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Marketing Compliance Manager-logo
RhoSalt Lake City, Utah
About Us Rho is the all-in-one banking platform for startups and the accountants who support them. With banking set up in minutes, 2% cashback cards, and powerful tools for managing spend, paying bills, and closing the books, Rho helps high-growth startups move fast and stay focused—with support that goes to the ends of the earth to help you win. About the Role We’re looking for an experienced, hands-on Marketing Compliance Manager to help build out our existing marketing compliance program and ensure Rho's advertising and promotional activities adhere to legal and regulatory standards and internal policies. This role involves reviewing marketing materials, monitoring campaigns for compliance risks, and providing guidance on relevant regulations. This person will have significant contact with Executives and Cross-functional colleagues, and ensure that Rho is compliant with all U.S. banking regulations and company policies and procedures. Responsibilities Reviewing and approving marketing materials for accuracy, clarity, and compliance with regulations for all Rho products and services Developing and maintaining a central repository for all disclosures for all products and services Conducting audits of marketing activities to ensure compliance Developing and delivering training programs on marketing compliance Investigating complaints related to marketing practices Managing marketing compliance, technology, and systems Assisting with the development of marketing compliance policies and procedures Working with external counsel on legal and regulatory matters Qualifications 5+ years managing a similar compliance function with a strong, “SME status” understanding and focus on Marketing and Treasury regulations within the banking, fintech, or financial services industry Deep knowledge of Investment Advisers Act of 1940, SEC Marketing Rule 206(4)-1, Form ADV compliance, and Books and Records Rule 204-2, with hands-on experience navigating SEC examinations and enforcement actions Expertise in performance advertising regulations, disclosure requirements, and time-weighted return calculations for registered investment advisor marketing materials and client communications Strong understanding of marketing regulations and laws, such as advertising standards, data privacy regulations, and consumer protection laws related to checking accounts, savings accounts, Treasury products, etc. Experience collaborating on decisions and solutions with a team of marketing professionals and working with Executives and Cross-functional stakeholders to drive solutions Ability to lead from the front and execute in a fast-paced environment Excellent communication and interpersonal skills Analytical and problem-solving skills Ability to work independently and as part of a team Attention to detail and strong organizational skills Experience in marketing, legal, or compliance roles is preferred Excellent analytical skills with the ability to identify issues, analyze data, and make sound recommendations Highly detail-oriented with strong organizational skills Ability to meet strict regulatory requirements while balancing product and customer experience Our people are our most valuable asset. The salary range for this role is $108,000 - $182,000. Title and base salary may vary depending on relevant experience, skills, geographic location, and business needs. In addition to base pay, Rho offers equity, healthcare benefits, and paid time off. Diversity is a core value at Rho. We’re passionate about building and sustaining an inclusive and equitable environment for all those involved with our mission, including employees, contractors, candidates, customers, and vendors. We believe every member of the Rho community enriches our ability to provide a broad range of ways to understand and engage with the market, identify problems, and drive solutions that align with our mission. We welcome all qualified applications and support each of our Rho’ers with ongoing professional growth opportunities.

