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Corebridge Financial Inc.Jersey City, NJ
Who We Are At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow. We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life: We are stronger as one: We collaborate across the enterprise, scale what works and act decisively for our customers and partners. We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders. We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future. We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work. Who You'll Work With The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization. The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program. About The Role The Investments Compliance team is actively seeking a Compliance Officer who will join its Code of Ethics & Employee Compliance team. Responsibilities This role will have two primary responsibilities: Execute the compliance program related to securities laws prohibiting transactions based on material non-public information ("MNPI"), which includes: Administering the process of receiving employee notifications, determining materiality of information, adding or removing securities from the Watch/Restricted Lists, Reviewing alerts generated for transactions in Watch/Restricted List securities, Training employees in the evolution of regulatory views of materiality and adjusting policies and procedures as needed, Maintaining controls around the businesses use of expert networks, and Maintaining controls around potential approved "cross-barrier" communications. Administer the compliance program related to electronic communications archiving and surveillance, which includes: Creating employee profiles to initiate archiving and surveillance of employee electronic communications, Designing the surveillance policies/lexicons which will trigger alerts requiring review, Developing policies and procedures for the review of alerts, dispositioning, and escalation, Verifying compliance team members responsible for the review and disposition of alerts are doing so within timelines, and Producing reporting for management that will indicate the ongoing effectiveness of the program. Note, this role will not review electronic communications alerts as a primary responsibility but will be required to occasionally backup other team members in the review of alerts. The secondary responsibility of this role will be to backup team members in administering the Code of Ethics (ex. personal transaction monitoring, gifts & entertainment monitoring, outside business activities review and approval). Skills and Qualifications The ideal candidate for this role understands the pillars of Compliance: Policies & Procedures, Monitoring & Testing, Advice & Guidance, Issue Remediation & Reporting, Training, and Risk Assessment, and takes ownership in the execution of each pillar with respect to the candidate's responsibilities or areas of coverage. This role requires "getting in the weeds" acquiring a deep understanding of the types of securities in which we transact, the roles of different employees and groups within the business and support functions, and the ability to create policies/procedures based on that information to achieve the goals of the compliance program. Candidates will be expected to possess the following professional knowledge and personal attributes: At least 5 years of experience in financial services with progressive increases in responsibility. Current understanding of regulatory rules related to insider trading and MNPI, continuously develop that understanding through staying informed on industry guidance and regulatory views expressed in enforcement actions related to matters of insider trading, and the ability to apply that information in the development of policies, procedures, and routines to achieve the goals of the compliance program, High degree of intellectual curiosity and willingness to self-learn through reading regulatory releases and publications, inquiring with business and process owners, and applying past experiences from similar scenarios to current tasks and challenges, Ability to coordinate amongst other team members who do not report to you to achieve a common goal, Ability to confront conflict and difficult issues in a professional, assertive, collaborative and proactive manner, Highly organized, with the ability to verify, inspect, and record documentation supporting results and disposition of matters, and Must be proficient with MS Word, Excel, and Powerpoint. Preferred, but not required, prior experience: Prior experience in a "Control Room" function of a bank, broker-dealer, investment manager, or similar financial institution. Prior experience in a compliance function of a broker-dealer or registered investment adviser. Compensation The anticipated salary range for this position is $73,000 to $85,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate's geographic location, skills, experience and other qualifications. In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan. Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below. Work Location This position is based in Corebridge Financial's Houston, TX and Jersey City, NJ offices. Estimated Travel Minimal travel. Why Corebridge? At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive. Benefit Offerings Include: Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being. Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately. Employee Assistance Program: Confidential counseling services and resources are available to all employees. Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000. Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work. Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it. Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy. We are an Equal Opportunity Employer Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our colleagues are respected as individuals and valued for their unique perspectives. Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law. We will consider for employment qualified applicants with criminal histories, consistent with applicable law. To learn more please visit: www.corebridgefinancial.com Functional Area: CP - Compliance Estimated Travel Percentage (%): No Travel Relocation Provided: No Corebridge Institutional Investments Holdings Corp.
Posted 30+ days ago
Super Micro Computer, Inc.San Jose, CA
Job Req ID: 27630 About Supermicro: Supermicro is a Top Tier provider of advanced server, storage, and networking solutions for Data Center, Cloud Computing, Enterprise IT, Hadoop/ Big Data, Hyperscale, HPC and IoT/Embedded customers worldwide. We are the #5 fastest growing company among the Silicon Valley Top 50 technology firms. Our unprecedented global expansion has provided us with the opportunity to offer a large number of new positions to the technology community. We seek talented, passionate, and committed engineers, technologists, and business leaders to join us. Job Summary: The Senior Manager, Import Compliance is responsible for leading and managing the organization's global import compliance program. This role ensures that all import activities comply with applicable laws, regulations, and internal policies, while supporting the business objectives. The Senior Manager will oversee operational import processes, manage relationships with customs brokers, and provide strategic guidance to mitigate risks and ensure supply chain efficiency. Essential Duties and Responsibilities: Key Responsibilities: Compliance Management: Ensure compliance with all applicable import regulations (e.g., U.S. Customs and Border Protection [CBP], BIS, etc.). Maintain and enforce company import compliance policies and procedures. Oversee country-of-origin, classification (HTS), valuation, and admissibility determinations. Ensure compliance with duty mitigation programs (e.g., Duty Drawback, bonded warehouse, FTAs, FTZ). Operational Oversight: Lead the daily management of import activities, including documentation, customs clearance, and post-entry review processes. Manage and evaluate customs brokers, freight forwarders, and other trade partners. Monitor import shipments and resolve customs holds or delays. Risk Management & Audits: Conduct internal audits and assessments of import transactions. Identify risk areas and implement corrective actions to mitigate non-compliance. Serve as the point of contact during external audits or government inquiries. Strategic Initiatives: Lead import compliance integration in supply chain, product development, and sourcing strategies. Partner with cross-functional teams (Legal, Procurement, Logistics, etc.) to support business growth and trade initiatives. Monitor and interpret regulatory changes, assess business impact, and implement necessary adjustments. Training & Communication: Develop and deliver training to internal stakeholders on import compliance topics. Communicate effectively across departments and with senior leadership. Qualifications: Education: Bachelor's degree in International Business, Supply Chain, Law, or related field. Advanced degree or JD is a plus. Experience: 8+ years of experience in import compliance, international trade, or customs operations. Experience managing teams and complex global compliance programs. Proven track record working with U.S. and international customs authorities. Certifications (Preferred): Licensed U.S. Customs Broker CUSECO (Certified U.S. Export Compliance Officer) or similar trade compliance certifications Skills: Strong knowledge of U.S. import regulations (e.g., 19 CFR), HTS classification, valuation rules, and free trade agreements. Excellent analytical, communication, and project management skills. Ability to lead cross-functional teams and influence without authority. Proficiency in trade compliance tools (e.g., SAP GTS, Descartes, Integration Point). Salary Range $164,000 - $170,000 The salary offered will depend on several factors, including your location, level, education, training, specific skills, years of experience, and comparison to other employees already in this role. In addition to a comprehensive benefits package, candidates may be eligible for other forms of compensation, such as participation in bonus and equity award programs. EEO Statement Supermicro is an Equal Opportunity Employer and embraces diversity in our employee population. It is the policy of Supermicro to provide equal opportunity to all qualified applicants and employees without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or special disabled veteran, marital status, pregnancy, genetic information, or any other legally protected status. Job Segment: Cloud, Warehouse, Data Center, ERP, SAP, Technology, Manufacturing
Posted 2 weeks ago
Keybank National AssociationAlbany, NY
Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Senior Compliance Officer- Special Projects Review Team (SPRT) role reports to KeyBank's Financial Crimes Risk Management's (FCRM) Special Projects Compliance Director. The Senior Compliance Officer- SPRT role ensures Key's compliance with Bank Secrecy Act / Anti-Money Laundering (BSA/AML) and other financial crime regulations, as well as OFAC / Sanctions / Export Controls, through work on special risk projects, as requested by Key's Chief AML Officer (CAMLO) / FCRM Leadership, Key Executive Leadership, Key Legal, or Key Risk Review Group (Audit). This role requires excellent people / communication / listening skills and intellectual curiosity, paired with a strong combination of (1) a solid working knowledge of BSA/AML, general financial crimes, and OFAC / Sanctions / Export Controls, (2) regulatory expectations, and (3) law enforcement needs. Essential Job Functions The Senior Compliance Officer- SPRT role is responsible for assisting on projects complex in nature or requiring additional assistance, that may benefit from additional subject matter expertise, line of business outreach, and/or leveraging existing federal law enforcement contacts, while conducting holistic reviews of situations that may involve a: Significant geo-political macro event affecting the financial sector; or Significant amount of customers, accounts, or account activity; or Significant loss event to Key; or Potential criminal conspiracy; or Potential national security issue; or Potential regulatory infraction; or Any emerging risk topics; or Any other high profile, sensitive, and/or reputational risk situation, as deemed relevant by management above. In addition, on topics above, the Senior Compliance Officer- SPRT role will provide guidance, Compliance oversight, and Quality Assurance reviews on SAR filings on the topics above. Using lessons learned, this role will also conduct a post-incident review of similarly situated customers to ensure no additional risk exposure within the bank, as well as provide post-incident training of lessons learned to affected parties within Key. Finally, this role would assist on any other special risk projects, as requested by Key Executive Leadership. Among the other functions for this role are the following: Drive or participate as stakeholder or team member on projects/initiatives as warranted by scope. As appropriate, leverage background and subject matter expertise to participate in new business initiatives, new product development, and product analysis. Effectively and professionally interact with internal audit and/or regulatory agency personnel including answering examination information requests, addressing examination findings, and discussing compliance processes and policies. Keep management apprised and recognize when to escalate issues as needed. Promote a proactive compliance culture, delivering advice and guidance to the business/support functions. Required Qualifications Minimum of 5 years of federal regulator, federal law enforcement / prosecutor, and/or US Intelligence Community experience with existing government contacts who can be leveraged, plus a minimum of 10 years of complex regulatory, compliance, investigative, law enforcement, or intelligence experience. A Bachelor's Degree is required, with advanced degree(s) of JD or MBA desired. Exceptional people / communication / listening skills, and the ability to work across multiple departments and business units / entities to compile information and to ensure compliance requirements are understood and met. Strong knowledge of compliance, financial crime, and/or national security laws and regulations, including BSA/AML, financial crimes, and OFAC / Sanctions / Export Controls banking regulations, regulatory expectations, and law enforcement needs. Extensive financial crimes, national security, OFAC / Sanctions / Export Controls, geo-political, and/or cross-disciplinary experience. Complex project / case strategy, management, and documentation experience, while exercising discretion. Excellent critical thinking and risk-based decision-making skills, combined with intellectual curiosity. Superior analytical and investigative skills. Excellent writing and communication skills, and the ability to succinctly convey information to senior business and compliance management. Flexible, agile, and able to identify process improvement opportunities. Exceptional ability to support multiple programs in a fast-paced environment with changing priorities and significant time pressures. Strong attention to detail. High ethical standards. Preferred Qualifications: Professional financial crime designations / certifications. This role may be designated as remote. However, location is subject to change based on business needs. In markets where corporate office space exists, the role may transition to a hybrid or in-office arrangement. Candidates should be open to potential changes in work location. COMPENSATION AND BENEFITS This position is eligible to earn a base salary in the range of $145,000 to $160,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance. Please click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 10/19/2025 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com. #LI-Remote
Posted 2 weeks ago
Ryan, LLCHouston, TX
Why Ryan? Hybrid Work Options Award-Winning Culture Generous Personal Time Off (PTO) Benefits 14-Weeks of 100% Paid Leave for New Parents (Adoption Included) Monthly Gym Membership Reimbursement OR Gym Equipment Reimbursement Benefits Eligibility Effective Day One 401K with Employer Match Tuition Reimbursement After One Year of Service Fertility Assistance Program Four-Week Company-Paid Sabbatical Eligibility After Five Years of Service Ryan is hiring and expanding our Motor Fuels Tax Compliance Practice. This is a unique opportunity to join a growing practice and make an immediate impact. This role offers significant room for career development and advancement. We will consider qualified candidates outside the greater Houston Metroplex for this opportunity. We are considering candidates currently at all levels or those ready for a promotion. If you are interested, or know of someone, we are eager to speak with you. Please submit your resume or contact us directly if you would like to learn more. We would love to have a chat. Contact: Andra.Kayem@ryan.com (214-973-3099) or MaryKay.Manning@ryan.com (469-399-4415) Come be a part of the excitement at Ryan. We are a Great Place to Work! Job Summary The Manager leads a team of Consultants to deliver compliance and consulting services for various clients. The Manager facilitates the workflow of the team, assigns work schedules to the team members, and conducts quality control and review of work of the team members. In addition to assist with new client onboarding, manages standard monthly return process, reviews client data, tax calendar reconciliation worksheets, notice logs, disbursement authorization request, client journal entries, manual adjustments, and non-standard returns. The Manager is responsible for the accuracy and timeliness of all the projects performed by the team. Duties and Responsibilities, as they align to Ryan's Key Results People: Create a positive team member experience. Collaborates with Director, Practice Leader, or Engagement Principal, to identify additional revenue; coordinates client communication in approval/execution of related tasks Develops and motivates team and provides leadership, counseling, and career guidance through mentoring and performance reviews/feedback. Client: Assists with prospect calls/meetings and new client kick-off sessions Monitors client bank accounts and updates accordingly, when needed Manages transitions of new client(s) and/or new business rules Responds to client inquiries and requests from state agencies. Value: Manages TCS engagements, which includes monthly planning, engagement oversight, scheduling staff resources, identification of internal process improvements, quality assurance. Reviews, and assists in revisions (if applicable), of client engagement documents to reflect current filing responsibilities and needs Reviews and reconciles, tax calendars, journal entries, and various other client duties. Assists with client billing and financial forecasting. Performs other duties as assigned. Education and Experience: Bachelor's degree required; Master's degree in Tax or CMI preferred; and a minimum of 4 years tax experience in a tax consulting firm or corporate tax environment. Must have strong knowledge of the Tax Compliance area, proven ability to direct and develop staff, strong project management skills, and excellent communication and interpersonal skills. Computer Skills: To perform this job successfully, an individual must have intermediate skills in Microsoft Word, Access, Excel, Outlook, and Internet navigation and research. Certificates and Licenses: Valid driver's license required. Supervisory Responsibilities: Requires extensive supervisory responsibilities, including training employees, assigning work, and signing off on work for accuracy and completeness. Work Environment: Standard indoor working environment. Occasional long periods of sitting while working at computer. Position requires regular interaction with employees at all levels of the Firm; interface with clients and external vendors as necessary. Independent travel requirement: 0 to 10%. 40+ hour standard workweek requirement. Equal Opportunity Employer: disability/veteran
Posted 30+ days ago
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. Position Overview The Vice President will be a key member of the Anti-Financial Crime Compliance team within the Legal and Compliance Department at PIMCO, located in either Newport Beach, CA or New York, NY. This role is pivotal in facilitating PIMCO's Anti-Financial Crimes (AFC) compliance program, with a primary focus on overseeing and implementing the global sanctions compliance program. The Vice President will work closely with the Global Anti-Financial Crimes Compliance Officer and collaborate with various teams across the organization. PIMCO's Legal & Compliance department consists of over 200 professionals globally, working collaboratively to address legal and compliance issues across regions. The Vice President will be expected to navigate a dynamic environment and engage effectively with colleagues at all levels. Main Purpose The Vice President will serve as the Global Sanctions Compliance Officer, ensuring that PIMCO adheres to all relevant sanctions regulations. This position will also involve oversight of service providers, responding to escalations from the business and Legal & Compliance teams, and assisting with the implementation of new AML rules, particularly as they relate to sanctions compliance. The candidate will engage in industry advocacy on sanctions topics and manage or assist with ad hoc projects, fostering strong internal relationships and partnerships across the firm. Responsibilities Oversee and implement PIMCO's global sanctions compliance program Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change Assist in the oversight of PIMCO's service providers to ensure compliance with sanctions regulations Respond to escalations from business units and other members of the Legal & Compliance team Support the implementation of new AML rules, particularly in relation to sanctions compliance Engage in industry advocacy on sanctions-related topics Manage or assist with ad hoc projects as needed Build and maintain strong internal relationships with the Legal & Compliance team and other functional areas Interact with teams and individuals across various levels of seniority in a fast-paced environment Position Requirements An undergraduate degree is required Minimum of five years of experience in economic sanctions at a large and diverse financial institution, federal regulator, or global law firm Proven ability to execute global projects and initiatives in a focused and tactical manner Experience thriving in a challenging, fast-paced, and professional environment Strong sense of integrity, consistently aligning with PIMCO's values and ethical principles Excellent written and verbal communication skills Legal degree preferred 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: $ 137,500.00 - $ 195,000.00 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 30+ days ago
Lane CollegeJackson, TN
