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Director Of Compliance
AegonPhiladelphia, PA
Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment - one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. Who We Are We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them. We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good - for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms. What We Do Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com. Job Description Summary Transamerica Financial Advisor (TFA) is searching for a Director of Compliance. This position will report to TFA's Chief Compliance Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA's retail broker-dealer and investment advisory business. The candidate will contribute to the success of the compliance program to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TFA. In addition, the candidate will assist the CCO in enhancing the compliance program for World Financial Group (WFG). This Director will be heavily involved in all areas of Compliance but specifically will oversee the Compliance Advertising and Anti-Money Laundering/Fraud programs for TFA and WFG. This position involves planning, organization, and execution of day-to-day operational compliance activities. Additionally, this individual will help maintain a strong compliance framework for a growing team. The Director will work with the business to remediate issues identified through testing. The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans. Job Description Responsibilities Advising the Chief Compliance Officer of potential regulatory risks, gaps, and vulnerabilities; implement and lead corrective action plans. Assisting in the hiring and training of compliance staff to support TFA and WFG's compliance programs. Establishing relevant performance metrics to ensure team members understand their significance and expectations, and providing regular performance feedback. Developing, maintaining, and updating compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities rules and regulations. Creating training for home office and the field. Assisting and possibly leading regulation examinations and audits as assigned by the Chief Compliance Officer. Collaborating with TFA and WFG business partners on compliance, supervision, management, Advertising and AML/Fraud issues. Developing strong working relationships with TFA and WFG business partners (home office and in the field). Directing and leading compliance projects and initiatives involving business line senior managers; providing compliance guidance and advice. Providing guidance on the effective response to detected problems and offer recommendations for corrective action as appropriate. Qualifications: Bachelor's degree in business, accounting, or other relevant field 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment advisory environment At least 2 years of experience in compliance or internal audit functions at a supervisory or management level At least 2 years of experience in Advertising Compliance in the securities industry Experience in AML Knowledge of securities, insurance, and retirement laws, regulations, and rules as it pertains to the sale of such products FINRA Series 7, 24 & 66 Excellent written and verbal communication skills Strong leadership skills Advanced analytical and research skills Proficiency using MS Office tools Preferred Qualifications 4+ years in a leadership role FINRA Series 53 Insurance license Experience with FIS Supervision Compliance Manager Experience with National Financial Services/Fidelity platform Working Conditions Normal office environment utilizing Microsoft office products. The Salary for this position generally ranges between $150,000-$170,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion What We Offer For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees. Compensation Benefits Competitive Pay Bonus for Eligible Employees Benefits Package Pension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance Vision Insurance Employee Discounts Career Training & Development Opportunities Health and Work/Life Balance Benefits Paid Time Off starting at 160 hours annually for employees in their first year of service. Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays). Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars Parental Leave - fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child. Adoption Assistance Employee Assistance Program College Coach Program Back-Up Care Program PTO for Volunteer Hours Employee Matching Gifts Program Employee Resource Groups Inclusion and Diversity Programs Employee Recognition Program Referral Bonus Programs Inclusion & Diversity We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. Giving Back We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work. Transamerica's Parent Company Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe. * It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. As of December 31, 2023
Posted 30+ days ago
Academic Compliance Specialist
Herzing UniversityAkron, OH
To participate in a remote work arrangement, employees must reside in the United States. No remote work arrangement will be considered for working from outside the United States. If you are a current employee, faculty or adjunct instructor at Herzing University (not a Contractor or temporary employee through a staffing agency), please click here to log in to UKG and then navigate to Menu > Myself > My Company > View Opportunities to apply using the internal application process. We offer a comprehensive medical insurance benefits, excellent education assistance programs, 401K match and employee assistance program. Click Here to learn more about careers at Herzing University. The responsibilities of the Academic Compliance Specialists fall within six categories: State Regulatory Reporting and Compliance State Authorization Academic Operational Audit and Compliance New and Revised Program Applications and Implementation Programmatic Accreditation Reporting and Compliance Compliance Process, Communication and Documentation This role nteracts with constituents at all levels of the University as well as with external regulatory partners to assure ongoing compliance. Develop of standard processes and documentation that supports those processes will be a primary responsibility. The role will be responsible for collaboration with the System Division Chairs on the development of standard regulatory submission templates, working with the Data Analytics/Compliance team to define reporting requirements for third party regulators, and with the Academic Operations Leadership team on the development of audit checklists and timeframes. EXPERIENCE AND EDUCATION REQUIREMENTS: Bachelor's Degree in Education, related field, or equivalent experience, Master's degree preferred Two years of experience working in higher education Prior experience interacting with post-secondary education regulatory bodies Five years of experience engaged post-secondary education compliance preferred Prior experience in the development and submission of applications to post-secondary regulatory bodies preferred Education or experience in report writing preferred RESPONSIBILITIES: State Regulatory Reporting and Compliance State Authorization Academic Operational Audit and Compliance New and Revised Program Applications and Implementation Programmatic Accreditation Reporting and Compliance Compliance Process, Communication and Documentation Physical and Other Requirements Must be able to remain in a stationary position 50% of the time Ability to move about readily and rapidly, if necessary, around campus, classrooms, clinical settings, etc., to access classrooms, desks, students, office machinery, clinics, patients, etc. Constantly communicates using the spoken word with students, faculty, staff and colleagues Visually or otherwise identify, observe and assess Operate equipment specific to programmatic track, personal computer, audio-visual equipment, clinical equipment, etc. Travel to off-site meetings, conferences, or campus visits as needed, up to 30% Herzing University is committed to providing a diverse environment and is dedicated to fostering a culture and atmosphere of mutual respect. It provides an inclusive and collegial community where individuals are valued, heard and empowered to contribute to the effectiveness of the institution. Applicants must be authorized to work for any employer in the U.S. We do not sponsor or take over sponsorship of an employment Visa at this time. It is the university's practice to recruit and hire without discrimination because of skin color, gender, religion, LGBTQi2+ status, disability status, age, national origin, veteran status, or any other status protected by law. https://www.herzing.edu/about/diversity Herzing University prohibits sex-based discrimination in any education program or activity that it operates. Individuals may report concerns or questions to the Title IX Coordinator. The notice of nondiscrimination is located at https://www.herzing.edu/title-ix .
Posted 3 weeks ago
Sr. Risk And Compliance Engineer
PitchbookSeattle, WA
At PitchBook, we are always looking forward. We continue to innovate, evolve, and invest in ourselves to bring out the best in everyone. We're deeply collaborative and thrive on the excitement, energy, and fun that reverberates throughout the company. Our extensive learning programs and mentorship opportunities help us create a culture of curiosity that pushes us to always find new solutions and better ways of doing things. The combination of a rapidly evolving industry and our high ambitions means there's going to be some ambiguity along the way, but we excel when we challenge ourselves. We're willing to take risks, fail fast, and do it all over again in the pursuit of excellence. If you have a good attitude and are willing to roll up your sleeves to get things done, PitchBook is the place for you. About the Role: As a member of the Product and Engineering team at PitchBook, you will be part of a team of big thinkers, innovators, and problem solvers who strive to deepen the positive impact we have on our customers and our company every day. We value curiosity and the drive to find better ways of doing things. We thrive on customer empathy, which remains our focus when creating excellent customer experiences through product innovation. We know that greatness is achieved through collaboration and diverse points of view, so we work closely with partners around the globe. As a team, we assume positive intent in each other's words and actions, value constructive discussions, and foster a respectful working environment built on integrity, growth, and business value. We invest heavily in our people, who are eager to learn and constantly improve. Join our team and grow with us! As a Senior Risk and Compliance Engineer and member of the Pitchbook Cybersecurity Team, you will spearhead our growing Governance, Risk, and Compliance (GRC) objectives through collaboration with PitchBook Product Engineering and, by way of our parent company, Morningstar Security. You will work with the Director of Cybersecurity to lead our first SOC 2 Type II audit and attestation and will work across PitchBook and Morningstar to support other audit efforts focused on cybersecurity and Governance, Risk, and Compliance. Through your work, you will communicate security and risk postures to the business with a focus on safeguarding our solutions for the customer. This role will be key to developing and overseeing Governance, Risk, and Compliance practices at PitchBook and requires strong knowledge and expertise. In this role, you will be provided with opportunities to learn, grow, and develop your career while being supported by a growing cybersecurity team and leadership that understands the need to align security practices with customer satisfaction and profitability. Primary Job Responsibilities: Stay current with security industry risks and risk management frameworks by applying this understanding to PitchBook governance, risk, and compliance practices Provide expert advice to PitchBook Engineering teams to drive strong risk awareness and best practices throughout our Software Development Life Cycle Collaborate and partner with the PitchBook and Morningstar Engineering and Security teams to ensure successful completion of annual risk assessments and security audits Develop and deliver our annual SOC 2 Type II attestation with support from leadership Apply the company value "Customers are King" through your daily work Support the vision and values of the company through role modeling and encouraging desired behaviors Participate in various company initiatives and projects as requested Skills and Qualifications: Bachelor's degree program or equivalent degree in a field such as Information Security, Risk Management, or Information Technology 5+ years of experience in Risk Management, Information Security, or a similar field Experience conducting security audits and risk assessments, working with large sets of data to derive clear understanding of threats, risks, and business posture Collaborative written and verbal communication skills with the ability to effectively read the situation and adjust your communication style to the audience Strong understanding of the System and Organization Controls (SOC 2) standard with hands-on experience Benefits + Compensation at PitchBook: Physical Health Comprehensive health benefits Additional medical wellness incentives STD, LTD, AD&D, and life insurance Emotional Health Paid sabbatical program after four years Paid family and paternity leave Annual educational stipend Ability to apply for tuition reimbursement CFA exam stipend Robust training programs on industry and soft skills Employee assistance program Generous allotment of vacation days, sick days, and volunteer days Social Health Matching gifts program Employee resource groups Subsidized emergency childcare Dependent Care FSA Company-wide events Employee referral bonus program Quarterly team building events Financial Health 401k match Shared ownership employee stock program Monthly transportation stipend Please be aware the above PitchBook benefit and perk offerings are subject to corresponding plan and policy documents and may change during the course of your employment. Compensation Annual base salary: $140,000-$160,000 Target annual bonus percentage: 10% Starting pay will be based on several factors and commensurate with qualifications & experience. We also have a location-based compensation structure; there may be different ranges for candidates by location. Working Conditions: We believe our business and our culture are strongest when we work together in person. We also know that it's helpful to have some flexibility to work remotely. Most roles work in the office 3+ days/week, and some are expected to work in the office 4-5 days/week. The current expectation for this role is that you are working in the office 3+ days/week and that you are in the office full-time during the training period, for which the length varies by role. During an initial phone screen, the team will discuss expectations for this specific position. The job conditions for this position are in a standard office setting. Employees in this position use PC and phone on an on-going basis throughout the day. Limited corporate travel may be required to remote offices or other business meetings and events. Life At PB: We are consistently recognized as a Best Place to Work and our culture is at the heart of our success. It's our fundamental belief that people do and create great things and that people are the cornerstone of prosperity. We believe that proactively seeking out different points of view, listening to others, learning, and reflecting on what we've heard creates a sense of belonging within PitchBook and strengthens the PitchBook community. We are excited to get to know you and your background. Concerned that you might not meet every requirement? We encourage you to still apply as you might be the right candidate for the role or other roles at PitchBook. #LI-TK1