Posted 1 week ago

Post Employment Compliance Coordinator-logo
ChemTreatRichmond, Virginia
The Post Employment Compliance Coordinator is a highly organized associate with strong attention to detail. The Post Employment Compliance Coordinator will be the Delegated Employee Representative (DER) to facilitate customer requirements for safety and compliance as well as providing support to the sales organization by managing travel and expense related processes. ESSENTIAL FUNCTIONS & RESPONSIBILITIES Provide rapid responses to our commercial sales organization providing them with a high level of service, focusing on travel and expense related tasks as well as managing customer requirements related to customer drug, alcohol, and background requirements. Designated Employer Representative (DER) Manage end-to-end post employment background screening and drug testing process, evaluate results, and ensure compliance with customer requirements as well as relevant laws and regulations. Initiate, schedule, and monitor results on all pre-access, random, reasonable suspicion/reasonable cause, post-accident, return-to-duty, and follow up drug and alcohol screens Maintain confidentiality and accuracy in documentation and serve4 as point of contact for all internal and external stakeholders. Report positive test results to supervisors for immediate removal from safety sensitive positions if necessary. Recommend and implement innovative process improvements to enhance efficiency, effectiveness, and quality of post-employment screening program Liaison with EHS for new hire and associate drug and alcohol exams and pulmonary tests. Ensure the associated tracking of testing participation and results. Maintain third party administrator rosters to account for new hires and departures. Act as liaison between the employer and service agents, such as MROs, Substance Abuse Professionals (SAPs, and testing laboratories. Partner with EHS to ensure customer required training through local safety councils and other training facilities is complete with compliance requirements. Review customer contracts (with assistance of necessary internal parties) to ensure ChemTreat’s ability to meet customer drug, alcohol, and background requirements for associates to work on site. Maintain knowledge of trends, best practices, regulatory changes, and new technologies in the screening process Review and approve invoices from third party vendors or safety councils for payment Handle all individually assigned tasks; share interdepartmental communication; other duties as assigned. Travel and Expense Set up new hires in Concur & order new corporate card from US Bank Change approvers when employees move under different management Assign new credit cards in Concur once card has been ordered/replaced Communicate travel and expense policy updates. Provide guidance and support for travel and expense systems, serve as primary point of contact for inquiries to include but not limited to Concur log in, expense report errors, allocated expenses, updating CWT profile, provide info associates may need in order to speak with US Bank, i.e. credit limit, company code Deactivate terminated employees in Concur and deactivate company credit card Complete and submit expense reports for terminated employees Work with HR on employees that may be using credit cards for personal use Conducting Concur reporting and providing associated reporting data as requested Through reporting identify those associates who have not filed expense reports in timely manner and follow-up with associates accordingly Identify errors and/or warnings in expense reports and correct the errors or follow-up with associate as applicable Other duties as assigned KNOWLEDGE & SKILLS Organizational skills; Self-management Strong customer service Teamwork and collaboration Communication and Interpersonal skills Strong attention to detail; Ability to problem-solve Independent task transition Basic analytical skills EDUCATION & EXPERIENCE High School Diploma: Business school or college courses preferred Minimum of 3+ years of relevant experience. Customer Service experience preferred Beginner to Intermediate level Excel experience PHYSICAL DEMANDS • Constantly required to sit and occasionally required to walk, stand, climb (includes stairs), balance, stoop, bend, kneel, crouch or crawl, and talk, hear, and smell • Constantly using hands and fingers to handle, feel or operate objects, and computer keyboards. • Routinely required to reach with hands and arms, squat, turn/twist, or reach, lift, carry, push, or pull up to 20 pounds • Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and the ability to adjust focus • The Physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. • Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. WORKING CONDITIONS & ENVIRONMENT • Consists of an indoor work office environment with good ventilation, adequate lighting, and low noise levels. AT WILL STATEMENT Employment with ChemTreat is on an at-will basis, which means that either the employee or ChemTreat can terminate the employment relationship at any time and for any reason (or no reason), with or without notice, unless the employee and ChemTreat have entered a written agreement signed by the employee and a duly authorized representative of ChemTreat. EQUAL OPPORTUNITY ChemTreat, Inc. is an Equal Opportunity Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, gender, age, marital status, disability, veteran status, sexual orientation, gender identity, or any characteristic protected by law. US ONLY : The below range reflects the range of possible compensation for this role at the time of this posting. We may ultimately pay more or less than the posted range. This range may be modified in the future. An associate’s position within the salary range will be based on several factors, including, but not limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. The compensation range for this role is $24.04 - $25.00 USD per hour. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance and 401(k) to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law. US residents: In any materials you submit, you may redact or remove age-identifying information such as age, date of birth, or dates of school attendance or graduation. You will not be penalized for redacting or removing this information. Veralto Corporation and all Veralto Companies are committed to equal opportunity regardless of race, color, national origin, religion, sex, age, marital status, disability, veteran status, sexual orientation, gender identity, or other characteristics protected by law. We value diversity and the existence of similarities and differences, both visible and not, found in our workforce, workplace and throughout the markets we serve. Our associates, customers and shareholders contribute unique and different perspectives as a result of these diverse attributes. The EEO posters are available here . We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us at applyassistance@veralto.com to request accommodation. Unsolicited Assistance We do not accept unsolicited assistance from any headhunters or recruitment firms for any of our job openings. All resumes or profiles submitted by search firms to any employee at any of the Veralto companies , in any form without a valid, signed search agreement in place for the specific position, approved by Talent Acquisition, will be deemed the sole property of Veralto and its companies. No fee will be paid in the event the candidate is hired by Veralto and its companies because of the unsolicited referral.

Posted 2 weeks ago

Compliance Officer-logo
Olympic Medical CenterPort Angeles, Washington
ABOUT OLYMPIC MEDICAL CENTER: Imagine working on Washington State’s beautiful North Olympic Peninsula where recreational opportunities abound. Whether you enjoy hiking, camping, fishing, kayaking or cycling, the Olympic Peninsula is home to numerous adventures for outdoor enthusiasts. It's a great place to live, work, play and raise a family. Bordered by the scenic Olympic National Park, the Strait of Juan de Fuca and the Pacific Coast - with Seattle and Victoria, BC just a ferry ride away - you won’t find a better location. You’ll receive a competitive salary, excellent benefits, relocation assistance plus an amazing PNW lifestyle – a perfect combination! FTE: 100% WORK SHIFT Day PAY RANGE: $94,560.96 - $154,284.00 SHIFT DIFFERENTIALS/PREMIUMS: Weekend & Holidays Shifts: No On Call Shifts: No JOB DESCRIPTION: Administers and provides oversight of Olympic Medical Centers (OMC) compliance program. This position leads the development and administration of the program and provides oversight and guidance in accordance with the expectations of the Federal Sentencing Guidelines, HHS Office of the Inspector General and the HHS Department of Justice and applicable state and federal laws. Develops and implements processes, tools and templates to assist OMC employees, board members, and customers as a resource on compliance and ethics information applicable to this organization. All elements of the compliance program are included, ie: compliance training and education, auditing and monitoring, and communication of compliance concepts related to rules, regulations and policies. The position also conducts investigations and assists management of remediation of high-risk compliance issues. Required reporting and interactions with the local, state, and federal governments are also part of this position’s responsibilities. Serves as an expert on significant compliance and ethics issues, program development/effectiveness, and fosters a compliant work environment to achieve legal and regulatory requirements. This position will ensure that the compliance program is aligned with the business objectives and strategies of OMC to promote buy-in and reduction of compliance related risks. EDUCATION Bachelor’s degree in health care or related field required. EXPERIENCE Ten+ years of experience with demonstration of progressive leadership roles related to health care and compliance. Equivalent experience will be considered. LICENSURE/CREDENTIALS CHC (Certification in Health Care Compliance by Health Care Compliance Association) required or completion within the first 6 months of this role. UNION None BENEFITS INFORMATION: Click here for information about our benefits . Equal Employment Opportunity (EEO) Statement: Olympic Medical Center is an Equal Opportunity Employer that values workplace diversity. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or protected veteran status and will not be discriminated against on the basis of disability. For more information, please visit www.eeoc.gov .