Job Details Job Location: Lane College - Jackson, TN Position Type: Full Time Education Level: 4 Year Degree Salary Range: $60000.00 - $67000.00 Salary Travel Percentage: None Job Shift: Any Job Category: Research Description LANE COLLEGE JOB TITLE: Data Compliance and Assessment Coordinator DEPT: Institutional Research and Effectiveness REPORTS TO: Director of Institutional Research and Effectiveness JOB TYPE: Full-Time, Exempt LOCATION: Lane College, Jackson, TN AVAILABILITY: Immediate JOB PURPOSE AND REPORTING STRUCTURE The Data Compliance and Assessment Coordinator supports the Office of Institutional Research and Effectiveness (OIRE) by ensuring the integrity, accuracy, and strategic use of institutional data to meet compliance, planning, and reporting needs. With a primary emphasis on technical data management and analytics, the position requires proficiency in statistical software, data visualization tools, and reporting platforms. The role also supports the coordination of institutional assessment efforts (approximately 35%) by assisting in data collection, analysis, and documentation related to outcomes-based assessment and accreditation standards. ESSENTIAL DUTIES AND RESPONSIBILITIES Data Management, Compliance, and Analytics Maintain and improve systems to ensure data integrity, consistency, and validation across institutional sources (e.g., student information systems, learning management systems, etc.). Analyze institutional data using statistical software (e.g., SPSS, SAS, or R) to support federal/state reporting, strategic planning, grant development, and accreditation needs. Develop and maintain dashboards and visualizations using tools such as Power BI, Tableau, or equivalent platforms. Prepare and submit recurring internal and external compliance reports (e.g., IPEDS, state accountability, and SACSCOC data tables) in collaboration with IRE leadership. Assist in the design, distribution, and analysis of institutional surveys (e.g., student experience, course evaluations, alumni feedback) and interpret results to inform institutional decision-making. Respond to ad hoc data requests from internal stakeholders and provide clear, actionable data presentations. Promote data-informed practices by supporting training sessions and helping campus units interpret and use data responsibly. Assessment and Institutional Effectiveness Support Assist academic and administrative units in the collection and organization of student learning outcomes and administrative assessment data. Provide support in the preparation of assessment reports and documentation aligned with SACSCOC accreditation and institutional effectiveness planning. Collaborate with campus stakeholders in implementing the annual assessment cycle, including data collection timelines, data formatting, and template usage. Maintain a centralized and well-organized repository of institutional assessment plans and reports. Support campus-wide assessment and data literacy through training materials and technical consultations as needed. Qualifications QUALIFICATIONS Ideal candidates are detail-oriented, analytically strong professionals who demonstrate the ability to manage complex datasets, communicate insights effectively, and support a culture of data-informed decision-making in higher education. EDUCATION AND EXPERIENCE Master's degree in Educational Research, Data Analytics, Institutional Research, Statistics, or a related field preferred; Bachelor's degree with significant related experience may be considered. Minimum of two to three years of experience in data analysis, reporting, or institutional research, preferably in a higher education setting. SKILLS AND ABILITIES Analytical and Technical Proficiency Demonstrated proficiency with SPSS, SAS, or R for statistical analysis and data modeling. Skilled in developing interactive dashboards and visual reports using Power BI, Tableau, or similar software. Experience with Microsoft Excel (advanced functions), SQL, and data governance tools. Communication and Data Storytelling Ability to synthesize and communicate complex data into clear visualizations and compelling narratives tailored to diverse audiences. Skilled in drafting professional documentation, summary reports, and data visual materials. Assessment and Planning Support Understanding of outcomes-based assessment frameworks and accreditation standards (e.g., SACSCOC). Ability to support academic and administrative units in applying data for planning and continuous improvement. Organizational and Interpersonal Strong attention to detail and ability to manage multiple projects and timelines. Collaborative mindset and capacity to work effectively with diverse units and stakeholders. PHYSICAL DEMANDS The employee is regularly required to sit, use hands, and communicate. Occasionally must lift up to 25 pounds. WORK ENVIRONMENT Primarily an office environment. May occasionally be exposed to dust or electrical components. Noise level is generally moderate. EQUAL OPPORTUNITY EMPLOYER STATEMENT Lane College is an equal-opportunity employer and values diversity. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, or any other protected status.
Posted 30+ days ago
CareBridgeNorfolk, VA
Clinical Compliance Medical Director Please note that per our policy this role enables associates to work virtually full-time, with the exception of required in-person training sessions, providing maximum flexibility and autonomy. This approach promotes productivity, supports work-life integration, and ensures essential face-to-face onboarding and skill development. Please note that per our policy on hybrid/virtual work, candidates not within a reasonable commuting distance from the posting location(s) will not be considered for employment, unless an accommodation is granted as required by law. The Clinical Compliance Medical Director is responsible for providing clinical guidance related to the company's coding guidelines, provider coding audits, and participates in developing an investigation team that focuses on potential fraud, waste and abuse in the provider population. How will you make an impact: Reviews provider medical record documentation to determine if there is potential fraud, waste, or abuse that warrants further investigations. Conducts provider interviews related to these investigations. Investigative material which includes provider medical record documentation. Provides clinical guidance regarding coding guidelines and develops provider educational material. Develops a more clinically focused provider audit process to obtain more meaningful results. Develops clinical review for investigations team including developing guidelines on how to implement the clinical analysis portion of the investigations and developing clinically relevant questions for provider interviews. Develops provider educational materials that are clinically focused and provides peer-to-peer compliance training and education to other providers internally and externally. Provides input to provider reporting from the provider perspective. Minimum Requirements: Requires MD or DO and Board certification approved by one of the following certifying boards is required, where applicable to duties being performed, American Board of Medical Specialties (ABMS) or American Osteopathic Association (AOA). Requires active unrestricted medical license to practice medicine or a health profession. Clinical training and practice as a primary care physician required. Minimum of 5 years of clinical experience; or any combination of education and experience, which would provide an equivalent background. Preferred Skills, Capabilities and Experiences: Deep understanding of CMS-HCC and/or HHS-HCC risk adjustment methodologies strongly preferred. Experience partnering with Government Affairs on policy-related initiatives including representing MA plans in policy discussions with legislators, regulators and other policy-makers strongly preferred. Experience providing clinical risk-adjustment expertise representing MA plans in regulatory, compliance, and legal matters strongly preferred. Certified Risk Adjustment Coder (CRC) or similar credential strongly preferred. Experience with clinical documentation improvement and coding practices (ICD-10, HCC, MEAT criteria) strongly preferred. Certified Clinical Documentation Improvement Practitioner (CDIP) or similar credential strongly preferred. Experience in RADV audit preparation or payer-provider collaboration strongly preferred. Experience in OIG and CMS investigations strongly preferred. Experience writing expert reports and/or expert testimony related to false claims strongly preferred. Please be advised that Elevance Health only accepts resumes for compensation from agencies that have a signed agreement with Elevance Health. Any unsolicited resumes, including those submitted to hiring managers, are deemed to be the property of Elevance Health. Who We Are Elevance Health is a health company dedicated to improving lives and communities - and making healthcare simpler. We are a Fortune 25 company with a longstanding history in the healthcare industry, looking for leaders at all levels of the organization who are passionate about making an impact on our members and the communities we serve. How We Work At Elevance Health, we are creating a culture that is designed to advance our strategy but will also lead to personal and professional growth for our associates. Our values and behaviors are the root of our culture. They are how we achieve our strategy, power our business outcomes and drive our shared success - for our consumers, our associates, our communities and our business. We offer a range of market-competitive total rewards that include merit increases, paid holidays, Paid Time Off, and incentive bonus programs (unless covered by a collective bargaining agreement), medical, dental, vision, short and long term disability benefits, 401(k) +match, stock purchase plan, life insurance, wellness programs and financial education resources, to name a few. Elevance Health operates in a Hybrid Workforce Strategy. Unless specified as primarily virtual by the hiring manager, associates are required to work at an Elevance Health location at least once per week, and potentially several times per week. Specific requirements and expectations for time onsite will be discussed as part of the hiring process. The health of our associates and communities is a top priority for Elevance Health. We require all new candidates in certain patient/member-facing roles to become vaccinated against COVID-19 and Influenza. If you are not vaccinated, your offer will be rescinded unless you provide an acceptable explanation. Elevance Health will also follow all relevant federal, state and local laws. Elevance Health is an Equal Employment Opportunity employer and all qualified applicants will receive consideration for employment without regard to age, citizenship status, color, creed, disability, ethnicity, genetic information, gender (including gender identity and gender expression), marital status, national origin, race, religion, sex, sexual orientation, veteran status or any other status or condition protected by applicable federal, state, or local laws. Applicants who require accommodation to participate in the job application process may contact elevancehealthjobssupport@elevancehealth.com for assistance. Qualified applicants with arrest or conviction records will be considered for employment in accordance with all federal, state, and local laws, including, but not limited to, the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act.
