a national provider of industry-leading risk management solutions for the workers' compensation, auto, health and disability management industries. We are hiring a hands-on leader to drive the execution of our tactical and strategic plans related to CorVel's Cybersecurity, Governance, Risk and Compliance (GRC) posture, quantifying enterprise risk appetite and tolerance, establishing and improving security policies, and maintaining a cyber risk register. This will be a remote role, or hybrid within our Portland, OR office. ESSENTIAL FUNCTIONS & RESPONSIBILITIES: This hands-on position will supervise a small team while enhancing and maintaining CorVel's Cybersecurity, Governance, Risk, and Compliance (GRC) posture Executes and monitors the risk management strategies and initiatives to ensure effectiveness and alignment with organizational goals Oversees the Cyber Risk Register, manages updates and tracks risk mitigation to conclusion Ensures performance monitoring processes to assure that performance measures both leading and lagging remain effective indicators of satisfactory risk management Oversees and allocates resources necessary for compliance testing to assess adherence to internal policies and external regulations, identifying systemic compliance gaps, resolving root cause and proposing improvement options, including cost benefit analysis Develop and maintain all relevant documentation, policies, standards, guidelines, and frameworks, embedding controls into process across the business and technology units with the support of the security engineering team Build and maintain successful relationships with stakeholders in both technology and business by developing a clear understanding of business needs, acting as a trusted advisor, and ensuring cost-effective delivery of security services to meet those needs Overseeing 3rd party audits by supporting evidence collection and facilitating information gathering Provide guidance, support, and mentorship to junior team members, fostering their growth and development EXPERIENCE & QUALIFICATIONS: Minimum 10 years of hands on and 3 years of leadership experience in cybersecurity governance, risk and compliance (GRC) within a large enterprise environment Demonstrated experience of compliance frameworks e.g. HIPAA, HITRUST, SOC, New York DFS and SOX Skilled with risk management principles, as well as experience making decisions to optimize overall operational and cyber risk Identify and evaluate controls for risk reduction and mitigation activities to drive a risk-based culture, including a strong understanding of policies as well as control standards, while reviewing and recommending the development of controls to reduce risk to an acceptable level Experience working with external auditors from an evidence collection perspective Self-starter with outstanding communication, conceptual thinking, change/project management, analytical, and problem-solving capabilities One or more industry certifications such as CISSP, CRISC, CISA or other Bachelor's degree or higher in Information Security/Cybersecurity or other. Can be located anywhere in the 48 contiguous US states. Must be willing to travel to Portland, Oregon, typically quarterly or as needed. PAY RANGE: CorVel uses a market based approach to pay and our salary ranges may vary depending on your location. Pay rates are established taking into account the following factors: federal, state, and local minimum wage requirements, the geographic location differential, job-related skills, experience, qualifications, internal employee equity, and market conditions. Our ranges may be modified at any time. For leveled roles (I, II, III, Senior, Lead, etc.) new hires may be slotted into a different level, either up or down, based on assessment during interview process taking into consideration experience, qualifications, and overall fit for the role. The level may impact the salary range and these adjustments would be clarified during the offer process. Pay Range: $101,309 - $157,903 A list of our benefit offerings can be found on our CorVel website: CorVel Careers | Opportunities in Risk Management In general, our opportunities will be posted for up to 1 year from date of posting, or until we have selected candidate(s) to fulfill the opening, whichever comes first. ABOUT CORVEL: CorVel, a certified Great Place to Work Company, is a national provider of industry-leading risk management solutions for the workers' compensation, auto, health and disability management industries. CorVel was founded in 1987 and has been publicly traded on the NASDAQ stock exchange since 1991. Our continual investment in human capital and technology enable us to deliver the most innovative and integrated solutions to our clients. We are a stable and growing company with a strong, supportive culture and plenty of career advancement opportunities. Over 4,000 people working across the United States embrace our core values of Accountability, Commitment, Excellence, Integrity and Teamwork (ACE-IT!). A comprehensive benefits package is available for full-time regular employees and includes Medical (HDHP) w/Pharmacy, Dental, Vision, Long Term Disability, Health Savings Account, Flexible Spending Account Options, Life Insurance, Accident Insurance, Critical Illness Insurance, Pre-paid Legal Insurance, Parking and Transit FSA accounts, 401K, ROTH 401K, and paid time off. CorVel is an Equal Opportunity Employer, drug free workplace, and complies with ADA regulations as applicable. #LI-Remote #LI-Hybrid