Posted 30+ days ago
Tax & Compliance Operations Specialist
CheckNew York, NY
Building at Check At Check, we make paying people simple. In doing that, we're not just building our own business- we're building payroll businesses together with every one of our partners. As the inventors of embedded payroll, we're redefining how people get paid and making it easier for payroll businesses to launch, grow, and thrive. Check out the full story | Tune in. Check is far more than just API infrastructure. We're a springboard for building and scaling payroll businesses. Our Team Payroll is broken. Come fix it alongside a team that's as passionate as you are! At Check, you'll use creative problem-solving, critical thinking, and grit to impact every business we build. We view problems to solve and jobs to be done as opportunities to contribute to the solution; we ignore conventional role boundaries in favor of the unique strengths and value each builder brings to our team and to our mission. Join us if you're ready to roll up your sleeves and redefine payroll. Let's simplify the complex, make a real impact, and create a better future for businesses of every size. The Work At Check, we make paying and filing taxes seamless, enabling our partners to build best-in-class payroll businesses. The Tax Operations team sits at the core of this mission, turning complex tax workflows into reliable, repeatable processes that power partner success. As a Tax & Compliance Operations Specialist, you will contribute to operational excellence by executing and optimizing critical tax functions. You'll focus on balancing tax accounts, managing corrections and amendments, supporting tax compliance, and streamlining internal workflows to ensure accuracy, efficiency, and scalability. This role is for someone who thrives on operational precision, solves problems with a hands-on approach, and is energized by making complex systems work better. In this role, you will: Ensure tax compliance by executing accurate filings and remittances and proactively updating filing specifications and systems in response to regulatory changes. Manage corrections and amend tax returns as needed, working within established workflows and partnering across teams to resolve discrepancies. Balance tax accounts and reconcile discrepancies to support accurate and timely tax reporting. Assist in resolving complex tax escalations through root cause analysis and cross-functional collaboration. Identify opportunities to simplify and optimize tax operations, proposing process improvements and leveraging data for continuous refinement. Partner closely with Payroll Operations, R&D, and Revenue teams to streamline tax workflows and contribute to initiatives that enhance compliance and partner satisfaction. Tools for the Job Many backgrounds could fit this role, but ideal candidates will have some or all of the following: 3-5 years of experience in tax operations, compliance, payroll, or related functions, with strong knowledge of tax filing and remittance processes. Experience handling corrections, amendments, and account reconciliations in a payroll or tax context. Familiarity with compliance requirements and best practices in a regulated operational environment. Demonstrated ability to identify process improvements and implement operational solutions at scale. Strong problem-solving, organizational, and communication skills. Comfort working cross-functionally to support product and partner outcomes. A partner-first mindset with a strong focus on quality, efficiency, and service. Travel and Office Policy: We build best when we come together on level ground. The Check team is distributed across the US, and we have offices in New York City and San Francisco. While we embrace remote work, time together in person is where we do our best work. We offer ample opportunities and encourage employees to attend team offsites, events, and hackathons a couple of times a year! We expect all employees to attend our annual 3-day company retreat in Mexico each spring. For our in-office and hybrid employees, our offices are open all week. We provide meals on Tuesdays and Thursdays and the team hosts regular happy hours, game nights, etc. What we offer: For full-time employees, Check offers company-sponsored medical, dental, vision, short-term/long-term disability, and basic life insurance coverage, effective on their first day of work. We also provide stock options, flexible PTO and sick leave, 16 weeks of fully paid parental leave for all new parents, flexible return-to-work, 9 annual holidays, a 401k retirement plan, and a $100 monthly stipend for home internet and mobile phone expenses. The actual annual salary for this role depends on each candidate's experience, qualifications, and work location. Most new hires are placed near the midpoint of this range to ensure fairness with our existing team's compensation. The expected range in San Francisco, New York, Los Angeles, and Seattle is between $92,500 and $101,750. The expected range for all other locations is between $78,500 and $86,350. We accept applications on an ongoing basis with no specified deadline. Check is proud to be an Equal Opportunity employer. We do not discriminate based on race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics. We also consider qualified applicants with criminal histories, consistent with applicable federal, state and local law. Check is committed to providing reasonable accommodations for candidates with disabilities in our recruiting process. Check participates in E-Verify and will provide the federal government with Form I-9 information from all new employees to confirm that they are authorized to work in the U.S. Check does not use E-Verify to pre-screen applicants.
Posted 5 days ago
Compliance Consultant
Foundation Risk PartnersCamden, NJ
Foundation Risk Partners, one of the fastest growing insurance brokerage and consulting firms in the US, is adding a Compliance Consultant to their team in the Philly Metro Region. Job Summary: The Compliance Consultant is a client-facing role and serves as a subject-matter expert in health and welfare plan regulatory compliance (including ERISA, ACA, COBRA, HIPAA, CAA 2021, MHPAEA, IRC Sections 125, 129,105, etc.). This role provides advice in relation to the design, implementation and ongoing administration of our clients' health and welfare plans and insurance arrangements, and the timely delivery of client projects, including conducting client assessments (or mock audits), the drafting of certain regulatory documents, including plan documents and amendments, providing guidance on Form 5500 preparation, conducting HIPAA training and providing general research and answers to client-related questions and questions from Foundation Risk Partners' (FRP) account management and sales teams. Additionally, the Compliance Consultant participates in prospective client meetings and presentations and is responsible for drafting FRP's e-Alerts and other communications related to recent federal and state regulatory changes. Essential Functions: Conduct compliance assessments (mock audits of clients' health and welfare plans and insurance arrangements) Conduct trainings for clients and FRP personnel Keep informed of legal and regulatory changes likely to impact FRP clients Review, revise and draft client-specific compliance materials, including plan documents and plan amendments Perform research and draft responses to compliance-related questions from both FRP staff and clients Competencies & Qualifications: Thorough understanding of regulatory/compliance environment related to health and welfare benefits Outstanding oral and written communication skills (including platform presentation ability) Ability to multi-task and meet deadlines Ability to break down complex material into end-user product Proficient in Microsoft Office products Education & Experience: Bachelor's degree in business or risk management/insurance or equivalent experience Minimum of 3-5 years of experience with equivalent health and welfare plan compliance responsibilities from a brokerage/consulting firm or law firm JD a plus Producer Life, Accident & Health License a plus
Posted 2 weeks ago
Operational Risk And Compliance Professional
GuidehouseNew York, NY
Job Family: Management Consulting Travel Required: Up to 75%+ Clearance Required: None As a Risk and Compliance Professional (RCSA) in Guidehouse's Commercial Financial Services practice, you will have responsibility for client management, solution implementation and generation of project results. You will own project workstreams and interact with the client daily to ensure engagement success. This includes supporting day-to-day operational meetings with client sponsors and consulting leaders. You will also prepare and communicate well-organized, effective reports and presentations to client and internal executives. You will lead, coach and mentor consultants and ensure quality deliverables. We encourage career development and hiring for the long term. As an Associate Director, you will follow a clearly defined career path and continue to deepen your specialized industry knowledge and consulting skills. As you hone your project management skills, leadership abilities and the aptitude for managing multiple workstreams, you will have the opportunity to progress to the Director level. What You Will Need: 7+ years of experience in the banking industry or commercial financial services consulting 7+ years' experience in one or more of the following areas: Operational risk and/or big bank compliance Banking regulations and compliance Experience with risk and controls current state assessments (including process mapping) Bachelor's degree Ability to thrive in a fast-paced challenging client focused environment where priorities and scope may change quickly Excellent presentation, facilitation, verbal and written communication skills, tailoring communications to both clients and coworkers Ability to travel up to 100% for client engagements as required Proficient in all Microsoft Office products Creative problem-solving ability and a collaborative, consultancy mindset Focus on exceptional quality in all deliverables Managed compliance and risk assessment processes for Globally Systemically Important Banks (G-SIBs), ensuring adherence to international regulatory standards and enhancing the institution's financial stability. Proven ability to successfully lead client service delivery teams that deliver the highest quality work Demonstrated positive and productive client relationship skills Ability to generate a quality work product in a timely manner while maintaining a strong attention to detail Experience working on discrete, time sensitive projects Highly motivated, driven, and dynamic attitude towards work and career High-energy, positive, persuasive, and aptitude to lead by example Formal or informal people and/or team leadership experience Selected candidate must work from New York City three days a week or willing to travel to NYC. This engagement is scheduled to end September 2025. What Would Be Nice To Have: Prior management consulting experience CPA, Lean Six Sigma, PMP, or other relevant certifications MBA or MA/MS degree in a related field Exposure to business development activities such as RFP response, sales presentations and/or proposal support The annual salary range for this position is $149,000.00-$248,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs. What We Offer: Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace. Benefits include: Medical, Rx, Dental & Vision Insurance Personal and Family Sick Time & Company Paid Holidays Position may be eligible for a discretionary variable incentive bonus Parental Leave and Adoption Assistance 401(k) Retirement Plan Basic Life & Supplemental Life Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts Short-Term & Long-Term Disability Student Loan PayDown Tuition Reimbursement, Personal Development & Learning Opportunities Skills Development & Certifications Employee Referral Program Corporate Sponsored Events & Community Outreach Emergency Back-Up Childcare Program Mobility Stipend About Guidehouse Guidehouse is an Equal Opportunity Employer-Protected Veterans, Individuals with Disabilities or any other basis protected by law, ordinance, or regulation. Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco. If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation. All communication regarding recruitment for a Guidehouse position will be sent from Guidehouse email domains including @guidehouse.com or guidehouse@myworkday.com. Correspondence received by an applicant from any other domain should be considered unauthorized and will not be honored by Guidehouse. Note that Guidehouse will never charge a fee or require a money transfer at any stage of the recruitment process and does not collect fees from educational institutions for participation in a recruitment event. Never provide your banking information to a third party purporting to need that information to proceed in the hiring process. If any person or organization demands money related to a job opportunity with Guidehouse, please report the matter to Guidehouse's Ethics Hotline. If you want to check the validity of correspondence you have received, please contact recruiting@guidehouse.com. Guidehouse is not responsible for losses incurred (monetary or otherwise) from an applicant's dealings with unauthorized third parties. Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.