Posted 30+ days ago

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ARKA Group, L.P.Washington, District of Columbia
ARKA Group L.P. (“ARKA”) is an advanced technologies company serving the U.S. military, intelligence community, and commercial space industry delivering next-generation solutions to support the national security space enterprise. Built on more than six decades of excellence, ARKA brings modern approaches and a culture of innovation to the challenges of today. Join the ARKA team to learn how Beyond Begins Here. Discover your next career opportunity now! Position Overview: The Global Trade Compliance Analyst will support legal and trade compliance management in connection with the implementation of a trade compliance program across multiple businesses by: developing and providing training; working with business partners to prepare export licenses; confirming proper screening and authorizations are in place prior to shipments or facility visits; supporting jurisdiction and classification analysis; and conducting internal audits to help ensure compliance with U.S. Government and non-U.S. export regulations. This position is part-time (20 hours per week) with flexible Eastern Time Zone working hours, based in Danbury, CT, Chantilly, VA or Washington, DC. Responsibilities: Apply and implement U.S. and U.K. trade compliance regulations as well as company policies related to trade compliance Manage denied party screening and release shipments in the Company’s trade compliance systems Review relevant regulations to ensure proper authorizations are in place prior to export Draft export license applications in partnership with Business Development personnel Work with Engineering, Supply Chain and other functional groups to classify goods and data for export Maintain licensing requirements and records Support audits to assess the export/import compliance of the Company and supporting operating entities; assist in implementing corrective actions where necessary Stay up to date on regulatory changes and help educate relevant personnel on policy changes as needed Required Qualifications: Bachelor's degree or equivalent A minimum of 2 years of prior experience in a role managing export processes. Experience with drafting and submitting export licensing applications in DECCS or SNAP-R. Strong working knowledge of U.S. export regulations and practices Working knowledge of business and trade compliance systems such as SAP/GTS, OCR or similar Project management and problem-solving skills Strong written and verbal communication skills with ability to impart information in a clear and professional manner, including developing and presenting training material Able to work collaboratively with others in a fast-pasted environment and handle multiple simultaneous tasks while maintaining a positive approach Flexible, curious, and willing to support other legal and compliance tasks Excellent attention to detail and accuracy Pay Range: $40,000 - $50,000 for Part-time, 20 Hours/Week Position Your actual level and base salary will be determined on a case-by-case basis and may vary based on the following considerations: job-related knowledge and skills, education, and experience. Locations: Washington D.C. In this position, you will be providing support to and representing all the units that make up ARKA, including Space & Defense Systems, Advanced Communications & Mission Applications, and ARKA International. What We Offer: Comprehensive medical/vision/dental insurance packages Company contributions to qualified HSA accounts 401k retirement plan with industry leading company contributions 3 weeks of vacation accrual per year plus time off for sick leave and unscheduled life events 13 paid holidays Annual bonus program based on company and employee performance Company paid life insurance, AD&D, Short-Term and Long-Term disability insurance 4 weeks paid Parental Leave Employee assistance program (EAP) EHS/Environmental Requirements: This job operates in a professional office environment. While performing the duties of this job, the employee routinely is required to use hands to keyboard, communicate, listen to, and interpret instructions and remain stationary for extended periods of the time. This would require the ability to move around the campus and occasionally move/lift items weighing up to 25 lbs. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of the job. Applicants are invited to apply for a reasonable accommodation to perform the essential duties of the job. To apply, send a request to staffing@arka.org or contact 203-797-5000 and press 2 for Human Resources. ITC & Security Clearance Requirements: This position requires the incumbent to access export-controlled information. The incumbent must be a U.S. person (U.S. citizen, U.S. national, green card holder, refugee, or asylee). Visa Restrictions: No visa sponsorship is available for this position. Pre-employment Screenings: Employment with any ARKA companies in the U.S. is contingent upon satisfactory completion of several pre-employment requirements to include a credit check, background check, and drug screen. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities: This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

Posted 3 weeks ago

Senior International Trade Compliance Specialist-logo
UlinePleasant Prairie, Wisconsin
Senior International Trade Compliance Specialist Corporate Headquarters 12575 Uline Drive, Pleasant Prairie, WI 53158 Interested in the global economy? Uline is North America's leading distributor of shipping, industrial and packaging materials! As a Senior International Trade Compliance Specialist, you’ll tackle regulatory hurdles, find tariff savings and bring Uline’s high quality products to international destinations. Careers Packed with Potential. Backed by 45+ years of success, Uline offers opportunities to grow your career with stability you can count on. Position Responsibilities Review product descriptions and technical data to identify import / export classification in accordance with government standards. Create and administer internal audit processes for accurate classifications and import entries. Respond to inquiries from customs brokers, government agencies, internal / external customers and vendors for international shipments. Research and create processes related to regulatory issues, licenses and government agency requirements. Manage trade compliance programs, including follow up, process improvements, internal communication, team training and audit readiness. Minimum Requirements Bachelor's degree. 3+ years of compliance experience. Licensed Customs Broker (LCB) or Certified Classification Specialist (CCLS) a plus. Previous legal analyst experience a plus. Bilingual preferred. Benefits Complete health insurance coverage and 401(k) with 6% employer match that starts day one ! Multiple bonus programs. Paid holidays and generous paid time off. Tuition Assistance Program that covers professional continuing education. Employee Perks On-site café and first-class fitness center with complimentary personal trainers. Over four miles of beautifully maintained walking trails. About Uline Uline, a family-owned company, is North America’s leading distributor of shipping, industrial, and packaging materials with over 9,000 employees across 14 locations. Uline is a drug-free workplace . All positions are on-site. EEO/AA Employer/Vet/Disabled #LI-CB2 #CORP (#IN-PPOPS) Our employees make the difference and we are committed to offering exceptional benefits and perks! Explore Uline.jobs to learn more!