Posted 1 week ago
Walker and Dunlop, Inc.Needham, MA
Department: Servicing- Operations We are Walker & Dunlop. We are one of the largest providers of capital to the commercial real estate industry, enabling real estate owners and operators to bring their visions of communities - where people live, work, shop, and play - to life. We are committed to creating meaningful social, environmental, and economic change in our communities. Department Overview The Debt Operations department encompasses the Underwriting, Closing, Servicing, and Asset Management teams, which collaborate closely to manage all credit and operational functions within W&D's GSE lending platform. These teams are dedicated to processing client business with a high degree of efficiency and meticulous attention to detail while ensuring strict adherence to credit policies as well as all lender and investor requirements. The Servicing team is highly rated with its Fitch rating of CPS1- and manages the 10th largest CRE debt portfolio in the United States. Supporting these core functions, the Debt Operations Compliance & Analytics team provides comprehensive risk oversight, ensures process integrity, and delivers data-driven insights across the entire Debt Operations platform. This team plays a critical role in enabling Underwriting, Closing, Servicing, and Asset Management to operate effectively and maintain compliance with regulatory standards. The Impact You Will Have The AVP, Asset Management Compliance executes the second-line loan review program for post-close activities and provides leadership in oversight areas including Vendor Monitoring and Fraud Tracking & KYC/AML across both Servicing and Asset Management. This role also leads guide update oversight, serves as deputy audit liaison, and coordinates with compliance colleagues to ensure trackers and evidence are current and complete. This role also balances execution and leadership responsibilities to strengthen compliance controls, data quality, and agency alignment across Asset Management. Primary Responsibilities Loan Review Execution: Execute post-close loan reviews for Asset Management, producing clear, reproducible workpapers and findings. Conduct thematic reviews targeting risks within Asset Management functions. Draft findings with root-cause analysis, recommend corrective actions, and confirm remediation through evidence and re-testing. Vendor Monitoring: Lead vendor monitoring across Servicing and Asset Management, including screenings, insurance/continuity, and information-security reviews. Coordinate with Information Security and Legal/Procurement to ensure proper contract clauses, review scope, and repository compliance. Maintain vendor registry, review exceptions, and oversee corrective actions. Fraud Tracking: Manage the fraud/KYC log for post-close events; define escalation triggers and ensure enhanced due diligence as required. Coordinate and execute KYC/AML testing aligned with enterprise AML/BSA protocols; track findings and remediation. Guide Updates: Monitor agency guide changes impacting Servicing and Asset Management; track required actions, evidence, and implementation status. Audits and Exams: Support audits and exams, lead Asset Management-specific responses, and ensure corrective actions meet closure criteria. Drive the documentation collection for the rating agency review. Policies and Procedures: Partner with Compliance colleagues and Asset Management team leads to keep Asset Management procedures current, guide-aligned, and improved for control effectiveness. Data Quality: Define critical Asset Management data elements and exception thresholds; partner with Technology/Analytics to run exception reports and reconciliations; escalate systemic issues. Deliver dashboards and reports on key metrics (trends, repeat defects, remediation timeliness, vendor performance, fraud/KYC activity, guide updates). Perform other duties as assigned. Attendance is generally required from 8:30 am- 5:30 pm local time, Tuesday through Thursday, with the option to work remotely on Mondays and Fridays. Education and Experience Bachelor's degree in Finance, Accounting, Business Administration, or related field required. 5+ years of experience in multifamily Asset Management or Servicing, with hands-on compliance and quality control expertise. Knowledge, Skills and Abilities Strong knowledge of post-close obligations and agency requirements. Excellent documentation and organizational skills; advanced Excel; familiarity with BI tools (Power BI/Tableau) preferred. Clear written and verbal communication skills; dependable follow-through and ability to manage multiple priorities. Ability to show ownership of your work, take on challenges and acknowledge growth opportunities, and demonstrate patience when learning new processes Courtesy, respect, and thoughtfulness in teaming with colleagues and other stakeholders This position has an estimated base salary of $85,000 - $100,000 plus discretionary bonus. An employment offer is based on the applicant's relevant work experience, applicable knowledge, skills, abilities, internal equity, and alignment with market data. #LI-NA1 #LI-Hybrid What We Offer The opportunity to join one of Fortune Magazine's Great Places to Work winners from 2015-2023 Comprehensive benefit options* that have earned Walker & Dunlop the silver level of the 2022 Cigna Healthy Workforce Designation, some of which include: Up to 83% subsidized medical payroll deductions Competitive dental and vision benefits 401(k) + match Pre-tax transit and commuting benefits A robust health and wellness program - earn cash rewards and gain access to resources that promote health, engagement, and balance Paid maternity and parental leave, as well as other family paid leave programs Company-paid life, short and long-term disability insurance Health Savings Account and Healthcare and Dependent Care Flexible Spending Career development opportunities Empowerment and encouragement to give back - volunteer hours and donation matching Eligibility may vary based on average number of hours worked EEO Statement We are committed to equity in all steps of the recruitment and employment experience. We believe in equal access to opportunities in our workplace. We do not tolerate discrimination, including harassment, based on any characteristic protected by applicable law, such as race, color, national origin, religion, gender identity, sexual orientation, sex, age, disability, veteran or military status, and genetic information, or any other characteristic protected by applicable law. We strive to be a safe place to ask questions, build professional relationships, and develop careers. SPAM Please be wary of recruitment scams. An indication of a scam might be a request for sensitive or bank information at the time of application or emails coming from a non walkerdunlop.com email address. Please call us at 301.215.5500, if you have any concerns about information requested during or after the application process. Fair Chance Hiring Background checks, including any questions related to infractions, arrests, or conviction records, will not be conducted until after a conditional offer of employment has been accepted. We will consider for employment qualified applicants regardless of arrest and conviction records, in accordance with federal, state, and local laws.
Posted 2 days ago
Build-A-Bear WorkshopSaint Louis, MO
As Manager, External Reporting and Compliance the primary responsibilities are the preparation of the SEC filings including 10-K & 10-Q reports and earnings and press releases; supervising the Internal Audit and Compliance Staff; and performing technical accounting research and policies. Responsibilities also include reviewing contracts for accounting consequences; aiding General Counsel in the preparation of the annual Proxy Statement; performing accounting tasks including accounting for gift cards, rewards club, incentive compensation, accruals, equity; and serving as the liaison with external auditors. Responsibilities: Prepare annual and quarterly SEC filings for adherence to US GAAP, SEC reporting standards, and accuracy based on financial data, knowledge of US GAAP and SEC standards, and knowledge of the Company's business and strategies. Supervise the daily responsibilities of the Internal Audit and Compliance Staff through their assessment and documentation of the Company's internal controls and other compliance activities. Assess direct reports performance, communicate through the year and document during the annual review period. Create and/or maintain accounting documents for areas such as gift cards, rewards club, incentive compensation, accruals, equity. This includes creating and submitting journal entries and supporting schedules to supervisors for review and approval. Remain current on latest US GAAP and SEC standards to prepare policies and answer questions pertaining to technical accounting. Perform research using tools to inform accounting decisions and communicate accounting consequences to operations personnel for consideration. Lead implementation of new accounting standards by researching and preparing an implementation strategy to ensure completion by the required date. Review revenue contracts and document revenue recognition implications. Required Qualifications: Bachelor's Degree in Accounting 4-6 years of experience in preparing or auditing SEC filings (10-K/Qs, Proxy Statement, etc.); experience supervising direct reports, including management of the direct report's daily tasks and assessment of performance during periodic and annual reviews; experience researching and documenting technical accounting; public company audit or internal audit experience indicating experience documenting, assessing, and review the design and operating effectiveness of internal controls. Preferred Qualifications: Graduate Degree in Accounting/Finance Certified Public Accountant (CPA) 6-8 years' experience performing procedures within a public company control environment; experience supervising multiple direct reports; experience researching and accounting for complex transactions and contracts; experience assessing and testing public company internal controls for design and operating effectiveness; experience working with internal and external auditors to fulfill requests and answer questions Behavioral Traits for Success: An analytical, inquiring, and critical mind that solves complex problems with ingenuity Driven to produce high-quality work within established standards of quality and accuracy Drive, determination, and self-disciplined approach to achieving results Communication style is concise, factual, and professional Comfortable making decisions within area of expertise Tests new ideas and concepts before releasing Earns trust by consistently achieving high-quality standards in a timely manner Able to manage multiple priorities Working Environment: Typical office environment with climate control and sufficient lighting, ergonomic desk/chairs Corporate Office located St. Louis, MO Hybrid work schedule Your Performance Will Measured On: Accurate and timely work completion Technical knowledge communication Direct report performance Stakeholder Feedback
Posted 1 week ago
KomatsuLongview, TX