Posted 30+ days ago
Aftermarket Global Logistics Sourcing & Trade Compliance Manager
Phinia INCAuburn Hills PHINIA WHQ, MI
Position Aftermarket Global Logistics Sourcing & Trade Compliance Manager Location Auburn Hills, MI or EMEA About us PHINIA: Advancing sustainability today, powering carbon-free tomorrow. At PHINIA, we create premium fuel systems, electrical systems, and aftermarket parts for internal combustion engine (ICE) vehicles and industrial applications. We make sure our products are clean, efficient, and high value because we know the actions that we take today will have a profound impact on the world tomorrow. Our goal? The cleanest ICE technology: carbon-free combustion. Always, PHINIA puts quality first, continuing our legacy with over a century of rich expertise and technological innovation. The name PHINIA has roots related to "bright" and "future," representing our confidence and commitment to bettering the world. Our Culture We believe the health and safety of our employees are a top priority, we care about our local communities and the global environment. PHINIA promotes and nurtures a diverse and inclusive environment, honors integrity, strives for excellence, commits to responsibility for our communities and the environment, and builds on the power of collaboration. Career Opportunities We believe in building a brighter tomorrow for our employees as well as our customers and encourage you to learn about our long history, strong culture, new technologies, and future vision. We offer a strong local presence and interesting global opportunities. Join us on this shared journey toward a brighter tomorrow. Job purpose The Aftermarket Global Logistics Sourcing & Trade Compliance Manager role ensures the efficient, compliant movement of goods across international borders while optimizing supply chain processes and mitigating trade risks. This position is critical in navigating customs regulations, fostering relationships with authorities, and adapting to regulatory changes to facilitate seamless global trade. In Logistics Sourcing, this role provides strategic oversight of global logistics and warehousing operations, ensuring the efficient movement and storage of goods. Through leadership and innovation, the role drives performance improvements, cost reductions, and enhanced customer satisfaction. By maintaining high standards of safety, quality, and regulatory compliance, this position directly supports the company's growth, competitiveness, and operational excellence. Key Responsibilities Leadership & Strategy Provide strategic direction for global customs operations, ensuring alignment with company goals. Develop and implement global logistics and warehousing strategies. Regulatory Compliance & Risk Management Ensure adherence to international trade laws, customs regulations, and trade sanctions. Lead compliance programs and risk management strategies, conducting audits to maintain operational integrity. Operational Excellence Optimize end-to-end customs processes, from documentation to clearance and delivery. Oversee logistics, warehousing, sourcing, and distribution for efficiency and cost-effectiveness. Implement best practices, process improvements, and new technologies. Stakeholder & Team Collaboration Engage with government agencies, customs brokers, and internal teams to address trade challenges. Lead and mentor global teams, fostering a culture of compliance and continuous improvement. Performance Monitoring & Reporting Utilize data analytics to assess customs and logistics performance, driving improvements. Provide strategic reports and insights to senior leadership. Inventory & Business Continuity Develop and deploy consignment inventory strategies to mitigate supply chain risks. Establish training programs to ensure excellence in inventory management. What we're looking for 10+ year experience in logistics, supply chain, trade compliance and customs operations related to automotive companies Bachelor's degree or equivalent in Logistics, Supply Chain, or Customs related area Fluent in English written and oral Fluent in Spanish written and oral Knowledge of Excel and SAP What we offer We provide compensation and benefits programs intended to attract, motivate, reward, and retain an incredibly talented, globally diverse workforce at all levels within our organization. Our compensation programs are informed by market data and business needs, and we are committed to providing equitable and competitive compensation. We are committed to providing our team with quality and competitive benefit programs, including health and well-being resources, family-centric policies, and an agile workplace program, where not precluded by collective bargaining agreements or national statutory plans. Plans are benchmarked for competitiveness and value. We provide formal development opportunities at all levels and stages of employee careers. These opportunities are delivered in a variety of formats to make our portfolio of solutions agile, sustainable, and scalable to support our employees in developing the skills needed to succeed. What we believe Product Leadership- Innovation that brings value to our customers Humility- Seeking out diverse perspectives and working collaboratively Inclusivity- Recognizing our differences makes us stronger; we are bold and intentional Net-Zero- Committed to energy efficiency, waste reduction and beneficial reuse Integrity- Taking responsibility for our decisions and doing what is right Accountability- Taking ownership of our actions and driving results Safety You will consistently hear us say Safety First! We are committed to continually improving our strong safety performance to ensure that our employees go home as safe and as healthy as when they came in, or even better! We also believe that health and safety is everyone's responsibility, as such, PHINIA employees will know and comply with all applicable safety policies, standards, and procedures. Work is expected to be conducted in a manner that stresses the importance of preventing incidents and illnesses, including attending all required safety meetings and trainings. The hazards of each task shall be assessed, and the risk shall be managed accordingly. It is expected that all incidents, near misses, and unsafe conditions are immediately reported to the direct manager, Human Resources, or Safety Representative. Equal Employment Opportunity PHINIA is an equal employment opportunity employer such that all qualified applicants will receive consideration for employment without regard to race, color, age, religion, sex, sexual orientation, gender identity/expression, national origin, disability or protected veteran status. Visa Sponsorship PHINIA does provide sponsorship for employment visa status based on business need. However, for this role, applicants must be currently authorized to work in the United States on a full-time basis. No Unauthorized Referrals from Recruiters & Vendors Please note that PHINIA does not seek or accept unsolicited resumes or offers from third party recruiters or staffing agencies associated with any published or unpublished employment opportunities. Any unsolicited information sent to PHINIA will be considered as unencumbered and free from any fee or charge whatsoever. Only members of our Human Resources Team have the authority to engage or authorize recruiting services, which must be agreed upon before the unsolicited resume or offer is received. Advancing sustainability today, powering carbon-free tomorrow. Join us on this shared journey to a brighter tomorrow. For more information about PHINIA, please visit www.phinia.com #LI-Hybrid Global Terms of Use and Privacy Statement Carefully read the PHINIA Privacy Policy before using this website. Your ability to access and use this website and apply for a job at PHINIA are conditioned on your acceptance and compliance with these terms. Please access the linked document by clicking here, select the geographical area where you are applying for employment, and review. Before submitting your application you will be asked to confirm your agreement with the terms. Career Scam Disclaimer: PHINIA makes no representations or guarantees regarding employment opportunities listed on any third-party website. To protect against career scams, job applicants should take the necessary precautions when interviewing for and accepting employment positions allegedly offered by PHINIA. Applicants should never provide their national ID numbers, birth dates, credit card numbers, bank account information or other private information when communicating with prospective employers or responding to employment opportunities online. Job applicants are invited to contact PHINIA through PHINIA's website to verify the authenticity of any employment opportunities.