Posted 4 days ago

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Envista DentistryBrea, California
Job Description: Role Summary: The Senior IT Compliance Program Manager is responsible for designing, implementing, and managing a comprehensive IT compliance program that aligns with regulatory, statutory, contractual, and internal security requirements. This role serves as the primary liaison between IT, internal stakeholders, and external auditors/regulators to ensure audit readiness, continuous compliance, and a mature control environment. It will also require deep domain expertise in regulatory frameworks (e.g., SOX, HIPAA, PCI-DSS, GDPR, NIST), modern IT environments (Cloud, DevOps), risk management, and control design. Key Responsibilities: Compliance Program Development: Design and maintain a scalable IT compliance framework aligned with business goals, risk appetite, and regulatory mandates. Cross-Functional Collaboration: Partner with functional teams and outsourced providers to ensure operational effectiveness of compliance controls across multiple regulatory frameworks and industry certifications. Governance, Risk, and Compliance Expertise: Act as a GRC subject matter expert, guiding product and engineering teams on compliance initiatives. Identify and remediate risks affecting product and infrastructure security. Assessments and Audits: Independently lead routine and complex assessments/audits. Collect and review evidence to support internal and external audits. Reporting and Communication: Deliver timely reports, metrics, and remediation strategies. Manage complex, cross-functional projects and dependencies. Efficiency and Scalability: Drive improvements in the efficiency and scalability of compliance programs to support organizational growth. Leadership Metrics: Provide leadership with actionable metrics on risk, audit issues, and remediation progress. Job Requirements: Qualifications: Bachelor’s Degree in Computer Science or related field highly preferred 5+ years of experience in IT compliance, audit, or information security governance. Proven experience with compliance frameworks such as SOX, HIPAA, HITRUST, PCI-DSS, ISO 27001, GDPR, NIST CSF, and SOC 2. Strong understanding of internal audit processes and closure of audit findings. Excellent communication and collaboration skills across cross-functional and outsourced teams. Ability to manage multiple priorities in a fast-paced environment. Strong analytical and problem-solving skills. Experience with the full audit lifecycle (scoping, evidence collection, walkthroughs, remediation). Familiarity with modern IT environments (cloud-native platforms, IAM, logging, network segmentation, vulnerability management). Demonstrated ability to write, operationalize, and test IT controls. Preferred Qualifications: Certifications such as CISA, CRISC, CGRC, CISSP, CIPM, or equivalent. Experience with GRC platforms (e.g., ServiceNow GRC, Workiva, Vanta), CSPM tools, or compliance-as-code platforms. Understanding of Agile/DevOps principles and their impact on compliance. Ability to translate complex compliance requirements into actionable guidance for technical teams. #LI-RJ1 #LI-hybrid IND123 Target Market Salary Range: Actual compensation packages take into account a wide range of factors that are unique to each candidate, including but not limited to geographic location; skill sets; relevant education and certifications; depth of experience; performance; and other business and organizational needs. The disclosed reasonable estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Envista, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. The total compensation package for this position may also include an annual performance bonus, medical/dental/vision benefits, 401K match, and/or other applicable compensation plans. $106,500 - $190,000 Operating Company: Corporate Envista is a global family of more than 30 trusted dental brands, united by a shared purpose: to partner with professionals to improve lives. Envista helps its partners deliver the best possible patient care through industry-leading products, solutions, and technology. Our comprehensive portfolio, including dental implants and treatment options, orthodontics, and digital imaging technologies, covers an estimated 90% of dentists’ clinical needs for diagnosing, treating, and preventing dental conditions as well as improving the aesthetics of the human smile. Envista and all Envista Companies are equal opportunity employers that evaluate qualified applicants without regard to race, color, national origin, religion, sex, age, marital status, disability, veteran status, sexual orientation, gender identity, or other characteristics protected by law. The “EEO is the Law” poster is available at: http://www.dol.gov/ofccp/regs/ compliance/posters/pdf/eeopost.pdf. Envista and its family of companies (Envista) will not accept unsolicited resumes from any source other than directly from a candidate. Envista will consider unsolicited referrals and/or resumes submitted by vendors such as search firms, staffing agencies, professional recruiters, fee-based referral services and recruiting agencies (Agency) to have been referred by the Agency free of charge and Envista will not pay a fee for any placement resulting from the receipt such unsolicited resumes. An Agency must obtain advance written approval from Envista's internal Talent Acquisition or Human Resources team to submit resumes, and then only in conjunction with a valid fully-executed contract approved by the Global Talent Acquisition leader and in response to a specific job opening. Envista will not pay a fee to any Agency that does not have such agreement and written approval in place.

Posted 30+ days ago

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MN Cannabis CompanyMinneapolis, Minnesota
We are seeking a strategic, sharp, and agile Assistant General Counsel to support our rapidly growing portfolio of cannabis operations across multiple states, including Minnesota, Washington, Oregon, Florida, and Iowa. This individual will be a key player within our newly built in-house legal department, focused on ensuring regulatory compliance, mitigating legal risk, and enabling expansion across the cannabis supply chain — from real estate and construction to retail and manufacturing. Key Responsibilities: Cannabis Compliance & Licensing Oversee state and local cannabis license applications, renewals, and regulatory filings Monitor evolving cannabis laws and interpret their impact on business operations Advise internal stakeholders on compliant business strategies across cultivation, processing, transportation, and retail Real Estate, Zoning & Construction Advise on land use, local zoning, conditional use permits, and variances Partner with our real estate and construction teams on lease negotiations, development agreements, and construction dispute resolution Support project approvals and entitlement processes with municipalities Litigation & Dispute Management Coordinate with external counsel on active and threatened litigation Manage discovery and document production internally regulations, and compliance best practices. Develop risk mitigation strategies and early intervention practices Employment & Labor Law Support internal investigations, employee disputes, and regulatory complaints (EEOC, DOL, etc.) Draft and review employment contracts, severance agreements, and arbitration clauses Advise on workforce structuring, onboarding, and labor law compliance across multiple states Legislative & Regulatory Affairs Track cannabis-related bills and local policy developments Assist in preparing white papers, testimony, and bi-partisan strategic advocacy positions Support lobbying and coalition-building efforts in partnership with bi-partisan government affairs consultants Corporate & Contract Law Draft, review, and negotiate service agreements, vendor contracts, and consulting agreements Assist in intercompany structuring, operating agreements, and IP protections Qualifications: Juris Doctor (JD) from an accredited law school and licensed in at least one US jurisdiction 2-10 years of legal experience, preferably some familiarity with cannabis regulations Experience with real estate, construction, or zoning law strongly preferred Excellent written and verbal communication skills Strong analytical skills—able to research regulatory issues and translate them into clear, actionable guidance Highly organized with the ability to manage multiple projects and deadlines under tight timelines Professional discretion and commitment to confidentiality Proactive problem-solver who thrives in ambiguity and fast-paced environments Collaborative mindset—comfortable working alongside executives, franchisees, and external partners Must be willing to work 100% on-site in our Minneapolis Headquarters Ability to travel up to 25% of role between offices and regulated sites as needed Must commit to coming to work sober Successfully pass a pre-employment criminal background check Minimum 21 years of age Benefits and Compensation: Pay range between $100,000-$150,000 Employee discount includes 50% off smokable cannabis products Health, Dental and Vision insurance Employee Assistance Program (EAP) Employee Discount Program offering exclusive discounts from top national retailers Paid Sick Leave (PSL) and Personal Time Off (PTO) Holiday Pay for anyone working New Years Day, 4/20, Memorial Day, Independence Day, Labor Day, Thanksgiving Day and Christmas Day