Posted 30+ days ago

Analyst - Reconciliation, Govt. Reporting & Tax Compliance (1664)-logo
Analyst - Reconciliation, Govt. Reporting & Tax Compliance (1664)
Aramco Services CompanyHouston, TX
OVERVIEW: The Analyst - Reconciliation, Government & Tax Compliance is responsible for researching, assisting with tax planning and analyzing financial data while ensuring compliance with all tax and financial laws and regulations. This position reports to the Finance Director. PRINCIPAL DUTIES: Support and supervise tax return preparation activities, schedules, and payments by maintaining accurate records and databases of tax-related information while ensuring compliance with federal, state, and local tax regulations. Conduct tax research by analyzing financial data to identify tax implications and identify and implement opportunities. Oversee and review all required government reporting requirements prepared by the offshore BPO team. Ensure readiness for tax audits, overseeing thorough documentation and being proactive in addressing potential compliance issues. Participate in data collection, coordination and support as per requests from 3rd parties/vendors. Engage with cross-functional teams, such as accounting, compliance, legal, and operations, to facilitate seamless integration of tax strategies into overall business operations. Prepare financial statements and report tax entries required for federal government reporting. Provide hydrocarbon accounting support for SAP implementation. Provide support and assistance to financial accounting, as needed. MINIMUM REQUIREMENTS: Bachelor's degree in finance, accounting or management is required. Minimum 5 years in income and or excise tax, finance, and/or accounting in an oil & gas environment is required. Working knowledge of financial systems used in hydrocarbon management including SAP, Right Angle, OAS and the Microsoft suite of programs. Strong understanding of tax laws and regulations. Excellent analytical and problem-solving skills. Strong communication and interpersonal skills. Attention to detail and accuracy. Ability to work independently and as part of a team. CPA (Certified Public Accountant) or other relevant certifications may be beneficial. Previous experience with SAP 4Hana is preferred. NO THIRD-PARTY CANDIDATE ACCEPTED

Posted 1 week ago

Onsite Compliance Specialist-logo
Onsite Compliance Specialist
Ledic Management GroupRockville, MD
Envolve Client Services Group owns and professionally manages apartment communities located in select markets throughout the southeastern United States. We are a company whose success is measured by our residents' satisfaction in making their apartment homes and community a great place to be. Envolve offers a wide variety of opportunities from residential apartment management, leasing, maintenance and more. We, the Envolve team are recruiting friendly self-motivated individuals with positive attitudes and a drive to succeed, to join our growing company. We are currently searching for a Onsite Compliance Specialist to work at Rock Creek Terrace. This position requires HUD certification with a minimum of 2 years experience Section 8/HUD. Duties: Monitoring each property's affordable housing programs to ensure that all target numbers are met. Reviewing all pre-move in certification files to make sure that all households are income qualified before the households move in. Ensure affordability levels are maintained, applicable rents and utility allowances are in place which will be reviewed on all pre-move in and recertification files. During the review of all files it is imperative that the specialist ensures that each resident file contains all required and acceptable documentation/verifications. Assist in administrative duties for the department by maintaining reports, filing and organizing data. Provide backup assistance to other Compliance Specialists as needed. Performs other duties as assigned. Rate: $22.00 Benefits: Medical, Dental, and Vision Insurance Short and Long Term Disability Plans Company Paid Life Insurance Apartment Discounts 401k Plan Paid Holidays Paid Time Off Background Screening and Drug Test Required EOE Minorities/Females/Disabled/Veterans