Posted 30+ days ago
Senior Product Compliance & Filings Analyst
Starr CompaniesNew York, NY
Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Starr Insurance Companies is a global insurance and investment organization providing property and casualty insurance solutions to business and industry, and one of the fastest-growing insurance companies in the world. Our talented and experienced associates manage risk and ultimately support the profitable growth of organizations in a dynamic, competitive and ever-changing marketplace. Join us and become part of our talented and passionate workforce. Duties and Responsibilities: Research filing requirements and develop filing strategy; provide insight and guidance for highly regulated states or complex filings. Preparation, submission and monitoring of P&C rate, rule and form filings via SERFF and Florida Insurance Regulation Filing System (IRFS) including completion of filing exhibits, filing letters, and handling objection letters. Responsible for notification and communication of rate, rule and forms revisions to Quality Assurance (QA) and Underwriting. Understand policy construction including mandatory, optional and conditional mandatory coverage and forms. Analyze new insurance laws, regulations and bulletins to determine applicability to existing products. Track legislation for existing products and revise products accordingly. Provide support to members of the underwriting department in the area of compliance operations and procedures. Support new product/program implementation and current program maintenance. Tasks include: review, standardize, and assist with development of Policy forms and/or Policy Notices. Develop or update forms lists, and rate & rule manuals. Participate on underwriting audits and/or market conduct exams, as needed Monitor bulletins and circulars from ISO/AAIS/NCCI and Independent Bureaus for impact to assigned products. Other duties as assigned Skills/Experience Required: Bachelor's degree preferred 5+ years experience within a Property & Casualty insurance carrier primarily handling filings Proficient with Microsoft Office Suite Excellent verbal, written and organization skills For individuals assigned and/or hired to work in New York, Starr Insurance Companies is required by law to include a reasonable estimate of the compensation range for this role. The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets: experience and training: licensure and certifications: and other business and organizational needs. A reasonable estimate of the current range is $83,500-116,700. #LI-NK1 Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.
Posted 30+ days ago
Issue Management Testing & Validation Lead - Payments Risk & Compliance
US BankAtlanta, GA
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. Job Description Are you a detail-oriented risk professional with a passion for testing and validation? Join our Payments Chief Risk Office as the Issue Management Testing & Validation Lead and play a critical role in safeguarding our operations. You'll lead the end-to-end testing lifecycle for issue resolution, ensuring our corrective actions are effective, compliant, and audit-ready. Responsibilities for this position include: Lead test planning, script design, sample selection, and execution for issue validation. Conduct quality reviews of issue data in Archer to ensure ORM and business line compliance. Collaborate with Risk, Compliance, Legal, and Business SMEs to design and execute effective tests. Provides weekly, monthly, quarterly and ad hoc reporting on testing assignments Draft closure memos, document validation activities, and provide credible challenge to stakeholders. Deliver regular reporting on testing progress and outcomes. Educate business partners on ORM policies and risk concepts. Support administrative functions and lead special projects as needed. Basic Qualifications Typically, more than eight years of applicable experience Bachelor's degree, or equivalent work experience Preferred Skills and Experience 5+ years in risk management, compliance testing, internal audit, or issue validation. Strong knowledge of issue management frameworks, operational risk, and/or regulatory expectations. Experience in payments, fintech, or financial services. Hands-on experience with GRC tools (e.g., Archer). Excellent analytical, documentation, and communication skills. Ability to manage multiple priorities in a fast-paced, regulated environment. The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Benefits: Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): Healthcare (medical, dental, vision) Basic term and optional term life insurance Short-term and long-term disability Pregnancy disability and parental leave 401(k) and employer-funded retirement plan Paid vacation (from two to five weeks depending on salary grade and tenure) Up to 11 paid holiday opportunities Adoption assistance Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00 - $127,050.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.
Posted today
Security & Compliance Operations Analyst
Anritsu CoMorgan Hill, CA
Anritsu is a provider of innovative communications test and measurement solutions. Anritsu engages customers as true partners to help develop wireless, optical, microwave/RF, and digital solutions for R&D, manufacturing, installation, and maintenance applications, as well as multidimensional service assurance solutions for network monitoring and optimization. Anritsu also provides precision microwave/RF components, optical devices, and high-speed electrical devices for communication products and systems. The company develops advanced solutions for emerging and legacy wireline and wireless technologies used in commercial, private, military/aerospace, government, and other markets. To learn more visit www.anritsu.com and follow Anritsu on Facebook, LinkedIn, Twitter, and YouTube. Anritsu is committed to providing a comprehensive and competitive benefits package to all employees. We offer standard benefits such as major medical, vision and dental coverage, life insurance, Employee Assistance Plan, Flexible Spending Accounts, a generous 401(k) Matching Plan, Tuition Reimbursement, and profit sharing. Our benefit package is designed to positively impact all aspects of your life; to help you and your family succeed; and to maintain our status as a "perfect job." Come find out what Anritsu has to offer you! We are seeking a Security & Compliance Operations Analyst to join our Information Technology team in Morgan Hill, CA. This mid-level, onsite role reports directly to the IT Director and is responsible for the hands-on execution of Anritsu's information security and compliance operations. The analyst will own the full lifecycle of security activities from technical implementation to control documentation supporting internal systems, cloud platforms, and external certification efforts. Key Responsibilities: Execute daily security operations across internal, external, and cloud environments using Microsoft 365 Defender, Sentinel, and Entra ID Configure and maintain policies for endpoint protection, identity and access control, logging, and alerting Lead technical response efforts for security incidents, including investigation, evidence collection, and remediation Manage compliance support activities for frameworks including CMMC Level 2, SOC 2, ITAR, and ISO 27001: conduct gap analyses, document controls, and support audits Develop and maintain a cybersecurity roadmap that aligns day-to-day operations with long-term compliance goals Produce dashboards and metrics related to threat detection, incident response, patching, and access reviews Support vulnerability management by reviewing scan reports, coordinating remediation, and validating resolution Collaborate with system administrators to implement and enforce secure configuration baselines Respond to internal stakeholder inquiries and compliance-related requests with clear, well-documented information This position will be reporting to the IT Director based in Morgan Hill, CA Requirements: Required: Bachelor's degree or foreign equivalent in Computer Science, Information Technology, Engineering, Life Sciences, Environmental Sciences, Industrial Engineering, Business, Finance, Accounting, or related field, or equivalent combination of education and experience. 3-5 years of hands-on experience in security operations across internal infrastructure, Microsoft 365/Azure, and endpoint environments Direct experience configuring and managing Microsoft 365 Defender, Microsoft Sentinel, and Microsoft Entra ID (formerly Azure AD) Proven ability to independently execute core security tasks, including log analysis, access reviews, policy enforcement, and alert triage Demonstrated experience supporting formal certification efforts for compliance standards such as CMMC (Level 2 preferred), SOC 2, ITAR, or ISO 27001 including gap assessments, control implementation, audit preparation, and evidence gathering Experience maintaining secure configurations and identity controls in hybrid and regulated IT environments Solid experience with IT General Controls (ITGC) including audit preparation, risk assessments, control implementation, and documentation Prior exposure to SAP governance tools such as Pathlock or SAP GRC is a plus Preferred Certifications: CompTIA Security+ Microsoft SC-200 or SC-900 CISA or Associate CISSP Certified CMMC Professional (or equivalent readiness experience) In order to be successful in this role, the following competencies and behavior skills are required: Excellent written and verbal communication skills. Ownership mindset with a strong sense of accountability for results and follow-through Detail-oriented, especially when documenting controls, handling sensitive data, or managing audit evidence Clear and confident communicator, able to translate technical security issues for business stakeholders and vice versa Adaptable and resourceful, comfortable working across multiple systems, tools, and compliance requirements without rigid handoffs Self-motivated, with the initiative to identify gaps and propose solutions without waiting for direction Collaborative and low-ego, able to work cross-functionally with systems admins, compliance leads, and leadership in a constructive and transparent way Professional discretion when handling confidential or regulated information, including ITAR and CUI-related content The annual base salary range for this position is $115,000 - $150,000. Please note that the salary information is a general guideline only. Anritsu Company considers factors such as (but not limited to) scope and responsibilities of the position, candidate's work experience, education/ training, key skills as well as market and business considerations when extending an offer. Why work at Anritsu? Please visit us on Comparably to see what our employees love about working here!