Posted 1 week ago

Compliance Manager - Investment Risk-logo
KeyBankBrooklyn, Ohio
Location: 4900 Tiedeman Road, Brooklyn Ohio About the Job The Investment Risk Compliance Manager plays a critical role in independently measuring, monitoring, and assessing risks across investment activities. This position ensures effective risk oversight by providing credible challenge, identifying emerging issues, and escalating concerns to senior management when necessary. Working within the Compliance Risk Management organization, you will oversee the risk management of a diverse range of investment products—including equities, fixed income, alternative funds, and managed solutions—offered by Key Private Bank. As part of the KPB Wealth Compliance team, you will work closely with line of business partners and research analysts in the Chief Investment Office to: Develop and maintain a deep understanding of fund and portfolio risk profiles Enhance and innovate risk oversight frameworks and methodologies Ensure compliance with internal policies and regulatory expectations Conduct targeted reviews and deep dives into emerging risk areas and their potential impact on the business Essential Functions Oversee investment risk for third-party equity, fixed income, and liquid alternative fund managers, including specialized solutions and separately managed accounts. Utilize industry-standard tools (e.g., FactSet, Morningstar, Bloomberg) to analyze investment risks and challenge assumptions. Independently conduct monitoring reviews of equity and fixed income funds presented by the Chief Investment Office. Identify, assess, and monitor investment risks, providing credible challenge and escalating key issues to senior management. Partner with investment and risk teams to maintain a deep understanding of fund and portfolio risk profiles. Enhance and innovate risk oversight processes to ensure compliance with investment, liquidity, and counterparty risk policies. Perform deep-dive analyses on emerging risk areas and evaluate their potential impact on the business. Assist in other Compliance Risk tasks across the Compliance Risk Management Space, as needed. Participate and lead formal testing/monitoring Required Qualifications Bachelor’s degree in Finance, Economics, Risk Management, or a related field Minimum of 5 years of experience in investment risk, compliance, or asset management Strong understanding of investment products, including mutual funds, SMAs, and alternative investments Proficiency with risk and research tools such as FactSet, Bloomberg, and Morningstar Demonstrated ability to independently assess risk and provide credible challenge Excellent analytical, problem-solving, and communication skills Strong attention to detail and ability to manage multiple priorities in a fast-paced environment Preferred Qualifications Advanced degree (MBA, MS Finance, etc.) or professional certifications (e.g., CFA, FRM) CFIRS or other like certifications Experience working in a private bank or wealth management environment Familiarity with regulatory requirements related to investment risk and compliance COMPENSATION AND BENEFITS This position is eligible to earn a base salary in the range of $95,000 to $120,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance. Please click here for a list of benefits for which this position is eligible. Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be Mobile or Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties. Job Posting Expiration Date: 09/06/2025

KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com. # LI-Remote

Posted 1 week ago

Senior Advisor, Compliance Executive Reporting & Strategy-logo
Raymond JamesSt Petersburg, Florida
Job Description Summary Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification to support executive reporting, strategy and planning for Raymond James’ Compliance department and other internal partners as applicable. Collaborates with partners across the firm’s control functions and business areas to develop reports, presentations and other materials for senior executives related to key initiatives, issues, regulatory changes, risks, technology and process improvements, and more. Supports the creation of subsequent presentations and communications as needed. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues. Job Description Essential Duties and Responsibilities Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. Collaborates with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness. Develops and maintains reporting templates and tools to streamline recurring reporting processes. Monitors reporting timelines and ensure all deliverables meet internal deadlines and quality standards. Identifies opportunities for process improvements and automation within the reporting function. Supports ad hoc reporting requests and special projects as directed by Compliance leadership. Supports the annual review and update process for the Code of Conduct, coordinating with key stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values. Manages version control, documentation and communication of Code of Conduct updates across the organization. Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm. May represent the Compliance department on cross-functional projects as they arise. Prepares and delivers written and oral presentations to management and other stakeholders. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge of: Effective reporting and communicating complex information. Fundamental investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Skill in: Gathering, streamlining and communicating complex information in a digestible way. Creating reports, presentations and talking points for senior leaders. Providing support and guidance for compliance efforts. Reviewing materials for compliance with rules and regulations. Researching compliance issues. Writing, editing and proofreading. Microsoft PowerPoint, Word, Excel and SharePoint. Ability to: See projects through from conception to successful execution. Absorb unfamiliar topics quickly. Attend to detail while maintaining a big picture orientation. Partner with other functional areas to accomplish objectives. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. Prioritize tasks and pivot quickly when necessary. Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions. Work independently as well as collaboratively within a team environment. Seek and implement constructive feedback. Troubleshoot problems and proactively suggest solutions. Provide a high level of customer service. Establish and maintain effective working relationships at all levels of the organization. Maintain confidentiality. Educational/Previous Experience Requirements Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None Required. Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Travel Less than 25% Workstyle Hybrid At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1