Posted 30+ days ago

Compliance Senior Analyst, Operations-logo
Compliance Senior Analyst, Operations
Equinix, Inc.Ashburn, VA
Who are we? Equinix is the world's digital infrastructure company, operating over 260 data centers across the globe. Digital leaders harness Equinix's trusted platform to bring together and interconnect foundational infrastructure at software speed. Equinix enables organizations to access all the right places, partners and possibilities to scale with agility, speed the launch of digital services, deliver world-class experiences and multiply their value, while supporting their sustainability goals. Joining our operations team means that you will be at the forefront of all we do, maintaining critical facilities infrastructure as part of a close-knit team delivering best-in-class service to our data center customers. We embrace diversity in thought and contribution and are committed to providing an equitable work environment that is foundational to our core values as a company and is vital to our success. Job Summary The Compliance Senior Analyst takes on an active responsibility in resolving operations compliance issues. Assists in implementing compliance and local legislative requirements at site level. Assists in ensuring Equinix management systems remain compliant to the requirements globally and drives continual improvement. Receives little instruction on work and general instruction on new assignments. Responsibilities Audits & Certifications Plans specialized site level compliance audits (internal and external) Leads diverse site level compliance certification projects and identifies processes to be audited based on specialized knowledge of criteria and controls Develops industry knowledge of standards Conducts/leads compliance audits, creates specialized reports and communicates findings and risks to management Participates in external audits to provide subject matter expertise support Ensures any non-compliance findings are closed in a timely manner Management Systems Is involved in specialized changes and updates any local site level management system assets by raising a document change request Provides specialized compliance input for site level management review meetings Develops specialized local compliance procedures to comply with local legislative and Equinix requirements Ensures all required compliance records are maintained in local/global repositories; including: records relevant to Operations compliance (QISBC and EHS) Assists in the development and maintenance of a global QISBC and EHS management systems including related policies, processes, templates and procedures leading to standardization, consistency and continual improvement Program Management Produces seasoned compliance reports for local management including key performance indicators and metrics for diverse matters Performs a moderate analysis on corrective and preventative actions to identify diverse systemic issues/root causes/delays in completion and recommends resolving a variety of compliance issues through preventive actions Identifies and participates in specialized process improvement initiatives and compliance projects for the site/country in collaboration with regional and/or global stakeholders. Answers specialized queries on compliance tools/systems and manages the tool as an admin. Training Monitors and tracks any QISBC/EHS compliance related training as required by the business, ensuring in scope site personnel complete training within target dates Develops specialized local training materials/toolbox talks Manages and tracks relevant mandatory diverse compliance training Provides specialized level training and inductions for new compliance personnel within a diverse scope May be involved in training existing team members, and contractors 1st Line Responsibilities Performs specialized site level audit evidence reviews and collection including making sure that the sites are prepared for any upcoming audits Acts as a specialized single point of contact (SPOC) for site level compliance related customer or any third party audits, as needed within a diverse scope Assists Data center managers in the implementation of site level compliance policies and processes, as per global requirements Ensures site level compliance with new and existing local/federal/regulatory requirements and follow up on any actions Provides Compliance SME support for relevant site/country stakeholders including mentoring when necessary, identifying compliance related risks / issues at site level Conducts routine site inspections with focus on requirements from local/regional/federal and Equinix requirements Assists sites in any risk assessments and business continuity related documentation maintenance as required (Business Continuity, EHS, are kept current) 2nd Line Responsibilities Communicates risks in a timely manner to manager and external groups Identifies potential risks for non-compliance Provides RFI/RFP support for compliance related topics and second level support for customer audits Provides QISBC/EHS specialized compliance support for first line of defense and other internal stakeholders Feeds back compliance related content as part of any cross-functional projects Reviews first Line of defense management review content May support more junior teammates and field more diverse requests requiring more seasoned experience and program knowledge Compliance Implementation Provides customer RFI/RFP/Pre-Sales /Audit /Questionnaire site level compliance support Supports responses for specialized requests or sensitive issues with diverse risk Integrates new sites or site expansions to Equinix standards within a diverse scope Involved in the specialized managing of Data Center business continuity exercise program ensuring all required drills are planned, tracked, conducted, and documented by site operations, as per global policy Supports application of designated permits, compliance to existing permits, plans (e.g. Air, Spill Prevention, Chemical Reporting, etc.) within a diverse scope Evaluates specialized work place changes, processes, equipment and substances for compliance to Equinix policies and recommends corrective action within a diverse scope Qualifications 5+ years of experience in relevant field of compliance preferred Bachelor's Degree in a related subject preferred QISBC or EHS certification preferred The United States targeted pay range for this position in the following location is / locations are: California (Non-SF/Bay Area), Connecticut, Maryland, New York, New Jersey, Washington state: $88,000 to $132,000 per year Our pay ranges reflect the minimum and maximum target for new hire pay for the full-time position determined by role, level, and location. Individual pay is based on additional factors including job-related skills, experience, and relevant education and/or training. This position may be offered in other locations. Your recruiter can share more about the specific pay range for your preferred location during the hiring process. The targeted pay range listed reflects the base pay only and does not include bonus, equity, or benefits. Employees are eligible for bonus, and equity may be offered depending on the position. As an employee, you become important to Equinix's success. Details about our company benefits can be found at the following link: USA Benefits eBook Equinix is committed to ensuring that our employment process is open to all individuals, including those with a disability. If you are a qualified candidate and need assistance or an accommodation, please let us know by completing this form. Equinix is an Equal Employment Opportunity and, in the U.S., an Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to unlawful consideration of race, color, religion, creed, national or ethnic origin, ancestry, place of birth, citizenship, sex, pregnancy / childbirth or related medical conditions, sexual orientation, gender identity or expression, marital or domestic partnership status, age, veteran or military status, physical or mental disability, medical condition, genetic information, political / organizational affiliation, status as a victim or family member of a victim of crime or abuse, or any other status protected by applicable law.