Posted today
Regional Compliance Specialist (Westridge At Hilltop)
WinnCompaniesRichmond, VA
WinnCompanies is looking for a dynamic Regional Compliance Specialist to join our team at the Residences at Westridge at Hilltop Apartments, a 480-unit community located in Richmond, CA. The Regional Compliance Specialist is responsible for ensuring that all policies and procedures from WinnResidential and affordable housing agencies are communicated to, and implemented by site managers and senior staff within the assigned portfolio. The Regional Compliance Specialist is responsible for delivering a network of training, completing compliance reviews, monitoring property-specific compliance requirements across program types, and providing direct support to the assigned portfolio to ensure properties are meeting or exceeding regulatory requirements across various agencies and organizations. Please note that the pay range for this position is $25.00 to $29.00 per hour, depending on experience. Responsibilities Perform regular on site and remote audits, both scheduled and unscheduled, and assist sites in preparation of, attend, and ensure timely and complete response to agency audit findings. Manage and monitor efforts of various departments during lease up or program conversion of new and existing properties to ensure owner and investor expectations are met or exceeded. Analyze and interpret regulatory documents to ensure proper setup of property management software for new and existing assets; manage and correct as necessary through helpdesk ticketing system. Collaborate with Corporate Compliance to design, develop, and deliver trainings through either direct delivery or coordination with existing trainings provided through professional organizations. Review, revise, disseminate, and implement policies and procedures to reflect new or changing agency and/or company requirements. Collaborate with various departments to drive overall property performance through monitoring, reporting, communicating, and tracking key indicators of financial and programmatic requirements. Provide direct support and routine accessibility to internal and external customers within the assigned portfolio through attendance at regularly scheduled meetings, conference or direct calls, email, and completion of helpdesk tickets. Complete various other administrative duties as assigned. Requirements Bachelor's degree or equivalent work experience. 3-5 years of relevant work experience. A current driver's license in good standing and ability to meet the driving records standards outlined in the Company Safe Vehicular Operations Policy. Experience with computer systems, particularly Microsoft Office applications. Ability to manage multiple assignments and tasks. Tax credit and compliance experience. Self-starter who can operate with high degree of autonomy. Outstanding verbal and written communication skills. SHCM and COS certifications. Strong LIHTC and HUD experience. Outstanding leadership and training skills. Demonstrated organizational, record keeping, and interpersonal skills. Preferred Qualifications Certified Occupancy Specialist, C3P, CAM, CAPS, or similar designations. NAHP or similar designation. Bilingual in other languages. Experience in regional management involving multiple properties. $25 - $29 an hour #LI-BB1 #IND3 Our Benefits: Regular full-time US employees are eligible to participate in the following benefits: Generous time off policies (including 11 paid holidays (12 for MA employees); Generous Accrued Time Off increasing with years of service; Generous paid sick time; Annual day of service; Floating Holiday) 401(k) plan options with a company match Various Comprehensive Medical, Dental, & Vision plan options Flexible Spending Account, Dependent Care Flexible Spending Account, Health Savings Account options with HSA annual employer contribution Long Term Disability and voluntary Short Term Disability; Basic Term Life Insurance and AD&D; optional supplemental life insurance Health Expense Reimbursement program (including gym memberships, equipment, and subscriptions) Tuition Reimbursement program and continuous training and development opportunities Wellbeing program (group challenges, seminars, opportunities to earn points to reduce medical premiums), Employee Assistance Program, & Commuter and Parking Reimbursement options Employee Corporate Discount Programs (Verizon Wireless, Home Depot Pro, Staples, and more!) Flexible and/or Hybrid schedules are available for certain roles Employee Relief Program supporting employees with unexpected hardships that place undue financial stress on them and their families To learn more, visit winnbenefits.com Why WinnCompanies? A job you can be proud of: WinnCompanies is a nationally recognized leader in apartment community management and development. Our team members are committed to helping people in the communities we serve and making a positive difference in their lives. A job that challenges you: Our employees are responsible for our growth and success, and we challenge our team members to always be their best in our fast-paced, dynamic and rewarding workplace. A job you can learn from: We offer multi-faceted leadership and learning opportunities to support our team members' career growth and professional development. A team that cares: We value teamwork, innovation, diversity and mutual respect. Through our recognition and rewards programs, we're committed to celebrating and uplifting our team members. About Us: WinnCompanies is a mission-driven, national business focused on building and operating top quality affordable housing communities for individuals and families of all incomes, including members of the U.S. Armed Forces and their families. Our people are the source of our success - 4,300+ team members working together to create the best possible living communities in 27 states, Washington, D.C., and Puerto Rico. Whether your skills are in operations, maintenance, leasing, compliance, marketing, IT, HR, accounting or finance, there's a role for you at WinnCompanies. Your passion for excellence can help us make a positive impact in the lives of real people every day. If you are a California Resident, please see our Notice of Collection here. Salary will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors. The position requires a background check which includes criminal, employment verification, reference checks, credit history and drug testing due to the following job responsibilities: administration of rental applications and other resident paperwork, acceptance of rental payments, unit inspections, and processing of financial and banking data. Due to the access to personally identifiable information contained in resident applications and files, financial systems, unit keys, as well as interaction with resident population, employment applicants shall be subject to a criminal background check. Qualified applicants with arrest or conviction records are encouraged to apply and will be considered for employment in accordance with the LA County Fair Chance Ordinance and the California Fair Chance Act. Current Winn employees should apply through this internal link.
Posted today
Insurance Product Development Regulatory Compliance Analyst
Argo Group International Holdings Ltd.Richmond, VA
Argo Group is a leader in specialty insurance with a vibrant culture built on respect, equality, wellness and opportunity. We're an innovative organization that's small enough to be agile and big enough to make a difference in our industry. Our collaborative workplace is continuously evolving to ensure all employees feel: Comfortable bringing their whole selves to work. Confident that they will be treated respectfully. Recognized for their performance and provided with equal opportunities to succeed. At Argo, skill meets opportunity. If you're wired to raise your hand and ask, "Where can I help?", you'll thrive with us. We are looking for an Insurance Product Development Regulatory Compliance Analyst to support our Underwriting Business Units through the management, maintenance, and development of insurance forms/endorsements. The role will work onsite (5 days per week) at one of our office locations: Omaha, NE, San Antonio, TX, Chicago, IL, New York City, NY, or Richmond, VA. DUTIES AND RESPONSIBILITIES: Write and revise contractual forms/endorsements and manage/maintain the company's portfolio of forms for a variety of commercial insurance lines in support of Underwriting Business Unit initiatives. Collaborate with Underwriting Business Units to create enhancements and revisions to their products. Maintain the Company's forms library regarding "state of the art" criteria, and in consideration of market needs, regulatory changes, case law, and in compliance with insurance laws in all 50 states and the District of Columbia (admitted lines of business). Analyze ISO Circular information and create revisions to forms when needed. Collaborate with Underwriting Business Units to write usage rules for forms, and for use in rule manuals. Evaluate and analyze new insurance products and arrange for implementation/integration into the Company's forms portfolios and Rate/Quote/Bind processes. Function as Project Manager for major product revision/implementation actions, including coordination of activities for Underwriting, Regulatory Compliance, Actuarial, Implementation Team, Claims, Marketing, and Operations. Other duties as assigned. QUALIFICATIONS College degree and/or equivalent work experience Insurance educational studies such as IIA and CPCU; Demonstrable experience in previous product development with a minimum of 2 years commercial property and casualty (Standard, Specialty, and Excess & Surplus Lines) insurance product development experience preferred; Very strong written and verbal communication skills; detail orientation; problem-solving skills, project management; knowledge of regulatory/compliance functions; Experience with ISO Commercial Lines Manuals; ISO Circular analysis; knowledge of ISO, NCCI, and AAIS web resources; Knowledge of contracts and legal basis of insurance; Proficient in the use of Word, Excel, PowerPoint, and Outlook; Knowledge of underwriting issues concerning Property & Casualty lines PLEASE NOTE: At this time, Argo Group will not sponsor an applicant for employment authorization for this position. If you have a disability under the Americans with Disabilities Act or a similar law and you wish to discuss potential accommodations related to applying for employment at Argo Group, please contact our Benefits Department at 210-321-8400. To all recruitment agencies: Unless you have been requested to work on this position, or other positions with Argo Group, please do not forward any resumes to Argo Group employees. Argo Group is not responsible for any fees related to unsolicited resumes. Argo Group International Holdings, Inc. ("Argo" or the "Company") is a wholly owned subsidiary of Brookfield Wealth Solutions, Ltd. ("BWS"), a New York and Toronto-listed public company. Argo, with over $8 billion of assets on its balance sheet, is a leading underwriter of specialty insurance products in the property and casualty (P&C) market, working with independent agents, wholesale brokers, and retail brokerage partners to deliver collaborative solutions for niche markets. BWS is a leading wealth solutions provider, focused on securing the financial futures of individuals and institutions through a range of wealth protection and retirement services, and tailored capital solutions. We are an Equal Opportunity Employer. We do not discriminate on the basis of age, ancestry, color, gender, gender expression, gender identity, genetic information, marital status, national origin or citizenship (including language use restrictions), denial of family and medical care leave, disability (mental and physical) , including HIV and AIDS, medical condition (including cancer and genetic characteristics), race, religious creed (including religious dress and grooming practices), sex (including pregnancy, child birth, breastfeeding, and medical conditions related to pregnancy, child birth or breastfeeding), sexual orientation, military or veteran status, or other status protected by laws or regulations in the locations where we operate. We do not tolerate discrimination or harassment based on any of these characteristics. The collection of your personal information is subject to our HR Privacy Notice Our Benefits Developing our employees professionally and personally strengthens our organization. Argo Group offers an attractive Total Rewards package that includes: A culture that recognizes performance and empowers employees to excel, offering competitive compensation and merit driven profit sharing. Workplace policies that support employee well-being include flex time and floating holidays. Comprehensive health, wellness, and financial planning options that employees can tailor to meet their personal and family needs. In addition to traditional health and wellness plans, benefits include dental, disability, life insurance, medical, and vision insurance, matching 401(k) retirement savings, generous paid time off (21 days of PTO, 11 paid company holidays, 3 floating holidays and a paid voluntary day), paid caregiver and parental leave, paid bereavement, jury duty/court appearances, and military (up to 14 days) leave, employee assistance program (EAP), and an array of voluntary benefits. Argo Academy, a digital and instructor-led platform that offers continuous learning and professional development - Training magazine lists Argo among the Training "Top 125" Companies. Argo encourages career mobility and continuing education to pursue and maintain professional and industry designations, in addition to traditional university and higher education programs. An inclusive culture that develops and sponsors diverse teams, encourages cross-functional engagement and collaboration, builds community through employee resource groups (ERGs), and provides an environment that welcomes ongoing dialogue, creative innovation, professional and personal development. Active community outreach and volunteer programs. A generous Employee Referral program that results in approximately 25% of all new hires annually.