Komatsu is an indispensable partner to the construction, mining, forestry, forklift, and industrial machinery markets, maximizing value for customers through innovative solutions. With a diverse line of products supported by our advanced IoT technologies, regional distribution channels, and a global service network, we tap into the power of data and technology to enhance safety and productivity while optimizing performance. Komatsu supports a myriad of markets, including housing, infrastructure, water, pipeline, minerals, automobile, aerospace, electronics and medical, through its many brands and subsidiaries, including TimberPro, Joy, P&H, Montabert, Modular Mining Systems, Hensley Industries, NTC, and Gigaphoton. Job Overview Komatsu is currently searching for an engineer to work in the electric wheel loader (EWL) infrastructure team. This in an on-site role in the design engineering department in Longview, Texas. This general engineering role is responsible for all design engineering processes, review of applicable standards, release of DFMEA(Design Failure Mode and Effects Analysis)/risk assessments and other duties as assigned. Komatsu offers a wide range of benefits including competitive compensation, excellent benefits, and merit/bonus potential. Key Job Responsibilities Work safe and be an advocate for safety. Participate in and support initiatives to ensure compliance with global standards for design and safety of products, as well as engineering best practices. Participate in and support improvements to streamline the engineering processes used to design, develop, maintain, and support components, products, and /or services. Lead projects to develop, maintain and support continual process improvements within design engineering. Become the subject matter expert and lead design teams on creation of DFMEA and risk assessments Additional Key Job Responsibilities Analyze FEA reports and/or classic hand calculations to compare to standards requirements Understand load cases associated with strain gage testing to support analysis of FEA reports General engineering and test track support, as needed. Qualifications/Requirements Bachelor of Science Degree in Mechanical Engineering or other engineering degree is required. Experience reviewing standards and their application to product design, highly desired Experience with performing risk assessments, highly desired Experience creating DFMEAs, highly desired Proficient in the use of computer-aided design (CAD) tools, desired. Knowledgeable with product data management (PDM) application to business, desired. Knowledgeable with product lifecycle management (PLM) application to business, desired. Skillful with SAP, desired Purchase order generation and invoice processes in SAP, desired Participation in cross-functional team assignment(s), highly desired. Experience with departmental budgets and capital expenditure process, desired Familiarity with wheel loaders, welded structures and/or electrical systems, desired Familiarity with wheel loader application in the mining industry, desired. Additional Information Komatsu is an Equal Opportunity Workplace and an Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
Posted 30+ days ago
American Senior CommunitiesIndianapolis, IN
American Senior Communities is now hiring a Director of Compliance and Audits The Director of Compliance and Audits is a valuable member of the Compliance Department, providing expertise and analysis in conducting internal audits, responding to external audits, and supporting the development and implementation processes and functions to comply with federal and state laws. This role requires assessing risks, identifying trends, developing and executing appropriate tests of control, presenting results and recommendations for improvements to management, developing training and education, and drafting audit reports. Requirements Five years of relevant experience in audit of health care services preferred. Active and unencumbered nursing license. Experience as a Registered Nurse in a post-acute care setting preferred. Recent work history in a regulatory or quality management aspect of post-acute care is also preferred. Ability to travel occasionally with overnight Health care compliance experience is strongly Benefits and perks include: Medical, vision & dental insurance with Telehealth option 401(k) retirement plan options Paid Time Off (PTO) and holiday pay Lucrative employee referral bonus program Paid training, skills certification & career development support Tuition reimbursement and certification reimbursement Continued education opportunities through tuition discounts and program partnerships Employee assistance program & wellness support Retail, food & entertainment discounts and so much more Full-Time and Part-Time Benefits may vary, terms and conditions apply About our Senior Living Division Our Senior Living Division offers team members the opportunity to advance their career while working in a fast paced and rewarding environment. We take pride in offering our residents more than just a place to rest their head. As a member of the Senior Living division, you will have the opportunity to use your skills to enhance the lifestyles of our residents and help them explore their passions. Our whole-person centered care focuses on nurturing the physical, emotional, mental, social and spiritual well-being of our residents. The hands-on experience you will gain allows you the opportunity to create meaningful relationships with your team and our residents.
Posted 30+ days ago
Getinge GroupStreetsboro, OH
With a passion for life Join our diverse teams of passionate people and a career that allows you to develop both personally and professionally. At Getinge we exist to make life-saving technology accessible for more people. To make a true difference for our customers - and to save more lives, we need team players, forward thinkers, and game changers. Are you looking for an inspiring career? You just found it. With a passion for life Join our diverse teams of passionate people and a career that allows you to develop both personally and professionally. At Getinge we exist to make life-saving technology accessible for more people. To make a true difference for our customers - and to save more lives, we need team players, forward thinkers, and game changers. Are you looking for an inspiring career? You just found it. Company Profile: Talis Clinical, LLC (a Getinge AB Company) provides health technology solutions supporting clinicians on their continuous journey to improve patient outcomes. The team at Talis is committed to developing technologies that support enhanced clinical quality, while providing an intuitive, productive user experience. We are a fast-paced organization with a culture oriented toward higher purpose outcomes and principles. This will be the most meaningful work you can do. Status: Full-Time, On Site Job Overview The Manager, Quality Systems for Getinge's Talis Clinical product area will be responsible for partnering with R&D, Technical Product Management, Product Testing and Customer Support and Implementation a Teams as well as other cross-functional team members to develop and implement global strategies to drive product quality and improve product release efficiencies. This manager will be a key member of the management team that supports the delivery of highly innovative Health IT products. This position will manage the Talis Quality Management System and Team including 4 direct reports focused on product testing for customer releases and all quality documentation associated with the product technical files. Job Responsibilities and Essential Duties Become the Subject Matter Expert is developing client and new product testing to ensure Talis product quality metrics are met with every release and product implementation. Manage direct testing team of 4 while ensuring consistent release quality. Support ongoing development of Talis Automation projects and introduce standards for improvements in unit and regression testing. Manage Bug Review process and support Engineering leadership in identifying and evaluating performance improvement opportunities. Manage Incoming inspection processes, vendor audits and vendor certification with primary suppliers. Ensures the quality of technical files generated. Provides expertise and consultation on proper preparation of required documentation and files to Talis team members. Liaises with internal organizations to provide/solicit guidance and support for proper documentation and record keeping. Leverage a deep scientific and technical understanding of products to provide strategic guidance and support for product development, life-cycle management of products to fulfill customer requirements. Assures that a positive working relationship is developed and maintained with internal/external customers. Leads or assists internal and external regulatory (health and cybersecurity) authority / certification audits. Support and Manage the Talis CAPA process. Through this process continuously auditing and analyzing Talis customer experiences. Develop and maintain effective relationships with customers, regulatory agencies, business partners, and Talis team members by earning the reputation of consistently demonstrating transparency and honesty. Encourage and lead others to find ways to continuously improve, learn about new scientific, technological and qualitative methodologies, to help the Talis team improve the support of the patients and caregivers we support. Minimum Requirements A bachelor's degree in engineering, Science or related field is required. A Master of Science in Engineering, Science or related field or MBA is preferred. A minimum of ten years experience in Software Development and Testing is required. People Leadership experience, including management direct reports and developing team members, is required. Working knowledge and experience with standards management. Must have Competent Authority and Notified Body interaction experience. Must have in depth knowledge of global medical device and software as a medical device (SaMD) regulatory[WM1] requirements. Must have solid knowledge and experience in matters relating to organizational skills and personnel management. Must demonstrate effective written and verbal communication skills, including technical writing skills. Must have demonstrated ability to mentor, develop and influence team members. Must be able to travel up to 20% Position is full time on premise at Streetsboro Ohio location Desired Attributes Proven problem solver Conceptual learner Reliance on influence to lead Focus on earning Customer Loyalty by turning negative experiences into positive experiences. Visionary leader that can provide a vision they are committed to with the passion to stay the course. Other Requirements Able to lift up to 25 pounds International Travel Visa Education: A bachelor's degree in engineering, Science or related field is required. A Master of Science in Engineering, Science or related field or MBA is preferred. The base salary for the position is a minimum of $157,000 and maximum salary of $196,000 plus annual bonus of 25% #LI-YA2 #LI-Onsite About us With a firm belief that every person and community should have access to the best possible care, Getinge provides hospitals and life science institutions with products and solutions aiming to improve clinical results and optimize workflows. Getinge employs over 12,000 people worldwide and the products are sold in more than 135 countries. Reasonable accommodations are available upon request for candidates taking part in all aspects of the selection process. About us With a firm belief that every person and community should have access to the best possible care, Getinge provides hospitals and life science institutions with products and solutions aiming to improve clinical results and optimize workflows. The offering includes products and solutions for intensive care, cardiovascular procedures, operating rooms, sterile reprocessing and life science. Getinge employs over 12,000 people worldwide and the products are sold in more than 135 countries. Getinge is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, pregnancy, genetic information, national origin, disability, protected veteran status or any other characteristic protected by law. Reasonable accommodations are available upon request for candidates taking part in all aspects of the selection process.