Posted 2 weeks ago

Legal & Compliance Operations Project Manager-logo
Linda Werner & AssociatesMenlo Park, California
The Product & Regulatory Operations Organization is a vital part of our company’s commitment to user and business safety on its platforms. This team delivers operations for emerging and critical priorities across the company and Global Operations, working closely with product/engineering, legal, and cross-functional stakeholders. The Legal & Compliance Team ensures our company’s compliance and facilitates readiness for key legal and regulatory requirements. These critical obligations impact financial matters, the developer ecosystem, intellectual property, privacy matters, and global emerging regulations. This group creates processes to mitigate risks through increasingly efficient, scalable operations and the use of cutting-edge technology. As a Project Manager within our Legal & Compliance Team , you will help set goals and priorities for core operational workflows, measuring the health and effectiveness of enforcement and legal/regulatory notice and takedown regimes. You will set strategy for key program investments to increase efficiency and improve operational processes and maturity. You will address new and emerging risks and bring a product-driven mindset to balancing legal and regulatory obligations. A strong candidate will be highly effective at cross-functional leadership, influencing strategy, and ensuring strong workflow health and operational excellence. Key Responsibilities: Set goals and execute strategy as a business owner for core legal & compliance operational workflows, measuring effectiveness via metrics and key performance indicators, tracking resourcing and capacity, and monitoring the overall health of the program. Build out and strengthen operational processes and systems to deliver efficient reporting, innovative risk mitigation, and operational health. Program manage opportunities, foresee challenges, predict roadblocks, strengthen cross-functional relationships, and execute plans. Ideate and inform the development of team goals. Work with team members on strategies for executing, measuring progress, and sharing results that enable the team to identify efficiency gains and improvements, while developing and partnering on upstream product-driven solutions at scale. Expertly negotiate, assess, and communicate trade-offs for operational decisions with the broader cross-functional team to optimize processes and increase maturity. Hold stakeholders accountable when progress on operational readiness is in jeopardy, while maintaining respectful relationships in difficult situations. Drive effective, concise, and persuasive program communications, including root cause analysis, internal/external escalations coordination, and communications to leadership, and business recommendations for broader stakeholder groups. Understand the company’s strategic, legal, and compliance position and deliver outcomes that are aligned with our mission and recognized as best in the industry. Minimum Qualifications: 10+ years of relevant experience in consulting, strategy, operations, or equivalent program management experience, or an educational degree in project management, business, marketing, finance, or operations, with a particular focus on legal & compliance. Effective critical thinking and experience leveraging data to anticipate and unblock problems and drive solutions. Experience in the Legal, Public Policy, or Regulatory space (including operations, audit, control/safeguard management, etc.). Proven time-management and organizational skills. Experience working with teams to develop and improve operational systems and tools. Experience driving collaboration of cross-functional teams, coordinating effectively, and inspiring others. Experience resolving conflicts by finding win-win scenarios, identifying trade-offs, and setting clear priorities. Experience in controlling risk and setting priorities. Experience communicating effectively. Location : Onsite (NYC, Menlo Park, or Seattle) Role type: Contract 4 Months Position Expected hours : 40 per week Benefits: Dental insurance Health insurance Health savings account Life insurance Paid time off Retirement plan Vision insurance Schedule: 8 hour shift Monday to Friday Application Question(s): Do you or will you in the future require any sponsorship to work in the US? Language: English (Required)

Posted 6 days ago

M
MS Services GroupNew York, New York
Fixed Income Municipals Compliance Coverage Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises and assists the Firm's Sales and Trading Division in establishing, implementing and enforcing sales and trading practices. The Group is responsible for reviewing business, compliance and supervisory processes and practices. The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices. Position Description This individual will provide advisory compliance support for the Municipal Securities Division, including both Sales & Trading and the Public Finance business. Candidate will be expected to provide advice on MSRB, FINRA, SEC and CFTC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Job Responsibilities > Provide Compliance support for both the Public Finance investment banking and underwriting business, and the municipal securities Sales & Trading desks, as well as related support functions > Communicate with senior business management, investment banking business and Sales & Trading desk personnel regularly and address issues on a real-time basis > Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training > Assist other control functions in the maintenance of written supervisory procedures > Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation > Assist in regulatory reviews, audits and other examinations > Develop policies, procedures and training Skills Required > Minimum 5-7 years of municipal securities compliance or legal experience > Knowledge of broker-dealer and swap dealer regulatory compliance including MSRB, FINRA, SEC and CFTC regulations; > Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel. > Strong organization skills with the ability to multitask and prioritize WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Salary range for the position: $120,000 and $205,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posted 1 week ago