Posted today
Lead Engineer, Director - Investment Compliance Engineering
Apollo Global ManagementNew York, NY
Position Overview At Apollo, we are a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 30 years of proven expertise across Private Equity, Credit, and Real Assets in various regions and industries, we are known for our integrated businesses, our strong investment performance, our value-oriented philosophy, and our people. We are seeking a Lead Full Stack Engineer to join our dynamic team at a leading alternative asset manager. This is a unique opportunity to foster an engineering-first culture within a world-class firm while working at the intersection of technology, compliance and the investment lifecycle. In this role, you'll deliver scalable, auditable workflows for Investment Compliance, collaborating closely with global engineering teams and Apollo's investment professionals. You'll lead technical execution, mentor engineers, and play a key role in driving strategic initiatives-all while solving complex compliance challenges and influencing change at the enterprise level. Primary Responsibilities Serve as a key member of the Investment Engineering team, responsible for the full lifecycle of development tasks, including analyzing, designing, coding, and implementing business-related solutions and core architectural changes. Design and implement technology solutions to support pre- and post-trade investment compliance monitoring, regulatory rule management, and exception workflows across private market asset classes. Enhance data integration pipelines, surveillance tooling, and reporting capabilities supporting regulatory and internal policy adherence. Apply an Agile programming approach to deliver software within tight deadlines. Provide hands-on technical leadership across architecture, design, development, code reviews, quality assurance, observability, and product support. Actively participate in design discussions, contribute to code reviews, and provide technical guidance to the team. Navigate changing priorities with agility and maintain a forward-thinking mindset when context switching. Build strong relationships with team members, fostering collaboration and effective communication to achieve successful outcomes. Use advanced problem-solving skills to assist peers in researching and selecting tools, frameworks, and products critical to supporting business initiatives. Manage data governance and data quality standard processes. Qualifications & Experience Bachelor's or Master's degree in Computer Science, Engineering, or another STEM field. A minimum of 8+ years of hands-on development experience, proficient in both scripting languages (e.g., Python) and object-oriented programming (e.g., Java, C++). Expertise in Capital Markets or Investment Banking Technology, with a track record of delivering user-centric compliance solutions. Experience across the deal and trading lifecycle-from origination to post-trade analytics-is preferred, but not required Understanding of regulatory and compliance frameworks governing these activities, including SEC, FINRA, MiFID II, and other jurisdictional mandates impacting trading operations and reporting. Expertise in cloud platforms such as AWS, Azure, or Google Cloud, with experience building and deploying scalable solutions leveraging microservices architecture. Strong proficiency in database technologies, including relational (SQL) and non-relational (NoSQL/NewSQL) databases, with the ability to optimize queries, write stored procedures, and manage data warehousing solutions. Demonstrated ability to build, deploy, and maintain high-throughput systems, with experience in messaging technologies like Kafka. Hands-on experience with DevOps practices and tools, including CI/CD pipelines, Docker, Kubernetes, and version control systems such as Git. A passion for clean, maintainable code, and a track record of delivering robust full-stack cloud-based applications. Experience working in an Agile development environment and familiarity with tools like GitHub, Jenkins, or similar. Proficiency in modern programming languages such as Python, SQL, Java, and .NET. Advanced knowledge of database technologies and data management. Expertise in cloud platforms and DevOps practices for scalable application development. Skilled in translating complex business logic into optimized queries and workflows. ABOUT APOLLO Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes. OUR PURPOSE AND CORE VALUES Our clients rely on our investment acumen to help secure their future. We must never lose our focus and determination to be the best investors and most trusted partners on their behalf. We strive to be: The leading provider of retirement income solutions to institutions, companies, and individuals. The leading provider of capital solutions to companies. Our breadth and scale enable us to deliver capital for even the largest projects - and our small firm mindset ensures we will be a thoughtful and dedicated partner to these organizations. We are committed to helping them build stronger businesses. A leading contributor to addressing some of the biggest issues facing the world today - such as energy transition, accelerating the adoption of new technologies, and social impact - where innovative approaches to investing can make a positive difference. We are building a unique firm of extraordinary colleagues who: Outperform expectations Challenge Convention Champion Opportunity Lead responsibly Drive collaboration As One Apollo team, we believe that doing great work and having fun go hand in hand, and we are proud of what we can achieve together. OUR BENEFITS Apollo relies on its people to keep it a leader in alternative investment management, and the firm's benefit programs are crafted to offer meaningful coverage for both you and your family. Please reach out to your Human Capital Business Partner for more detailed information on specific benefits. Pay Range $190,000 - $250,000 Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity. The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law. The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered. The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.
Posted today
Director Of Healthcare Facilities Compliance
JLLCharlotte, NC
JLL empowers you to shape a brighter way. Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where they belong. Whether you've got deep experience in commercial real estate, skilled trades or technology, or you're looking to apply your relevant experience to a new industry, join our team as we help shape a brighter way forward. Job Summary The Director, Healthcare Facility Compliance and Engineering will be responsible for the development, implementation and execution of engineering operations and the compliance program which supports our client account team delivering effective maintenance engineering and compliance related activities identified by the Joint Commission, CMS, State Departments of Health and any other Authorities Having Jurisdiction. This includes but is not limited to technology, process and procedures, training, audits, and subject matter expertise. Essential Duties/Functions Program Management/Operations Identify needs, develop solutions and lead programs that create operational value for our client. Ensure the execution of the solutions and programs to meet or exceed expectations. Build successful relationships within the JLL team and key client personnel to promote confidence, manage forward planning and best practices - be a trusted advisor. Provide management and leadership direction for the design, development and implementation of operations, infrastructure and processes. Direct the development of operational systems and methods to improve departmental efficiency, productivity, and employee involvement. Execute the best fiduciary value. Collaborate with platform leaders and account wide teams to proactively share and apply learnings, successes and best practices. Responsibilities Subject Matter Expert (SME) with a comprehensive understanding of the CMS Conditions of Participation and The Joint Commission Environment of Care Standards and Life Safety Chapter; DNV; HFAP; and other accrediting agencies. Subject Matter Expert (SME) with a comprehensive understanding of the NFPA codes, the FGI Guidelines for Design and Construction, ASHRAE and all other related requirements. Collaborates with Account Director, Account Leadership Team and Regional Facility Directors in the development of protocols and processes (SOP's) associated with Maintenance best practices, the Joint Commission Environment of Care and Life Safety Standards; and all other applicable Regulatory Agencies. Develops standardized processes for account teams conducting compliance audits at each Healthcare organization to determine Operational Readiness/Preparedness. Utilizes field audit data/information to maintain readiness perspective for each account. Evaluates preparedness and reports to HCS Platform leadership on account performance. Assists accounts to prepare specific action/improvement plans for each Healthcare/Site. Assists with Solutions, including assessment and Business Case Analysis preparation. As needed performs and participates in consulting engagements with both new and existing clients. Serves as subject matter expert and may support liaison with individual client quality and regulatory experts. Provides education to JLL staff on applicable engineering operations and regulatory processes and procedures while also communicating literature-based ideas with regard to effective quality/compliance strategies. Maintains knowledge and expertise with applicable standards, as directed by JLL management, specifically in the areas of NFPA101 Life Safety Code-SOC/PFI/ILSM, Facilities. Management Best Practices, Safety Management, Security Management, Bio-Hazardous Waste and Hazardous Materials Management and Waste, Bio-medical Engineering. Manages dashboards to measure and report statistics and readiness evaluations. Qualifications BS degree preferred in an Engineering Discipline. Five years of healthcare experience in Plant Operations and/or Facilities Management. Five years of experience in personnel and team management. Experience in Healthcare systems with multiple healthcare locations in several states (Preferred) Working Knowledge of CMS and accrediting organizations such as the Joint Commission and the NFPA body of codes (i.e. NFPA 101, 99, 90A, 72, and 25). Proficient in Microsoft Office Suite of products, strong writing skills. Strong analytical, organizational, and coordination skills required. Demonstrated communication skills (oral and written) required. Customer service orientation and strong presentation skills to internal and external parties required. Quality Management Training/Certification (i.e. Six Sigma Green Belt/Black Belt). Estimated total compensation for this position: 140,000.00 - 160,000.00 USD per year The total compensation range is an estimate and not guaranteed. An employment offer is based on an applicant's education, experience, skills, abilities, geographic location, internal equity and alignment with market data . Location: Remote -Atlanta, GA, Charlotte, NC, Chicago, IL, Dallas, TX, New York, NY If this job description resonates with you, we encourage you to apply, even if you don't meet all the requirements. We're interested in getting to know you and what you bring to the table! Personalized benefits that support personal well-being and growth: JLL recognizes the impact that the workplace can have on your wellness, so we offer a supportive culture and comprehensive benefits package that prioritizes mental, physical and emotional health. Some of these benefits may include: 401(k) plan with matching company contributions Comprehensive Medical, Dental & Vision Care Paid parental leave at 100% of salary Paid Time Off and Company Holidays JLL Privacy Notice Jones Lang LaSalle (JLL), together with its subsidiaries and affiliates, is a leading global provider of real estate and investment management services. We take our responsibility to protect the personal information provided to us seriously. Generally the personal information we collect from you are for the purposes of processing in connection with JLL's recruitment process. We endeavour to keep your personal information secure with appropriate level of security and keep for as long as we need it for legitimate business or legal reasons. We will then delete it safely and securely. For more information about how JLL processes your personal data, please view our Candidate Privacy Statement. For additional details please see our career site pages for each country. For candidates in the United States, please see a full copy of our Equal Employment Opportunity and Affirmative Action policy here. Jones Lang LaSalle ("JLL") is an Equal Opportunity Employer and is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process - including the online application and/or overall selection process - you may contact us at Accommodation Requests. This email is only to request an accommodation. Please direct any other general recruiting inquiries to our Contact Us page > I want to work for JLL. Pursuant to the Arizona Civil Rights Act, criminal convictions are not an absolute bar to employment. Pursuant to Illinois Law, applicants are not obligated to disclose sealed or expunged records of conviction or arrest. Pursuant to Columbia, SC ordinance, this position is subject to a background check for any convictions directly related to its duties and responsibilities. Only job-related convictions will be considered and will not automatically disqualify the candidate. California Residents only If you are a California resident as defined in the California Consumer Privacy Act (CCPA) please view our Supplemental Privacy Statement which describes your rights and disclosures about your personal information. If you are viewing this on a mobile device you may want to view the CCPA version on a larger device. Pursuant to the Los Angeles Fair Chance Initiative for Hiring Ordinance, JLL will consider for employment all qualified Applicants, including those with Criminal Histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Accepting applications on an ongoing basis until candidate identified.