Posted 3 weeks ago
Julius Baer GroupMilan, TN
At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let's shape the future of wealth management together. The role acts as a compliance advisor within the entity in connection with Italian and European financial regulations, and in particular to regulations related to insurance brokerage activities. This includes the performance of thematic regulatory reviews and the provision of expert support in relation to regulatory changes. In addition to this, the Compliance Officer Italy (COI) collaborates with the Consolidated Supervision Team in the monitoring of the business and contribute to the performance of second-line-of-defense controls.. The role reports directly to the Head of Products & Services Compliance of Bank Julius Baer Europe S.A. Additionally, the COI reports to the CMLRO, supporting him for compliance/AML topics related to the Italian branch. YOUR CHALLENGE General/ Compliance Culture Ensure the compliance of BJBE with applicable banking and securities laws, regulations and internal guidelines regarding financial regulation, and in particular to insurance-related rules (i.e. IDD). Ensure excellent and evolving knowledge of all regulations, industry best practice and in-house policies and procedures Relationship with Regulators and Authorities Support the CMLRO and Head of Products & Services Compliance in maintaining a sound and regular relationship with the Italian authorities and other relevant regulators and ensure the respect of the reporting to the local regulators Compliance Advisory Service Provide advice to and liaise with BJBE Management on compliance related matters Provide advice on regulatory compliance matters to the business and the senior management Draft and review compliance guidance and internal policies/procedures Participate in projects addressing new regulatory initiatives and contribute to the enhancement of regulatory processes Update BJBE Management in the location on any regulatory changes with relevance to their respective area of responsibility Participate in the new business activities process as a regulatory advisor Ensure excellent and evolving knowledge of all regulations, industry best practice and in-house policies and procedures Compliance Programme Implement and maintain all relevant global standards as defined in the Global Julius Baer Compliance Program in BJBE under consideration of the relevant local regulations and laws Analyse periodically the business activities in the local entity in order to assess the existing compliance risks Conduct appropriate controls following the "Three-Lines-of-Defence-Model" and ensure that the number and design of controls is commensurate with the level of risks (risk based approach) Provide Management assurance by periodically testing the adherence to compliance rules Prepare regular and ad-hoc reports for BJBE Management and Compliance Head Office with regard to the execution of compliance activities and respective outcomes YOUR PROFILE Master´s degree in Economics, Finance or Legal At least 3 years of relevant experience in the European financial industry (audit, banking..) Good understanding of European financial laws and regulations and in particular of insurance-related rules (i.e. IDD) Excellent analytical qualities and problem-solving mind-set to define efficient compliance solutions to regulatory needs Excellent verbal and writing skills in English and Italian to prepare clear, concise reports with minimal supervision. Additional languages are considered as an asset. Detail oriented and demonstrate a high readiness of mind Ability to work under pressure, autonomously and within a team Ability to go along with different cultural backgrounds Personal and social Passionate with appetite for driving and implementing change with both a control and a service mind-set Ability to deep dive and tackle topics "hands on" when required Able to communicate with impact as well as build and maintain sound relationships with stakeholders locally and globally Strong negotiator Strong ability to define and lead the implementation of pragmatic and effective solutions Professional and Technical Experienced Compliance officer with significant experience in terms of EU regulations and Italian regulation more specifically Significant experience in the international wealth management industry (HNWI, UHNWI) Detailed knowledge of investment services regulations with a particular focus on the insurance products Experience in dealing with regulators and respective requests Project management experience as leader and project member We are looking forward to receiving your full job application through our online application tool. Further interesting job opportunities can be found on our Career site. Is this not quite what you are looking for? Set up a job alert by creating a candidate account here.
Posted 30+ days ago
DraftKingsBoston, MA
At DraftKings, AI is becoming an integral part of both our present and future, powering how work gets done today, guiding smarter decisions, and sparking bold ideas. It's transforming how we enhance customer experiences, streamline operations, and unlock new possibilities. Our teams are energized by innovation and readily embrace emerging technology. We're not waiting for the future to arrive. We're shaping it, one bold step at a time. To those who see AI as a driver of progress, come build the future together. The Crown Is Yours As an Analyst II on our Compliance team, you'll support the team in advancing our risk management strategies. You will enhance reporting, tools, and processes to safeguard both our customers and the company from potential risks. Leveraging data, you will detect violations, identify process gaps, and ensure adherence to regulatory standards. Through cross-functional collaboration and analytical problem solving, you will enable teams across our organization to make smarter, better, and faster decisions. What you'll do as an Analyst II, Compliance Conduct data analysis and reporting to evaluate compliance initiatives and regulatory requirements, including algorithm development for detecting violations, dashboard creation, and routine updates for senior leadership. React real-time to various threats to the business by evaluating alerts, creating data driven insights, and developing new response models. Build and maintain a reporting suite to support critical initiatives and inform stakeholders. Perform ad hoc analysis on high-risk events to support compliance and operations activities. Partner cross-functionally with teams such as Engineering, Product, and Operations to analyze and highlight important customer behaviors that may present a compliance risk. What you'll bring Bachelor's or advanced degree in Mathematics, Statistics, Engineering, Computer Science, Business Analytics, or another relevant discipline. At least 2 years of business analytics experience, preferably with exposure to compliance, technology, consulting, and/ or e-commerce industry. Knowledge of statistical methods, predictive modeling (e.g. OLS, Logistic regression, etc), data analysis, and working with large datasets. Knowledge of SQL/Snowflake, Python, and Tableau. Comfortable in a fast-paced, results-driven environment. Ability to maintain stakeholder relationships and deliver concise technical insights to a varied audience. #LI-AC2 #AC2025 Join Our Team We're a publicly traded (NASDAQ: DKNG) technology company headquartered in Boston. As a regulated gaming company, you may be required to obtain a gaming license issued by the appropriate state agency as a condition of employment. Don't worry, we'll guide you through the process if this is relevant to your role. The US base salary range for this full-time position is 76,800.00 USD - 96,000.00 USD, plus bonus, equity, and benefits as applicable. Our ranges are determined by role, level, and location. The compensation information displayed on each job posting reflects the range for new hire pay rates for the position across all US locations. Within the range, individual pay is determined by work location and additional factors, including job-related skills, experience, and relevant education or training. Your recruiter can share more about the specific pay range and how that was determined during the hiring process. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
Posted 4 days ago
Robert W. Baird & Co. IncorporatedMilwaukee, WI
About the Role: Baird's Compliance interns collaborate closely with experienced professionals to learn about the laws, regulations and ethical standards that govern the financial services industry. Through hands-on tasks and projects, interns gain practical insight into how policies and procedures are applied in a dynamic compliance environment at a high-performing financial firm. The Capital Markets Compliance team supports all Capital Markets businesses at Baird, including Equity Capital Markets, Equity Research, Global Investment Banking, Fixed Income and Public Finance. The team also focuses on overall firm regulation and policy functions. This intern will design, develop and test regulatory technology (RegTech) data solutions for the Capital Markets Compliance team while gaining unique insight into Baird's Capital Markets businesses through a compliance lens. This is a hybrid internship, working 3 days per week in our downtown Milwaukee, WI office and 2 days remote during the summer. The intern must be able to work full time during the summer, 37.5-40 hours per week, and work part time during the school semesters, 15-20 hours per week. We are seeking a student who can start in April/May 2026. The Impact You'll Make: Work with internal business partners to understand how the data we provide impacts the greater decisions of both Compliance and Baird Gain exposure to critical business data problems that help drive decisions Actively participate in team meetings, discussions and special projects with internal business partners Create innovative data solutions and visualizations using SQL, Python and potentially PowerBI What You'll Bring to Baird: Pursuing a bachelor's degree in data science, data analytics, computer science, computer engineering, information systems, information technology management, business analytics or other related areas with a proven track record of academic excellence Anticipated graduation date of May 2027 or later Curiosity to understand the application of technology and data when solving business problems Superior organizational skills, ability to manage multiple priorities and strong attention to detail while ensuring high-quality and timely delivery of solutions Proactive approach with a high level of motivation, strategic thinking and a strong commitment to continuous learning Experience with Python, SQL, Microsoft Excel, PowerPoint and Word Some financial market knowledge is preferred About Our Intern Program: Jumpstart your career with Baird's high-impact summer intern program! You'll gain real-world experience, connect with inspiring leaders and grow through hands-on projects, mentorship and dynamic events. From our Intern Welcome and Baird Gives Back Day to firmwide networking and professional development, you'll be part of a vibrant, collaborative culture that values your voice and fuels your future. Baird is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status. #LI-DNI Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.