Posted 3 days ago

Global Compliance Manager-logo
Global Compliance Manager
nVent Electric Inc.San Diego, CA
We're looking for people who put their innovation to work to advance our success - and their own. Join an organization that ensures a more secure world through connecting and protecting our customers with inventive electrical solutions. As a Global Compliance Manager: Lead the execution and continuous evolution of our global anti-corruption and bribery compliance program with a focus on third-party oversight and M&A integration A highly visible role that partners across functions and geographies, serving as a strategic advisor and proactive risk mitigator in support of nVent's global operations Member of a high-performing global compliance team and team management, empowering employees to deliver scalable risk mitigations strategies and embed a culture of ethics WHAT YOU WILL EXPERIENCE IN THIS POSITION: Global Strategy & Program Leadership Scale nVent's global anti-corruption and bribery compliance program across all regions, ensuring alignment with business strategy, local regulations, and international standards. Develop regional compliance risk profiles and collaborate with cross-functional teams to implement scalable controls tailored to local market dynamics. Act as a thought leader and internal consultant to senior leadership on compliance risk in global operations and growth strategies. Third-Party Risk Management Lead end-to-end due diligence for third-party partners, distributors, and agents in high-risk geographies using data-driven tools and global risk indicators. Drive global consistency and solutions for third-party onboarding, monitoring, and remediation, while enabling regional agility. M&A Compliance Integration Serve as the compliance integration lead on global M&A transactions-conducting risk-based due diligence, identifying pre-close concerns, and driving post-close implementation of compliance controls and training. Monitoring, Analytics & Reporting Implement global compliance dashboards and lead key risk indicator (KRI) tracking to proactively identify emerging global compliance risks. Leverage technology and automation to enhance compliance workflows, continuous monitoring, and data-driven decision-making. Training & Culture of Integrity Design and lead targeted training initiatives across business units and geographies, driving awareness and accountability. Champion a global culture of ethics, integrity, and transparency by engaging with country leaders. Team Leadership & Development Lead and mentor a team of compliance professionals, fostering collaboration, accountability, and continuous improvement. Set clear goals and performance expectations aligned with strategic compliance priorities and business outcomes. Identify skill gaps and lead the development of team capabilities in areas such as data-driven compliance, international regulations, and third-party risk. YOU HAVE: Required: Bachelor's degree in Business, Finance, Law, or a related field Ideally 5+ years of experience in compliance, risk management, or a related field Global compliance experience with a focus on anti-corruption and third-party due diligence and risk management Experience in M&A compliance integration and regional compliance frameworks Strong people leadership skills with a focus on coaching and, performance management, fostering team engagement in a hybrid or global environment Strong data analytics capabilities and experience in risk-based analysis of third-party relationships. Excellent project management skills with the ability to lead multiple projects simultaneously Strong analytical and problem-solving skills Excellent communication and interpersonal skills Preferred: Professional certifications such as Certified Compliance and Ethics Professional (CCEP), Certified Risk Management Professional (CRMP), or equivalent. Experience in developing or enhancing financial and operational controls WE HAVE: A dynamic global reach with diverse operations around the world that will stretch your abilities, provide plentiful career opportunities, and allow you to make an impact every day nVent is a leading global provider of electrical connection and protection solutions. We believe our inventive electrical solutions enable safer systems and ensure a more secure world. We design, manufacture, market, install and service high performance products and solutions that connect and protect some of the world's most sensitive equipment, buildings and critical processes. We offer a comprehensive range of systems protection and electrical connections solutions across industry-leading brands that are recognized globally for quality, reliability and innovation. Our principal office is in London and our management office in the United States is in Minneapolis. Our robust portfolio of leading electrical product brands dates back more than 100 years and includes nVent CADDY, ERICO, HOFFMAN, ILSCO, SCHROFF and TRACHTE. Learn more at www.nvent.com. Commitment to strengthen communities where our employees live and work We encourage and support the philanthropic activities of our employees worldwide Through our nVent in Action matching program, we provide funds to nonprofit and educational organizations where our employees volunteer or donate money Core values that shape our culture and drive us to deliver the best for our employees and our customers. We're known for being: Innovative & adaptable Dedicated to absolute integrity Focused on the customer first Respectful and team oriented Optimistic and energizing Accountable for performance Benefits to support the lives of our employees Pay Transparency nVent's pay scale is based on the expected range of base pay for this job and the employee's work location. Employee pay within this range will be based on a combination of factors including knowledge, skills, abilities, experience, education, and performance. Where federal, state, or local minimum wage requirements exist, employee pay will comply. Compensation Range: $105,000.00 - $195,000.00 Depending on the position offered, employee may be eligible for other forms of compensation, such as annual incentives. Benefit Overview At nVent, we value our people and their health and well-being. We provide a broad benefits package with meaningful programs for full-time employees that includes: Medical, dental, and vision plans along with flexible spending accounts, short-term and long-term disability benefits, critical illness, accident insurance and life insurance. A 401(k) retirement plan and an employee stock purchase plan - both include a company match. Other supplemental benefits such as tuition reimbursement, caregiver, personal and parental leave, back-up care services, paid time off including volunteer time, a well-being program, and legal & identity theft protection. At nVent, we connect and protect our customers with inventive electrical solutions. People are our most valuable asset. Inclusion and diversity means that we celebrate and encourage each other's authenticity because we understand that uniqueness sparks growth. #LI-OR1 #LI-Hybrid