Posted today
Issue Management Testing & Validation Lead - Payments Risk & Compliance
US BankKnoxville, TN
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. Job Description Are you a detail-oriented risk professional with a passion for testing and validation? Join our Payments Chief Risk Office as the Issue Management Testing & Validation Lead and play a critical role in safeguarding our operations. You'll lead the end-to-end testing lifecycle for issue resolution, ensuring our corrective actions are effective, compliant, and audit-ready. Responsibilities for this position include: Lead test planning, script design, sample selection, and execution for issue validation. Conduct quality reviews of issue data in Archer to ensure ORM and business line compliance. Collaborate with Risk, Compliance, Legal, and Business SMEs to design and execute effective tests. Provides weekly, monthly, quarterly and ad hoc reporting on testing assignments Draft closure memos, document validation activities, and provide credible challenge to stakeholders. Deliver regular reporting on testing progress and outcomes. Educate business partners on ORM policies and risk concepts. Support administrative functions and lead special projects as needed. Basic Qualifications Typically, more than eight years of applicable experience Bachelor's degree, or equivalent work experience Preferred Skills and Experience 5+ years in risk management, compliance testing, internal audit, or issue validation. Strong knowledge of issue management frameworks, operational risk, and/or regulatory expectations. Experience in payments, fintech, or financial services. Hands-on experience with GRC tools (e.g., Archer). Excellent analytical, documentation, and communication skills. Ability to manage multiple priorities in a fast-paced, regulated environment. The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Benefits: Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): Healthcare (medical, dental, vision) Basic term and optional term life insurance Short-term and long-term disability Pregnancy disability and parental leave 401(k) and employer-funded retirement plan Paid vacation (from two to five weeks depending on salary grade and tenure) Up to 11 paid holiday opportunities Adoption assistance Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00 - $127,050.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.
Posted today
Product Compliance Manager, Cards & Rewards
Brex Inc.New York, NY
Why join us Brex is the AI-powered spend platform. We help companies spend with confidence with integrated corporate cards, banking, and global payments, plus intuitive software for travel and expenses. Tens of thousands of companies from startups to enterprises - including DoorDash, Flexport, and Compass - use Brex to proactively control spend, reduce costs, and increase efficiency on a global scale. Working at Brex allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We're committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career. Compliance at Brex The Compliance team helps the company grow responsibly, advocating for Brex and for the tens of thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from financial crime and other compliance risks, and represent the company externally on key regulatory and policy issues. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge. What you'll do As a Compliance Manager at Brex, you will play a critical role in ensuring compliance with regulatory requirements and internal policies regarding our products and services. The Product Compliance Manager, Cards & Rewards role will be responsible for ensuring the company's card products and operations comply with all applicable federal, state, and local regulations. This role will focus on maintaining a robust compliance program, monitoring regulatory changes, and providing guidance to internal stakeholders. The ideal candidate will possess a deep understanding of financial regulations, strong analytical skills, and a commitment to maintaining the highest ethical standards. The role will report directly to the Compliance Manager, Payments & Card Compliance. Where you'll work This role will be based in our New York City office. You must be willing to work in the office at least 2 days per week on Wednesday and Thursday. Employees will be able to work remotely for up to 4 weeks per year. Responsibilities Advise on regulatory requirements for new and existing products and services, partnering with Product, Engineering, Operations, Legal, and other teams. Stay abreast of all relevant regulatory changes impacting corporate charge card products, including but not limited to the Truth in Lending Act (TILA), Regulation B/ ECOA, 1071, escheatment, and other applicable laws and regulations. Analyze and interpret new regulations, assessing their impact on the company's charge card operations. Identify and investigate potential compliance violations, including working with business owners to develop and implement corrective action plans, where appropriate. Support audits, bank partner requests, and regulatory testing related to cards and rewards. Develop and maintain all policies and procedures related to charge card regulatory compliance as well as card networks and bank partner requirements. Review complaints related to cards and rewards and advise on resolution, including corrective action, where appropriate Qualifications: 5+ years of experience in regulatory compliance, preferably in the financial services industry and fintech, with a focus on card issuing. Strong understanding of federal and state regulations related to financial products, including TILA, ECOA, 1071, commercial finance disclosure laws, and other applicable laws and regulations. Exceptional judgment and integrity, ability to handle complex matters independently, and product-minded approach to compliance Excellent analytical, problem-solving, and communication skills. Ability to interpret and apply complex regulations. Detail-oriented, accurate, organized, and able to set priorities Ability to multi-task and adapt to shifting priorities in a fast-paced environment Strong attention to detail and accuracy. Experience with card processing systems and platforms. Preferred Qualifications: Relevant certifications (e.g., Certified Regulatory Compliance Manager (CRCM). Compensation The salary range for this role is $132,912 - $166,140 USD. However, the starting base pay will depend on a number of factors including the candidate's location, skills, experience, market demands, and internal pay parity. Depending on the position offered, equity and other forms of compensation may be provided as part of a total compensation package. Please be aware, job-seekers may be at risk of targeting by malicious actors looking for personal data. Brex recruiters will only reach out via LinkedIn or email with a brex.com domain. Any outreach claiming to be from Brex via other sources should be ignored.
Posted today
Manager, People Operations & Compliance
ChargePoint Holdings Inc.Campbell, CA
Reports To Senior Director, People Operations & HRIS What You Will Be Doing The Manager of People Operations & Compliance is a hands-on operational manager responsible for ensuring that ChargePoint's people practices are operationally efficient, legally compliant, and user friendly. This role is directly responsible for HR compliance, immigration, employee lifecycle, and data management activities. You're ideal for this role if you possess an inherent ability to galvanize teams, inspire colleagues to embrace initiatives, and collaborate effectively toward shared goals. With a natural flair for rallying support and building momentum, you excel in ensuring projects progress smoothly for all participants. Your tenacity shines through as you persistently tackle challenges, demonstrating resilience and resourcefulness in overcoming obstacles. Driven by a steady focus on results, you balance the urgency of meeting deadlines with meticulous attention to detail, ensuring both efficiency and excellence in all aspects of your work. Additionally, you exhibit a deep appreciation for structure, methodology, and precision, thriving in environments where rules, policies, SOPs, and regulations must be meticulously upheld. Key Responsibilities HR Operations: Closely supervise and be responsible for the day-to-day People Operations function for the North American region (Canada, United States, Mexico) for the employee life cycle. This includes managing processes and practices (SOPs), employee onboarding, offboarding, HRIS management, and the following: Data Integrity, Management, and Privacy Protection: Conduct data cleanup initiatives to ensure the accuracy and integrity of HR data. Implement data management best practices to maintain reliable and up-to-date information. Partner with internal stakeholders and ensure compliance with data privacy regulations (e.g., CCPA, GDPR) Immigration: Execute all aspects of immigration processes, including visa applications, renewals, and compliance with immigration laws. Provide support, guidance, and timely service to employees on immigration-related matters Payroll Integration: Collaborate with the Payroll team to integrate HR processes and data, ensuring accurate and timely payroll processing. Develop and maintain efficient workflows between HR and Payroll systems Vendor Management: Manage relationships with immigration and background check vendors to ensure high-quality service and adherence to our policies Compliance Management: Directly manage and serve as subject-matter-expert for US compliance with regards to all US federal, state, and local employment laws and regulations (e.g., CA Pay Data Reporting, EEO-1, OFCCP compliance, etc.), and Sarbanes-Oxley (SOX) requirements. Ensure the proper tracking of adherence to employment laws, regulations, and industry practices impacting HR policies and procedures to proactively ensure compliance. This also includes the following: Global Compliance Training: Ensure timely completion of global compliance training (e.g., harassment prevention) and regulatory requirements across all regions. Internal Audit: Coordinate with People team to respond to HR-related internal audit requests to ensure compliance with company policies, SOX requirements, and regulatory standards. Identify areas for improvement and implement corrective actions as needed. What You Will Bring to ChargePoint Bachelor's Degree in Human Resources, business administration, or a related field, or equivalent with HR Certifications such as GPHR/SPHR, or equivalent work experience required 8 or more years of experience in HR operations and compliance required, with at least 3 years of which are global Proven track record of success in a fast-paced, lean environment Deep expertise in managing HR compliance (e.g., I-9, SOX, EEO-1, SOC2 audits, GDPR), ensuring adherence to labor laws, responding to internal audits and implementing corrective actions is required Expert knowledge of best practices in employee lifecycle processes, workflows, approvals, and SOPs Proficient as HRIS system administrator (e.g., UKG or Workday preferred), data governance, payroll integration, and audit procedures Possess a keen eye for detail, ensuring accuracy in documents and processes Excellent communication and interpersonal skills, with the ability to build strong relationships at all levels of the organization Demonstrated ability to lead and galvanize teams, and independently drive initiatives to successful completion High level of tenacity and resilience, with a passion for continuous improvement and problem-solviAbility to thrive in a high-growth, fast-paced environment and approach challenges with curiosity and a solutions-oriented mindset Strong personal ethical integrity and respect for confidentiality Skilled in MS Office (Word, Excel, & PowerPoint) Location Campbell, CA ChargePoint is committed to fair and equitable compensation practices. The targeted US salary range for roles at this operating level is $87,500 to $150,000. This range represents base salary and does not reflect equity, benefits or variable pay where applicable. Actual base salaries are based on several factors unique to each candidate, including but not limited to skill set, experience, certifications and specific work location
Posted today
Senior Compliance Officer - Fixed Income Advisory
MarexNew York, NY