Posted 2 weeks ago
Geico InsuranceFoster City, CA
At GEICO, we offer a rewarding career where your ambitions are met with endless possibilities. Every day we honor our iconic brand by offering quality coverage to millions of customers and being there when they need us most. We thrive through relentless innovation to exceed our customers' expectations while making a real impact for our company through our shared purpose. When you join our company, we want you to feel valued, supported and proud to work here. That's why we offer The GEICO Pledge: Great Company, Great Culture, Great Rewards and Great Careers. GEICO is seeking a very experienced Program Manager with a passion for managing complex programs across multiple departments and teams to join our Finance Technologies (Planning & Controls) team as a Senior Technical Program Manager. You will be integral in driving teams of engineers to implement multiple applications to support the Compliance, Risk, and Audit departments. As the Senior Technical Program Manager, you will be responsible for planning, prioritizing, and leading implementations within the Finance Technology domain. The ideal candidate will have deep expertise in applying project management skills, have strong Finance business knowledge to collaborate with a wide variety of stakeholders, and awareness of Compliance or Audit business functions and their related technologies. Position Responsibilities: As a Senior Technical Program Manager within the Finance Technologies area, you will: Partner with the project sponsor, delivery team, and stakeholders to deliver quality solutions on time and within budgetCreate, maintain, and actively manage a detailed project schedule, change control process, and documentation Work with your Senior Director to address project dependencies, negotiate and estimate incremental delivery dates for milestones with the stakeholder community, and deliver projects on time Identify and raise appropriate project risks, in addition to presenting detailed and implementable solutions or alternatives Understand how requirements and design choices may impact systems across multiple areas Report on your team's progress for project and other key metrics, in addition to presenting detailed and implementable ideas for areas to further improve or influence product or project delivery Leverage your knowledge of operational and LEAN practices/principles to streamline organizational and team processes to increase efficiency and effectiveness Prior Financial Services Industry experience is preferred, with a solid understanding of the functional and technical aspects of Risk/Compliance and Audit applications Coordinate project activities across multiple systems, departments, and teams Leverage your knowledge of Risk/Compliance and Audit functions to support various implementations such as a Legal Rule Repository, Regulatory Change Management, Model Risk Management, and GRC system. Engage in cross-functional collaboration throughout the entire software lifecycle. Leverage experience with various ERPs (e.g. PeopleSoft; Oracle EBS; Oracle Cloud; Hyperion; Workday; or SAP) to enhance existing applications or build new ones to support GEICO's Finance organization Leverage your deep understanding of Finance, Accounting, Audit, and Compliance to drive solutions to meet business requirements Collaborate with product managers, team members, vendors, customers, and other engineering teams to solve our toughest problems Represent technology during vendor tool selection process, assist business stakeholders with structured approach to identify a solution that meets their needs and the needs of GEICO Qualifications: Very strong program/project management skills with proven experience coordinating projects across multiple teams, with successful project delivery at scale Deep Finance and Risk domain expertise to be able to partner with Finance/Risk leadership to support system solutions Strong understanding of Risk, Compliance, and Audit reporting philosophies; and cross-finance practices to ensure data, integrations, and solutions are well designed Have ability to be detailed and deadline oriented with effective organizational and analytic skills Strong critical thinking, problem solving, decision making, and analytical skills Experience or certification in LEAN principles and practices is an asset Outstanding time management skills and attention to detail. Excellent verbal/written communication skills, including the ability to clearly document findings, proposals, issues, and status Ability to communicate and work directly with business leaders across Technology and Finance Experience in implementing Risk, Compliance, or Audit applications is highly preferred Effective leadership qualities, ability to influence without direct management authority Experience managing conflict to achieve project goals Must be able to work both independently and in a team environment Proven ability to multi-task in a fast-paced environment Awareness of ADO is preferable Experience 12+ years of experience in managing large-scale Finance or Risk Systems projects PMI/PMP or Scrum certified Excellent understanding of Waterfall and Agile methodologies 10+ years in working with industry leading ERP solutions (e.g. PeopleSoft; Oracle EBS; Oracle Cloud; Hyperion; Workday; or SAP) 10+ years of experience in Product Management, Project Management, or equivalent Education: Bachelor's Degree in Information Technology, Business Administration, or related field; or equivalent experience Annual Salary $130,000.00 - $260,000.00 The above annual salary range is a general guideline. Multiple factors are taken into consideration to arrive at the final hourly rate/ annual salary to be offered to the selected candidate. Factors include, but are not limited to, the scope and responsibilities of the role, the selected candidate's work experience, education and training, the work location as well as market and business considerations. At this time, GEICO will not sponsor a new applicant for employment authorization for this position. The GEICO Pledge: Great Company: At GEICO, we help our customers through life's twists and turns. Our mission is to protect people when they need it most and we're constantly evolving to stay ahead of their needs. We're an iconic brand that thrives on innovation, exceeding our customers' expectations and enabling our collective success. From day one, you'll take on exciting challenges that help you grow and collaborate with dynamic teams who want to make a positive impact on people's lives. Great Careers: We offer a career where you can learn, grow, and thrive through personalized development programs, created with your career - and your potential - in mind. You'll have access to industry leading training, certification assistance, career mentorship and coaching with supportive leaders at all levels. Great Culture: We foster an inclusive culture of shared success, rooted in integrity, a bias for action and a winning mindset. Grounded by our core values, we have an an established culture of caring, inclusion, and belonging, that values different perspectives. Our teams are led by dynamic, multi-faceted teams led by supportive leaders, driven by performance excellence and unified under a shared purpose. As part of our culture, we also offer employee engagement and recognition programs that reward the positive impact our work makes on the lives of our customers. Great Rewards: We offer compensation and benefits built to enhance your physical well-being, mental and emotional health and financial future. Comprehensive Total Rewards program that offers personalized coverage tailor-made for you and your family's overall well-being. Financial benefits including market-competitive compensation; a 401K savings plan vested from day one that offers a 6% match; performance and recognition-based incentives; and tuition assistance. Access to additional benefits like mental healthcare as well as fertility and adoption assistance. Supports flexibility- We provide workplace flexibility as well as our GEICO Flex program, which offers the ability to work from anywhere in the US for up to four weeks per year. The equal employment opportunity policy of the GEICO Companies provides for a fair and equal employment opportunity for all associates and job applicants regardless of race, color, religious creed, national origin, ancestry, age, gender, pregnancy, sexual orientation, gender identity, marital status, familial status, disability or genetic information, in compliance with applicable federal, state and local law. GEICO hires and promotes individuals solely on the basis of their qualifications for the job to be filled. GEICO reasonably accommodates qualified individuals with disabilities to enable them to receive equal employment opportunity and/or perform the essential functions of the job, unless the accommodation would impose an undue hardship to the Company. This applies to all applicants and associates. GEICO also provides a work environment in which each associate is able to be productive and work to the best of their ability. We do not condone or tolerate an atmosphere of intimidation or harassment. We expect and require the cooperation of all associates in maintaining an atmosphere free from discrimination and harassment with mutual respect by and for all associates and applicants.
Posted 30+ days ago
Wellington Management Company, LLPBoston, MA
About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading compliance program, focusing primarily on compliance support to trading professionals in equity, fixed income and derivatives markets. The individual will also support elements of the compliance program related to material non-public information, market manipulation, conflicts of interest, and regulatory change. As the firm expands the asset classes, products and geographical footprint of its businesses, as well as its technological capabilities, a key responsibility of the role will be supporting the firm's compliance procedures and controls in new and evolving areas and implementing enhancements where necessary. The Senior Compliance Analyst will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance Analyst's primary responsibilities will include the following Providing real-time compliance advice and support to trading personnel with respect to policies & procedures, controls, regulatory rules, MNPI, supervision, position limits, etc. Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes Driving the continued evolution of firm's policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives Collaborating with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers Providing regulatory risk management advice and support to projects and strategic initiatives Reviewing regulatory developments and assisting with the evaluation of their impact on our firm Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings Responding to regulatory inquiries and examinations Developing and conducting regulatory training, where appropriate Qualifications 5+ years of compliance or asset management experience (experience supporting and/or working with capital markets and/or trading processes is preferred) Familiarity with US regulatory landscape and rules applicable to the capital markets activities of US investment advisers Ability to self-start and think creatively Strong business judgment and comfort working in a fast-paced environment Ability to apply analytical and decision-making skills in a collaborative and growth-oriented business Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms Strong interpersonal skills and ability to influence outcomes through collaboration Strong written and oral communication skills Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously Prior success identifying, developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows Experience using data analysis tools and/or other technology solutions to strengthen internal controls is a plus Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com. At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 80,000 - 180,000 This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time) We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.