Posted 3 weeks ago

Product Manager II, Compliance-logo
Product Manager II, Compliance
LegalZoomLos Angeles, CA
About LegalZoom LegalZoom is on a mission to help people navigate the legal system with confidence and clarity. As a leader in online legal services for over 20 years, we combine technology, attorney-led solutions, and expertise to protect the aspirations, lives, and legacies of millions of customers. If you're ready to contribute to a collaborative, diverse, and distributed group of creative thinkers and problem-solvers, we can't wait to meet you. Where we work We believe work should work for you. LegalZoom supports a remote-friendly environment that gives employees flexibility and balance. Our Austin, Beaverton, Frisco, Los Angeles Metro, and San Francisco Bay Area offices allow our employees to collaborate with teammates and offer special onsite events, lunches, and more. This position will be based in the Los Angeles area, but is 100% remote and is not required to come into the office. Overview Are you a Product Manager who is customer-obsessed, and passionate about scaling a business? Are you excited to roll up your sleeves to execute, test and learn fast with the team? Have you built experiences that surprised and delighted your customers? Then this could be the opportunity for you! Today's small and medium-sized businesses (SMBs) face a myriad of decisions as they look to officially form their business. They come to LegalZoom ready and excited to officially register their business. We build holistic experiences to educate, guide, and protect them as they look to start and grow their business. In this role, you will partner with engineering, product design, product marketing, data science and other cross-functional teams to remove the confusion for our customers and build their confidence. You will focus on SMB product experiences, likely running a myriad of tests to learn the best ways to solve customer problems with LegalZoom solutions. You'll sweat the details, work side by side with the team, and lead with a high say/do ratio. This is an opportunity to make a big impact on the lives of our small business customers and truly unleash entrepreneurship. You will Take a hands-on approach to leadership of your projects. You'll own planning and end-to-end execution of features/programs, working with cross functional partners. You'll define the roadmap and inspire the team to execute. Focus on improving customer satisfaction, and by doing so, you'll also enable a long-term relationship with LegalZoom beyond the point of formation. Be intimately connected with, and a champion for, our customers. Possess a learn fast, fail fast mindset - identify, then focus on the key opportunities. You'll understand risk, and recognize when to ship fast and iterate from there. Leverage data and insights to drive quality customer experiences and business outcomes. Understand your funnel and be able to diagnose problems and lead brainstorming sessions for solutions. You have Proven track record of building and delivering successful ecommerce/tech products, ideally 2-4 years of product management experience. A data-driven mindset, with the ability to interpret the data in-context and model changes. You make the recommendation and you act on it, with proven experience utilizing metrics & insights as tools for informed decision-making. Ability to leverage strong problem-solving and analytical skills to transform challenging user experience, business, and technology problems into actionable paths. Outstanding storytelling and communication skills, with the ability to adapt your style as you work with others up, down, and alongside you in the organization Background in consumer-focused products, or products focused on SMB end-users. LegalZoom is a remote-first company and the national range for this role is ($104,300-$121,700). Actual compensation offered will depend on several factors including but not limited to: geographic location, work experience, education, skill level, and/or other business and organizational needs. In addition, an annual bonus, incentive bonus and/or restricted stock units may be provided as part of the compensation package. You will also receive a full range of medical, financial, and other benefits as seen below. ● Medical, Dental, Vision Insurance ● 401k, With Matching Contributions ● Paid Time Off ● Health Savings Account (HSA) ● Flexible Spending Account (FSA) ● Short-Term/Long-Term Disability Insurance ● Plus other wellness benefits to include: ○ Fertility ○ Mental Health ○ One Medical ○ Fringe lifestyle benefits up to $250 Join us in making a difference as we build our future and help ensure access to professional legal advice to all! LegalZoom is an equal opportunity employer, dedicated to diversity, equality, and inclusion, and provides equal employment opportunities to all employees and applicants for employment. LegalZoom prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. Additionally, LegalZoom is enrolled in the E-Verify program. For additional information on E-Verify, please visit Participation and Right to Work pages.