NERC Compliance Specialist-logo
NAESHouston, Texas
Company Overview Gridforce Energy Management’s mission is to ensure power flows consistently and reliably while enhancing our client’s profitability and reducing their risk exposure. Since 1999, Gridforce has been providing precision energy control and integration management services to micro-grids, load-serving entities and demand response clients throughout North America. Our employees are constantly iterating, solving problems, and working together to improve the business of our diverse client base from cities, municipalities and electric cooperatives, in addition to generation owners and operators. We offer our employees opportunities for career development and training, providing new and valuable skills and experience. We are located in Houston, Texas -- the second fastest growing city in the nation, with world-class medical, cultural, educational and research institutions and a young, energetic and diverse population. Gridforce is located in the heart of Downtown Houston which provides an energizing and engaging atmosphere where you will love to come to work. Gridforce Energy Management is a NAES Company. Summary The Compliance Specialist supports compliance responsibilities with all NERC and all Regional Entity Reliability Standards that are applicable to Generator Operator, Balancing Authority and Transmission Operator functions for Gridforce. The Compliance Specialist must have a strong technical understanding of mandatory Reliability Standards, including utility best practices for program design and internal controls. The Compliance Specialist will also monitor and track modifications to Reliability Standards and ensure processes, procedures, internal controls, and training activities are completed in collaboration with internal and external Subject Matter Experts (SMEs) in advance of the effective date for the modifications or new applicable standards. Work with all Gridforce departments to ensure appropriate NERC processes, procedures, internal controls, and training are completed as required by applicable NERC standards. Primary Duties Create appropriate procedures, review, and update those procedures as needed in support of Control Center operations and NERC Compliance. Develop and monitor implementation of internal controls to ensure procedures for mandatory standards are implemented, with a particular focus on applicable Real Time and Planning horizon as per NERC standards. At least annually, or more frequently as required by applicable NERC standards, gathering and verification of evidence collection is adequate to support compliance and contractual requirements. Ensure timely, accurate, and complete responses to compliance monitoring activities established by NERC and the Regional Entities. Monitor Reliability Standards under development and communicate updates and necessary program changes to applicable SMEs and team members. Complete and maintain Reliability Standards Worksheets (RSAWs) up to date as part of the continuous monitoring and improvement of internal controls and communication within the organization as they apply to all applicable NERC registered entities within Gridforce. Act as a liaison between Gridforce and the NAES NERC Compliance Team for the development of standard operating processes as they apply to Gridforce Control Center System Operators for the Generator Operator function where NAES is the registered GOP. Scope of Responsibilities Reporting to the Director of Reliability Compliance and Operations Engineering. This position directly coordinates with all Gridforce departments and appropriate NAES departments to support and achieve Company-wide objectives. This position determines practices and procedures, contributing to the development of program modifications to address NERC policies and procedures, with a particular focus on applicable Operations and Planning Standards. Performs duties independently and in collaboration with NERC CIP Specialist and Transmission Planning Engineer within the Reliability Compliance department. The position encounters a wide diversity of work situations with a very high degree of complexity. Contacts are consistently made with others inside and outside of the company to include industry SMEs, clients, vendors, contractors, other departments, immediate associates, and own supervisor. Contacts are made on own initiative concerning matters requiring explanation, discussion, interpretation, and approvals. All employees have the responsibility to both the client and their co-workers to do the job right the first time and to ensure the clients’ needs are being met. Compensation The initial compensation will range from $125,000 t0 $132,000 Working Relationships The position reports to the Director of Reliability Compliance and Operations Engineering and works closely with all Gridforce departments to ensure compliance with NERC Operating and Planning Standards. Education and Experience A bachelor’s degree or engineering discipline with 5 or more years directly applicable experience in utility operations is desired. Working knowledge of NERC roles and responsibilities, with a particular focus on applicable Operating and Planning Standards. Experience with NERC compliance and project management desired. Excellent communications including analysis and writing capability required. Specific Skills and Knowledge Must have compliance knowledge to address all NERC program areas. Ability to communicate exceptionally well both orally and in writing with regulators, management, and other internal and external stakeholders. Demonstrated outstanding organizational and client service skills desired. Demonstrated ability to provide highest quality services and solutions even under constrained conditions. Knowledge of Microsoft Office tools (i.e., MS Excel spreadsheets, MS Word, MS Power Point, and MS Project). Physical Requirements and Working Conditions This position works in an office environment and will require the ability to sit for long periods of time and handle long periods of screen time. Will require occasional travel. Typical work schedule is Monday-Friday during normal business hours. Fit for Duty All employees will participate in the Fitness for Duty Program. This program includes a post-offer physical examination and drug screening and post-employment random drug screening. There are extensive smoking restrictions in and around the facility. Performance All employees have the responsibility to both the customer and their co-workers to do the job right the first time, and to ensure the customer’s needs are being met. NAES Safe Safety is a core value of NAES; and as a condition of employment, all employees are expected to be mentally alert and work safely at all times. Additionally, employees are required to adhere to all safety warnings and posted safety signs, whenever on company property. Furthermore, employees must follow all NAES safety rules and procedures. Effectiveness in carrying out this responsibility is part of the evaluation of each and every employee’s performance. NAES is committed to a diverse and inclusive workplace. It is the practice of NAES to seek employees of the highest quality and to select individuals on the basis of merit and competence, without regard to race, color, religion, national origin, gender, gender identity, sexual orientation, age, disability, military status or affiliation protected under USERRA, or any other basis of discrimination prohibited by applicable local, state and federal law.