Posted 30+ days ago
Schonfeld Strategic Advisors LLCNew York, NY
The Role We are seeking to hire an exceptional Global Markets Compliance Officer & Head of Control Room for our New York office. As the Global Markets Compliance Officer & Head of Control Room you will act as subject matter expert for regulations that apply to the market infrastructure, and investment and trading elements of Schonfeld's business lines. This role will have a focus on capital markets business lines, covering both equity and credit markets, as well as covering advisory support for trading policy. You will need to be familiar with discretionary equity market mechanics, including regulations surrounding various deal profiles such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues. You will need experience in managing control room operations, including overseeing wall-crosses, handling inadvertent MNPI, and maintaining information barriers. This position requires flexibility to also support the wider compliance department with activities outside of the listed responsibilities. What you'll do Act as point of contact and manage key relationships with business line partners for Compliance. Lead, develop and manage Control Room initiatives and activity globally, including wall crosses, market soundings, MNPI and confidential information control, as well as related policy and procedure development. Provide guidance and coaching to other members of the control room and the Compliance department. Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion. Engage in the review of, and input into the approval for new investment instruments, products, strategies, technology, models, trading venues, and trading activities. Act as compliance SME as needed for relevant business change initiatives. Act as an escalation line for compliance program monitoring, testing, risk assessments, trade surveillance, and control evaluations connected to your coverage area. Act as first line response for exchange and regulator queries related to US market activity. Support and preparation of relevant business coverage for formal examinations. Track and lead regulatory change initiatives connected to relevant market structure and investment related regulatory change. Support the wider Global Markets Advisory team and Compliance department as needed. What you'll bring What you need: Bachelor's degree, JD preferred 5-7 years' experience preferably in a multi-manager firm in a similar role, covering fundamental equity, credit, capital markets or similar discretionary strategies. Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues Experience in maintaining control room restrictions and approving various deals for multiple investment teams Highly self-motivated, organized, and attentive to detail. Capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment. Structured, methodical, and consistent in execution. Adaptable and open to change, a natural problem solver and lateral thinker. Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority. Firm and team first in thinking. Who we are Schonfeld Strategic Advisors is a global multi-strategy, multi-manager investment platform that harnesses the transformative power of people to perform in all market environments. Our dynamic culture inspires better outcomes for our team, our investors, and our partners. We aim to consistently deliver risk-adjusted returns, with people driving performance. We specialize in four core strategies: Quantitative Trading, Fundamental Equity, Tactical Trading, and Discretionary Macro & Fixed Income. We capitalize on inefficiencies and opportunities within the markets, drawing from a significant investment in proprietary technology, infrastructure, and risk analytics. We invest through internal portfolio managers and external partner funds, pursuing alignment among investors, investment professionals, and the firm. Our footprint spans 7 countries and 19 offices. Our Culture Talent is our strategy. We believe our success is because of our people, so putting our talent above all else is our top priority. We are teamwork-oriented, and collaborative, and encourage ideas-at all levels-to be shared. As an organization committed to investing in our people, we provide learning & educational offerings and opportunities to make an impact. We foster a sense of belonging among all of our employees with Diversity, Equity, and Inclusion at the forefront of this mission. Our employees value diversity across identity, thought, people, and perspective which serves as the foundation of our culture. As a firm, we are committed to creating a hiring process that is fair, welcoming, and supportive. The base pay for this role is expected to be between $200,000.00 and $230,000.00. The expected base pay range is based on information at the time this post was generated. This role may also be eligible for other forms of compensation such as a performance bonus and a competitive benefits package. Actual compensation for the successful candidate will be determined based on a variety of factors such as skills, qualifications, and experience. #LI-MM1
Posted 30+ days ago
SofiNew York City, NY
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The role: The Independent Compliance Testing (ICT) Program performs a key second line of defense role, to help ensure regulatory requirements are met across the applicable lines of business at SoFi. The Compliance Testing Specialist in ICT will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable broker-dealer regulations, including but not limited to FINRA Rules and other regulations derived from the Investment Company Act of 1940 or Securities Exchange Act of 1934, as well as applicable state regulations of broker-dealers. The Testing Compliance Specialist will report to the Regulatory Compliance Testing Team Lead, and the role may also require executing some testing in financial services subject matter areas other than those outlined above. What you'll do: Executing aforementioned testing in adherence to program methodology and procedures, under the leadership of a team leader. Ensure all tasks and reporting are completed within established timeframes, in accordance with the program's test plan. Analyzing data from multiple sources and systematically documenting the work and results. Identifying and classifying any test findings properly; managing and tracking those findings to ensure the business owner remediates the issue; and performing validation and sustainability review/testing to confirm that the finding has been fully addressed. Establishing and maintaining strong working relationships with relevant Compliance Officers and Business Areas. What you'll need: Bachelor's degree At least 5-8 years of compliance testing or auditing experience, specifically within financial services or a regulated banking institution Solid regulatory subject matter expertise with trading/brokerage operations, investment management Strong problem-solving, critical thinking, and communication skills Nice to have: Solid working knowledge of brokerage products (e.g., options and mutual funds) processes (e.g., order routing, consolidated audit trails) and investment advisor operations; and their applicable laws and regulations. Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.
Posted 2 days ago
Paul DavisFort Collins, CO
Benefits: 401(k) Health insurance Paid time off Profit sharing Training & development Urgently Hiring Position: Reconstruction Compliance Coordinator/Administrative Assistant Experience with the construction industry or home services is a must. What does a Compliance Coordinator/Administrative Assistant with Paul Davis do? Fields calls from customers and team members Oversees office administrative operations. Problem-solving and helping people find solutions. Learns new things about construction and building homes. Ensure compliance with industry standards and regulations utilizing internal office systems. Pulls permits when needed Provides homeowners, insurance companies, and third-party administration companies with weekly updates regarding their claims Vet and on-board new subcontractors Helps the project managers and reconstruction division manager with administrative support Why Join The Team? We are an industry leader in restoration and reconstruction for insurance providers and commercial properties throughout the United States and Canada. Built upon principles of customer service and leadership, not only living our company values to be more than just a service provider, but to restore communities. Team Compensation and Benefits: Hourly Pay: $21.00 to $23.00/hour based on experience Paid holidays off Paid Time Off (PTO) Health Insurance: choose from two employer-sponsored health insurance plans 401k: company-matched contributions of up to 5% after one year of service Profit-Sharing: enrollment in an annual profit-sharing program after one year of service Leadership Development - our company grows from the inside! Great culture and team dynamic Skills Desired of Team Member: Organized, analytical administrative coordinator who likes a fast-paced environment Loves talking to people and building relationships Likes to problem-solve and help people find solutions Enjoys completing tasks Is a stickler for the details Can review data and deductively think through what information might be missing Proactive, assertive personality Likes to create and follow systems while helping others to follow them as well Enjoys taking care of others High School Diploma or equivalent Ability to quickly learn new software Experience with Microsoft Office Suite Professional appearance and courteous manner
Posted 3 days ago
Control Room & Employee Compliance Officer
Corebridge Financial Inc.Jersey City, NJ
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Job Description
Who We Are
At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow.
We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life:
- We are stronger as one: We collaborate across the enterprise, scale what works and act decisively for our customers and partners.
- We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders.
- We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future.
- We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work.
Who You'll Work With
The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization. The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program.
About The Role
The Investments Compliance team is actively seeking a Compliance Officer who will join its Code of Ethics & Employee Compliance team.
Responsibilities
This role will have two primary responsibilities:
Execute the compliance program related to securities laws prohibiting transactions based on material non-public information ("MNPI"), which includes:
- Administering the process of receiving employee notifications, determining materiality of information, adding or removing securities from the Watch/Restricted Lists,
- Reviewing alerts generated for transactions in Watch/Restricted List securities,
- Training employees in the evolution of regulatory views of materiality and adjusting policies and procedures as needed,
- Maintaining controls around the businesses use of expert networks, and
- Maintaining controls around potential approved "cross-barrier" communications.
Administer the compliance program related to electronic communications archiving and surveillance, which includes:
- Creating employee profiles to initiate archiving and surveillance of employee electronic communications,
- Designing the surveillance policies/lexicons which will trigger alerts requiring review,
- Developing policies and procedures for the review of alerts, dispositioning, and escalation,
- Verifying compliance team members responsible for the review and disposition of alerts are doing so within timelines, and
- Producing reporting for management that will indicate the ongoing effectiveness of the program.
Note, this role will not review electronic communications alerts as a primary responsibility but will be required to occasionally backup other team members in the review of alerts.
The secondary responsibility of this role will be to backup team members in administering the Code of Ethics (ex. personal transaction monitoring, gifts & entertainment monitoring, outside business activities review and approval).
Skills and Qualifications
The ideal candidate for this role understands the pillars of Compliance: Policies & Procedures, Monitoring & Testing, Advice & Guidance, Issue Remediation & Reporting, Training, and Risk Assessment, and takes ownership in the execution of each pillar with respect to the candidate's responsibilities or areas of coverage. This role requires "getting in the weeds" acquiring a deep understanding of the types of securities in which we transact, the roles of different employees and groups within the business and support functions, and the ability to create policies/procedures based on that information to achieve the goals of the compliance program.
Candidates will be expected to possess the following professional knowledge and personal attributes:
- At least 5 years of experience in financial services with progressive increases in responsibility.
- Current understanding of regulatory rules related to insider trading and MNPI, continuously develop that understanding through staying informed on industry guidance and regulatory views expressed in enforcement actions related to matters of insider trading, and the ability to apply that information in the development of policies, procedures, and routines to achieve the goals of the compliance program,
- High degree of intellectual curiosity and willingness to self-learn through reading regulatory releases and publications, inquiring with business and process owners, and applying past experiences from similar scenarios to current tasks and challenges,
- Ability to coordinate amongst other team members who do not report to you to achieve a common goal,
- Ability to confront conflict and difficult issues in a professional, assertive, collaborative and proactive manner,
- Highly organized, with the ability to verify, inspect, and record documentation supporting results and disposition of matters, and
- Must be proficient with MS Word, Excel, and Powerpoint.
Preferred, but not required, prior experience:
- Prior experience in a "Control Room" function of a bank, broker-dealer, investment manager, or similar financial institution.
- Prior experience in a compliance function of a broker-dealer or registered investment adviser.
Compensation
The anticipated salary range for this position is $73,000 to $85,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate's geographic location, skills, experience and other qualifications.
In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan.
Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below.
Work Location
This position is based in Corebridge Financial's Houston, TX and Jersey City, NJ offices.
Estimated Travel
Minimal travel.
Why Corebridge?
At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive.
Benefit Offerings Include:
- Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
- Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
- Employee Assistance Program: Confidential counseling services and resources are available to all employees.
- Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
- Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
- Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.
Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy.
We are an Equal Opportunity Employer
Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our colleagues are respected as individuals and valued for their unique perspectives.
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law.
We will consider for employment qualified applicants with criminal histories, consistent with applicable law.
To learn more please visit: www.corebridgefinancial.com
Functional Area:
CP - Compliance
Estimated Travel Percentage (%): No Travel
Relocation Provided: No
Corebridge Institutional Investments Holdings Corp.
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