Posted 3 weeks ago

Compliance Analyst - Marketing/Communications Review-logo
Compliance Analyst - Marketing/Communications Review
WisdomTree Investments IncNew York, NY
We are seeking a Compliance Analyst for a promising opportunity within the Compliance Department. In this role, the Compliance Analyst will be responsible for reviewing and approving all types of product/fund communications, including but not limited to custom requests, due diligence questionnaires, factsheets, offshore marketing materials, presentations, requests for proposals, social media related materials, and website content. Candidates with prior FINRA advertising review experience and a familiarity with applicable FINRA and SEC rules is preferred. Additional experience with ETFs, mutual funds, cryptocurrencies, tokenized funds, and SEC registered investment adviser and broker/dealer compliance programs is helpful. The ideal candidate will have the experience described above as well as experience researching and interpreting new rules and regulations, a solid knowledge of financial services products (specifically investment companies), excellent critical thinking skills, a solution minded approach, the ability to prioritize a high volume of activities, excellent communication and interpersonal skills, and must work well both independently and as part of a team. Apply Now! Success in this role would be achieved by: Coordinate with the Marketing department and various other internal departments, as part of reviewing communication, marketing, and advertising materials. Ensure that all communications comply with applicable regulatory requirements and guidelines pursuant to SEC and FINRA requirements. Provide input and assistance relative to the implementation of new policies/procedures and with updating/revising existing policies/procedures as necessary. Assist with developing and providing training for employees as it relates to internal policies/procedures. Maintain records of approved advertising/marketing materials pursuant to SEC recordkeeping rules. Assist with testing policies/procedures. Participate in ad hoc projects as needed. Experience and required skill set: 1-3+ years of compliance experience Investment Company & Investment Adviser marketing/advertising review experience Understanding of applicable FINRA and SEC rules relative to advertising/marketing and sales related communications. (e.g. Sec 482, 34b-1, FINRA 2210, 2212, etc.) Solid analytical and communication skills (written and verbal) Highly developed critical thinking and interpersonal skills Strong attention to detail and highly organized Desired Licenses and Certifications: Active Series 6, 7, 24 or 26 $80,000 - $95,000 a year The base salary range for this position is $80,000 - $95,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. Total compensation may vary based on factors such as location, role, company, department, experience and individual performance. About Us: WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime and institutional platform, WisdomTree Connect.* The WisdomTree Prime digital wallet and digital asset services and WisdomTree Connect institutional platform are made available through WisdomTree Digital Movement, Inc., a federally registered money services business, state-licensed money transmitter and financial technology company (NMLS ID: 2372500) or WisdomTree Digital Trust Company, LLC, in select U.S. jurisdictions and may be limited where prohibited by law. WisdomTree Digital Trust Company, LLC is chartered as a limited purpose trust company by the New York State Department of Financial Services to engage in virtual currency business. Visit https://www.wisdomtreeprime.com , the WisdomTree Prime mobile app or https://wisdomtreeconnect.com for more information. Work Smart: Headquartered in New York City, WisdomTree embraces a "Work Smart" philosophy that transcends physical workspace, aiming to optimize productivity, efficiency and effectiveness. Employee time in the office generally is not prescribed, and team leaders are empowered to determine how their teams work best, based on their roles, which may include in-person, in-office engagement. Mission, Vision & Values: WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment. Learn more at www.wisdomtree.com WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.

Posted 5 days ago

Reliability Standards Compliance Analyst-logo
Reliability Standards Compliance Analyst
American Transmission CompanyKingsford, MI
Summary of Responsibilities: Join a Great Place to Work! We're looking for an Operational Compliance Specialist to support the execution of programs and processes in support of ATC's Reliability Standards Compliance Program. This position assists ATC's management team in assuring ATC's regulatory obligations are met under the mandatory Reliability Standards promulgated by the North American Electric Reliability Corporation (NERC) and applicable Regional Entities. Essential Responsibilities: You'll use your bachelor's degree and seven years' experience in engineering, operations, planning, or compliance functions directly associated with the bulk electric system to provide technical and compliance counsel to ATC's functional groups regarding interpretation of the Reliability Standard requirements. You'll also support the development and implementation of ATC's compliance program infrastructure elements, including the administration and maintenance of compliance policies, programs, and procedures and aid in the development and administration of ATC's compliance related internal controls program and corrective actions program. ATC embraces flexibility in our work and our workplace. We trust our employees to get work done where and when it makes sense, depending on the schedule for the day and the needs of the business. If you enjoy working in a rapidly changing regulatory environment and collaborating with internal and external stakeholders to ensure regulatory compliance, we want you to bring your positive energy to ATC! Grades 25/29/31 Number of Openings Available: 1 Posting Date: 2024-06-25 Time Type: Full time Equal Opportunity Employer: Applicants have rights under employment laws. ATC is an equal opportunity employer that seeks to foster diverse teams of talented people working safely together. We respect and embrace diversity of all aspects and hire, train and promote employees without regard to race, color, religion, sex, age, national origin, sexual orientation, disability, genetics, protected veteran status, or any other characteristic protected by law. We encourage women, minorities, veterans and individuals with a disability to apply. All qualified applicants will receive consideration for employment without regard to any characteristic protected by law. Family and Medical Leave Act (FMLA) Poster | U.S. Department of Labor Family and Medical Leave Act Poster Employee Polygraph Protection Act (EPPA) Poster | U.S. Department of Labor ERD-10861 Poster Honesty Testing poster WISCONSIN FAIR EMPLOYMENT LAW