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: The Senior Compliance Officer – Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including TRACE and RTRS reporting. The position will primarily focus on providing real-time compliance advisory services to the Marex Capital Markets Inc. (“MCMI”) fixed income business unit(s). Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices. In addition, this individual will be responsible for advising in the individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Responsibilities: Proactive in implementing Annual Compliance Plan in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or assist in completing US Broker Dealer related regulatory inquiries. Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review Manage US Broker Dealer Business Line management relationships. Collaborate to ensure Americas Compliance Calendar deadlines are achieved. Work with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities. Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions. Provide regulatory and compliance advice to business partners about complex sales and trading issues. Create or assist in developing US Broker Policies and Procedures and Written Supervisory Procedures. Provide Compliance Advisory services for US Broker Trade Surveillance process. Provide Compliance Advisory services for US Broker Regulatory Reporting process. Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, MSRB, and other regulatory rules and regulations. Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with. Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. At all times complying with Marex's Code of Conduct: To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility. To report any breaches of policy to Compliance and/ or your supervisor as require. To escalate risk events immediately. To provide input to risk management processes, as required. The Company may require you to carry out other duties from time to time. Competencies, Skills and Experience : Competencies Have a positive, hands-on, “can-do” attitude. Excellent verbal and written communication skills. Critical thinker, proactive and creative. Identify, analyse and address compliance matters. Excellent verbal and written communication skills. Highly organized, strong attention to detail. Ability to independently identify and resolve issues. Ability to work and research issues with minimal oversight. Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Skills and Experience Ten (10+) plus years of securities advisory experience supporting fixed income. Knowledge of broker-dealer activities and requirements. Bachelor's Degree in Finance, Economics, Business, or other related field is preferred. Excellent knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, SEC, FINRA, MSRB, and other regulatory organizations. Excellent understanding of U.S. securities regulations, trade reporting obligations, and trading practices within fixed income. Ability to work on multiple projects in a fast-paced environment. Ability to project confidence and professionalism in dealings with senior business personnel. Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment. Ability to work on multiple projects in a fast-paced environment. Comfortable working both independently and in a team environment. Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $150 ,000 to $225,000 per year base salary and eligible for discretionary bonus. Marex Benefits for 2025 Company Values: Acting as a role model for the values of the Company: Respect – Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly. Integrity – Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves. Collaborative – We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People – Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble – Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law. #LI-PP1
Posted 3 weeks ago
GMP Compliance Officer
BaRupOn LLCIrvine, CA
Job Summary The GMP Compliance Officer ensures that BaRupOn's pharmaceutical and sterile manufacturing operations remain fully compliant with current Good Manufacturing Practices (cGMP) and FDA regulations. This associate-level role supports quality audits, documentation review, CAPA tracking, and SOP implementation. The ideal candidate has hands-on experience in GMP environments and strong attention to detail. Key Responsibilities Conduct routine GMP compliance checks and internal audits across manufacturing and cleanroom areas Support deviation investigations, corrective/preventive actions (CAPA), and non-conformance tracking Review production records, batch logs, and SOPs for accuracy and regulatory alignment Assist with FDA audit readiness, site inspections, and regulatory responses Maintain GMP training records and coordinate training sessions with operations staff Collaborate with Quality Assurance and production teams to resolve compliance issues Monitor environmental control logs, calibration schedules, and hygiene protocols Ensure documentation practices meet 21 CFR Part 11 and FDA expectations Qualifications Associate degree in Life Sciences, Biotechnology, or Regulatory Compliance (required) 2–4 years of experience in GMP-regulated manufacturing or pharmaceutical quality roles Familiarity with FDA regulations, cGMP, ICH Q7/Q10, and relevant ISO standards Detail-oriented with strong documentation and audit readiness skills Ability to interpret SOPs, quality manuals, and compliance checklists Preferred Skills Experience with sterile manufacturing, compounding, or cleanroom environments Working knowledge of TrackWise, MasterControl, or other QMS platforms GMP certification or regulatory training a plus (e.g., NSF, PDA, ISPE) Benefits Health, dental, and vision insurance 401(k) with employer match Paid time off and holidays Career advancement in GMP and regulatory roles Opportunity to contribute to critical health and energy infrastructure
Posted 5 days ago
Environmental Compliance Professional
Hart & HickmanCharlotte, NC
Join Our Team as an Environmental Compliance Professional Are you ready to make a meaningful impact in the environmental consulting field? Hart & Hickman, PC (H&H) invites you to join our vibrant team as we continue to grow our Charlotte office. About Us: At Hart & Hickman, we pride ourselves on fostering a culture of growth, collaboration, and excellence. Our team thrives on tackling challenging projects, supporting each other's development, and delivering top-tier solutions to our clients. With a focus on work-life balance, continuous learning, and employee recognition, we create an environment where you can flourish both personally and professionally. Position Overview: We are seeking a driven and client-focused Environmental Compliance Professional to join our dedicated team. In this role, you will have the opportunity to work on diverse projects and collaborate with experienced mentors, honing your skills and accelerating your career growth. Responsibilities: Provide expertise in environmental compliance services across a range of projects Develop and implement SPCCs, SWPPPs, RCRA Permitting, and Waste Management strategies Conduct EPCRA and Tier II reporting Perform environmental audits and provide compliance support for industrial facilities Conduct Phase I & Phase II Environmental Site Assessments Produce high-quality technical reports and deliverables Engage in client and project management activities as needed Qualifications: Bachelor's degree in Environmental Science, Engineering, or related field Experience in environmental consulting, with a focus on compliance services Strong knowledge of relevant regulations and standards Excellent communication and problem-solving skills Ability to work independently and collaborate effectively within a team Professional certifications (e.g., PE license) are a plus Why Join Us: Competitive compensation package Comprehensive benefits including medical, dental, and vision coverage Generous vacation and paid time off Professional development opportunities and ongoing training Collaborative and supportive work environment Opportunity for career advancement and growth How to Apply: If you are passionate about environmental compliance and eager to contribute to a dynamic team, we want to hear from you! Please submit your resume and a cover letter detailing your relevant experience and why you are a great fit for this position. Hart & Hickman is an equal-opportunity employer committed to diversity and inclusion in the workplace. We welcome applications from individuals of all backgrounds. Join us in making a difference - apply today!
Posted 30+ days ago
Director Of Compliance
AegonPhiladelphia, PA
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Job Description
Job Family
Regulatory Compliance
About Us
At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.
Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment - one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.
Who We Are
We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.
Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.
We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good - for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.
What We Do
Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.
Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com.
Job Description Summary
Transamerica Financial Advisor (TFA) is searching for a Director of Compliance. This position will report to TFA's Chief Compliance Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA's retail broker-dealer and investment advisory business. The candidate will contribute to the success of the compliance program to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TFA. In addition, the candidate will assist the CCO in enhancing the compliance program for World Financial Group (WFG).
This Director will be heavily involved in all areas of Compliance but specifically will oversee the Compliance Advertising and Anti-Money Laundering/Fraud programs for TFA and WFG. This position involves planning, organization, and execution of day-to-day operational compliance activities. Additionally, this individual will help maintain a strong compliance framework for a growing team. The Director will work with the business to remediate issues identified through testing. The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans.
Job Description
Responsibilities
- Advising the Chief Compliance Officer of potential regulatory risks, gaps, and vulnerabilities; implement and lead corrective action plans.
- Assisting in the hiring and training of compliance staff to support TFA and WFG's compliance programs.
- Establishing relevant performance metrics to ensure team members understand their significance and expectations, and providing regular performance feedback.
- Developing, maintaining, and updating compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities rules and regulations.
- Creating training for home office and the field.
- Assisting and possibly leading regulation examinations and audits as assigned by the Chief Compliance Officer.
- Collaborating with TFA and WFG business partners on compliance, supervision, management, Advertising and AML/Fraud issues.
- Developing strong working relationships with TFA and WFG business partners (home office and in the field).
- Directing and leading compliance projects and initiatives involving business line senior managers; providing compliance guidance and advice.
- Providing guidance on the effective response to detected problems and offer recommendations for corrective action as appropriate.
Qualifications:
- Bachelor's degree in business, accounting, or other relevant field
- 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment advisory environment
- At least 2 years of experience in compliance or internal audit functions at a supervisory or management level
- At least 2 years of experience in Advertising Compliance in the securities industry
- Experience in AML
- Knowledge of securities, insurance, and retirement laws, regulations, and rules as it pertains to the sale of such products
- FINRA Series 7, 24 & 66
- Excellent written and verbal communication skills
- Strong leadership skills
- Advanced analytical and research skills
- Proficiency using MS Office tools
Preferred Qualifications
- 4+ years in a leadership role
- FINRA Series 53
- Insurance license
- Experience with FIS Supervision Compliance Manager
- Experience with National Financial Services/Fidelity platform
Working Conditions
Normal office environment utilizing Microsoft office products.
The Salary for this position generally ranges between $150,000-$170,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion
What We Offer
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Compensation Benefits
Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave - fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
College Coach Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs
Inclusion & Diversity
We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.
To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.
Giving Back
We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.
Transamerica's Parent Company
Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe. * It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.
- As of December 31, 2023