Posted 2 weeks ago

Senior Manager, Billing Compliance-logo
Senior Manager, Billing Compliance
AxonScottsdale, AZ
Join Axon and be a Force for Good. At Axon, we're on a mission to Protect Life. We're explorers, pursuing society's most critical safety and justice issues with our ecosystem of devices and cloud software. Like our products, we work better together. We connect with candor and care, seeking out diverse perspectives from our customers, communities and each other. Life at Axon is fast-paced, challenging and meaningful. Here, you'll take ownership and drive real change. Constantly grow as you work hard for a mission that matters at a company where you matter. Your Impact As the Senior Manager of Billing Compliance, you will be a key member of a highly collaborative team that partners with our customers and cross-functional teams including Sales, Quoting, Order Management, Accounting, and Revenue. You'll play a vital role in ensuring billing compliance while identifying opportunities to enhance efficiency and drive operational effectiveness across the organization. A proactive team player who thrives in a fast-paced environment, you work closely with our global team, champion best practices, and step in wherever needed. You maintain a sharp attention to detail while moving quickly, and you apply your problem-solving skills to support business objectives and continuous improvement. What You'll Do Location: Hybrid Presence based near our US Hubs - Scottsdale, Boston, San Francisco, Atlanta, Sterling, Denver, or Seattle Reports to: Senior Director, Order-to-Cash Lead a team of professionals responsible for day-to-day strategic billing operations, compliance and the financial close process Mentor billing analysts with a focus on continuous learning, development and opportunity for growth within the organization and the Company Foster a customer-focused culture, by leading a highly transactional process that delivers technical excellence Develop a deep understanding of the Company's quote-to-cash cycle to design effective controls, optimize billing processes, and partner with Enterprise Applications to implement system fixes, enhancements and new capabilities Leverage data-driven insights to proactively identify opportunities and develop a strategic roadmap that enhances operational efficiency and drives excellence Collaborate cross-functionally, with operations and accounting teams to establish policies and create standard operating procedures that position the organization for scalable growth Ensure internal controls for billing-related processes are properly designed, operating effectively, and documented to ensure SOX compliance Lead the month-end close process in partnership with the accounting team, ensuring timely and accurate journal entries impacting accounts receivable are clearly communicated and properly recorded Perform account reconciliations, fluctuation analysis, and oversee the external audit process Define and publish metrics to measure, monitor, and report on the billing organization's effectiveness Document and maintain policies, including those for the execution of non-standard billing structures and the applicable review and approval criteria Provide audit support for both control and substantive testing What You Bring Bachelor's degree in accounting or finance, or equivalent, CPA license preferred 8+ years of accounting and finance experience, billing and revenue expertise, recent experience with a publicly traded company preferred Expert in US GAAP and ASC 606, preferably applied within the technology industry Excellent written and verbal communication skills with the ability to communicate across all levels of the organization and directly with our customers Advanced skills and expertise in Excel, Salesforce.com, ERP systems, and reporting solutions Collaborative leadership with a growth mindset and solutions-oriented approach who enables continuous system and process improvement through periods of hyper growth Proven ability to identify transformation opportunities within and beyond your core responsibilities, and to collaborate effectively in converting those opportunities to high-impact, scalable solutions Benefits that Benefit You Competitive salary and 401k with employer match Discretionary paid time off Paid parental leave for all Medical, Dental, Vision plans Fitness Programs Emotional & Mental Wellness support Learning & Development programs And yes, we have snacks in our offices Benefits listed herein may vary depending on the nature of your employment and the location where you work. Don't meet every single requirement? That's ok. At Axon, we Aim Far. We think big with a long-term view because we want to reinvent the world to be a safer, better place. We are also committed to building diverse teams that reflect the communities we serve. Studies have shown that women and people of color are less likely to apply to jobs unless they check every box in the job description. If you're excited about this role and our mission to Protect Life but your experience doesn't align perfectly with every qualification listed here, we encourage you to apply anyways. You may be just the right candidate for this or other roles. Important Notes The above job description is not intended as, nor should it be construed as, exhaustive of all duties, responsibilities, skills, efforts, or working conditions associated with this job. The job description may change or be supplemented at any time in accordance with business needs and conditions. Some roles may also require legal eligibility to work in a firearms environment. Axon's mission is to Protect Life and is committed to the well-being and safety of its employees as well as Axon's impact on the environment. All Axon employees must be aware of and committed to the appropriate environmental, health, and safety regulations, policies, and procedures. Axon employees are empowered to report safety concerns as they arise and activities potentially impacting the environment. We are an equal opportunity employer that promotes justice, advances equity, values diversity and fosters inclusion. We're committed to hiring the best talent - regardless of race, creed, color, ancestry, religion, sex (including pregnancy), national origin, sexual orientation, age, citizenship status, marital status, disability, gender identity, genetic information, veteran status, or any other characteristic protected by applicable laws, regulations and ordinances - and empowering all of our employees so they can do their best work. If you have a disability or special need that requires assistance or accommodation during the application or the recruiting process, please email recruitingops@axon.com. Please note that this email address is for accommodation purposes only. Axon will not respond to inquiries for other purposes.

Posted 3 weeks ago

LVN Compliance Coordinator-logo
LVN Compliance Coordinator
Family Health Centers of San Diego, Inc.San Diego, CA
Impact Lives, Impact Community Family Health Centers of San Diego (FHCSD) is passionate about providing exceptional health care to all, especially underserved communities with limited health care options. Founded by a Latina grandmother/community advocate over 50 years ago in Barrio Logan, FHCSD has grown into one of the largest community health systems in the country. With over 90 sites, over 227,000 patients, and over 1.1 million healthcare visits last year, we provide a wide variety of health care and outreach services to a very diverse patient population. We are proud of our mission, our lasting community impact, and the cultural and individual diversity of our staff. Assists Director of Clinical Compliance and Regulatory Support to help FHCSD sites maintain continuous compliance with outside regulations and requirements and internal standards. Responsibilities: Attends department meetings. Conducts formal and informal safety training related to regulatory standards. Conducts in-person interviews and observes on-site conditions to facilitate root-cause analysis of reported incidents. Helps sites to prepare for external audits for VFC, CHDP, Medi-Cal Managed Care, DHCS, and other entities and attends audits. Performs N95 Hepa filter mask fit testing for employees and encourages compliance with ADT standards. Performs other duties as assigned. Responsible for conducting site surveys in clinical and non-clinical areas to ensure compliance with regulatory standards. Requirements: California State Board LVN License required. High school diploma or GED equivalent required. Familiarity with OSHA, Title 22, Title 16 guidelines required. Ability and means to travel as needed in a timely manner within San Diego County. DRIVER REQUIREMENTS: Requires an active Class C California driver's license, proof of liability insurance at $100,000, on vehicle used. No more than 2 points in past 12 months; No suspensions in last 2 years for moving violations; No DUI, reckless or felony Driving within 5 years. No license revocation in 7 years. Ability to participate collaboratively with multi-disciplinary care team Able to maintain good working relationships with employees, coworkers, and departments. Effective training and coaching skills; ability to drive results and achieve objectives through others. Intermediate computer literacy ability to comply with department needs and expectations (i.e., electronic medical record documentation, obtaining background information and reports on patients, following up on appts, etc.). Knowledge of child, adolescent, and adult health care issues. Knowledge of, and ability to perform, clinic-based nursing tasks. One to two years experience in ambulatory care setting or similar setting; is highly desirable Rewards: Job type: Full-time M-F Competitive Salary with Excellent Benefits Retirement Plan with Employer Match Paid Time Off, Extended Sick Leave and Paid Holidays Medical/Dental/Vision/FSA/Life Insurance Employee Discounts and Wellness Programs #IndNurse The successful candidate will have a demonstrated commitment to community medicine and providing culturally competent care to the medically underserved. In the spirit of pay transparency, we are excited to share the base range for this position, exclusive of fringe benefits. $30.00 - $36.65 If you are hired at Family Health Centers of San Diego, your final base salary compensation will be determined based on factors such as geographic location, jurisdictional requirements, skills, education, and/or experience. In addition to these factors - we believe in the importance of pay equity and consider internal equity of our current team members as a part of any final offer. Please keep in mind that the range mentioned above is what we reasonably expect to pay for the role. Hiring at the maximum of the range would not be typical in order to allow for future and continued salary growth. We also offer a generous compensation and benefits package (more information on our benefits offerings is available here: FHCSD Wellness - Employee Hub (gobenefits.net)

Posted 3 weeks ago

Ameriprise Financial logo
Compliance Manager
Ameriprise FinancialMinneapolis, MN
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Job Description

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who will manage aspects of, and complete, document management activities for supervisory procedures in CompliSource. Conduct testing of written supervisory procedures (WSP, IA P&P, BUSP, etc.) to evaluate if they are reasonably designed and executed to achieve compliance with regulatory requirements. Support the execution of team processes such as the Annual Review, document management (CompliSource) and Monthly Reporting. Provide training, coaching and mentoring to compliance and business partners.

Responsibilities

  • Administer individual and team document management activities for supervisory procedures in CompliSource.
  • Conduct testing of procedures, controls, and supervision of business unit activities.
  • Support the execution of team processes such as the Annual Review and Monthly Reporting.
  • Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures.
  • Provide training, coaching and mentoring to team members and business partners.
  • Maintain current knowledge of industry practices and developments.

Required Qualifications

  • Bachelor's degree or equivalent experience.
  • 5-7 years of experience.
  • Series 7 and Series 24.
  • Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services.
  • Excellent communication, presentation and organizational skills.
  • Ability to plan and manage multiple competing priorities.
  • Ability to work independently, meet deadlines and be a team player.

Preferred Qualifications

  • Prior operational experience in client service or clearing functions at a broker-dealer or insurance company.
  • Prior experience testing broker-dealer controls or similar internal or external audit functions.
  • High proficiency with Microsoft Word, Access and Excel.
  • Document management skills.

About Our Company

We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Base Pay Salary

The estimated base salary for this role is $77,100 / $120,100 year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Legal Affairs

Line of Business

GCO General Counsel's Organization