Posted 30+ days ago

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Great Falls Pre-Release CenterGreat Falls, Montana
Benefits: 401(k) 401(k) matching Bonus based on performance Competitive salary Dental insurance Free food & snacks Health insurance Opportunity for advancement Paid time off Profit sharing Training & development Vision insurance Great Falls Pre-Release Services, Inc. Position : Compliance Officer Job Classification : Non-Exempt Reports To : Compliance Officer Supervisor; Compliance Officer – Shift Manager Supervises : Residents, Jail Alternative Clients, Visitors (during shift). Position Scope : Up to 90 Residents participating in a Residential Re-Entry Program. Position Summary : The Great Falls Pre-Release Center is a non-profit Community Corrections worksite consisting of three Counseling campuses. The campuses are minimum security and residential in nature, housing closely screened and selected for program acceptance, adult male and female felon offenders during their structured transition program for re-entry into the community. The Centers also operate a Jail Alternative program for adult male/female clients and a Community Service program involving adjudicated males and females. Compliance Officer (CO) is responsible for the safe, efficient and effective operation of the Pre-Release Center to include para-professional social services duties in support of Correctional Treatment Specialists and their assigned residents. The CO will be required to work as necessary at any one of the three facilities. Key Responsibilities and Duties : 1. Perform accountability of residents/clients’ whereabouts through head counts, walk throughs, pass checks and employment checks. This shall include clients on electronic monitoring where necessary. 2. Maintain security and safety in the Center within the scope of assigned functions including the performance of random room and area inspections to insure against the existence of contraband on the Center premises. 3. Thoroughly in-process/out-process Residents. Conduct periodic urinalysis and breath-testing of residents and clients. Take fingerprints and photos of new residents and clients entering the Center. 4. Handle emergency situations as required including walkaway’s, suicide or other life or safety concerns. Issue warnings and prepare disciplinary reports of incidents that may occur during the shift. 5. Prepare and update duty rosters assigning household duties to residents on a weekly basis and assign additional duties as required. Supervise and perform follow-up on completeness of required resident duties on a daily basis. Make computer or Log entries to properly document daily activities including all resident and client sign in/out procedures. 6. Report behavior changes or incidents to senior staff. Provide crisis intervention, as required, to maintain orderly operation of the Center. Maintain control and monitor the proper dosage of both prescription and non-prescription drugs and medication. 7. Advise Correctional Treatment Specialist staff of important client related issues such as changes in medications, mood swings or obvious attitude disorders which may affect their ability to properly complete their program while assigned to the Center. 8. Oversee daily activities of residents and clients of the Center. Assist in treatment of residents by monitoring and supporting established treatment program. Assist in orientation and training of new employees, residents, interns and volunteers. 9. Responsible for receiving and accounting for monies turned into the Center by residents or clients of the Center. Provide transportation as required. Make authorized purchases on behalf of the Center. Provide inputs to the CO Shift Leader which may lead to changes in policy or procedures. 10. Complete other duties as may be requested or assigned. Qualifications and Skills : · High School graduate or equivalent. · Must meet all basic criteria of a Compliance Officer. · Must possess basic understanding in techniques of interpersonal relations with ability to establish, understand and be sensitive to resident needs. · Skills and experience working with the incarcerated and in re-entry work. Able to lead others in the performance of assigned duties. · Ability to learn, understand and enforce security procedures, rules and policies, follow instructions and problem solve. · Effective verbal and written communication. Good organizational and time management skills. Compensation: $17.98 - $18.95 per hour The Transition Center is designed as a structured pre-release program for adult male and female offenders who are within 24 months of parole eligibility or one year of discharge date. It allows residents participating in the program to re-integrate into the community while learning necessary life skills to maintain a crime-free lifestyle. The Center allows residents a period of time to establish employment and/or training, establish budgeting and money management skills, begin a savings plan, find housing and participate in counseling relevant to specific areas to aid in their transition into the community. The Transition Center has a five-phase program beginning at the orientation level. Each phase has a minimum time frame of participation with graduated levels of responsibility. The resident assumes his/her own case goals as they progress through the program. The Transition Center opened its doors as a male pre-release facility in March of 1984. At that time, the Center utilized the main floor for office space, kitchen and dining facilities, and a lounge area. the upper floor was used for living quarters. In 1990 the basement of the original facility was remodeled into office space, a conference room, TV room, hobby room and additional restroom facilities. In 1993 the Center undertook a major expansion which more than doubled the capacity and usable space in the Center. A women's program was added in October of 1996 with the purchase and renovation of building adjacent to the existing facility. In 1997 an expansion project involving the women's facility provided for an increase in service rooms and greater flexibility in programming. In 1998 the men's facility added to the wing completed in 1993 by extending that area to the South and increasing the Center by another 7500 square feet. Throughout the years, the Transition Center has taken pride in its visual improvements to the building and grounds. Landscaping efforts are ongoing as we endeavor to become an appealing addition to the neighborhood.

Posted 2 weeks ago

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Hankey Group ExternalLos Angeles, California
Los Angeles, CA | Onsite | Legal/Compliance Knight Insurance Company, a leading provider of Property and Casualty (P&C) insurance, is committed to providing comprehensive and reliable coverage solutions. We pride ourselves on maintaining the highest standards of compliance with both state and federal regulations. We are looking for a highly motivated and detail-oriented Compliance Manager to join our dynamic team. The Compliance Manager will play a critical role in ensuring that Knight Insurance Company adheres to all necessary regulatory requirements. The candidate will be responsible for maintaining the company’s licenses, coordinating with vendors and partners, and ensuring compliance with both state and federal regulations. This position requires hands-on involvement in compliance audits, maintaining updated ISO filings, and negotiating with vendors when necessary. The ideal candidate should have experience in the P&C insurance industry and a strong understanding of compliance functions. Pay Range: $70,000- $100,000 Per Year. The exact starting compensation to be offered will be determined at the time of selecting an applicant for hire and will be dependent on a wide range of factors, including but not limited to geographic location, skill set, experience, education, credentials, and licensure when applicable. What you'll do as a Compliance Manager: Regulatory Compliance: Stay updated with and ensure compliance with various state and federal regulations related to the P&C insurance industry. Licensing Management: Maintain and track all necessary licenses for Knight Insurance Company, ensuring they are renewed on time. Vendor and Partner Coordination: Collaborate with Knight’s vendors and partners to ensure compliance with all contracts and regulatory requirements. Assist in negotiating and managing vendor relationships as needed. ISO Filings: Oversee and manage ISO filings, ensuring they are accurate and up-to-date. Compliance Audits: Prepare and assist with internal and external audits by state and federal authorities to ensure Knight Insurance’s operations are compliant with all laws and regulations. Administrative Support: Perform administrative tasks related to compliance, including organizing and maintaining compliance documentation, tracking deadlines, and assisting in the development of compliance reports. Training and Education: Provide training and guidance to staff on compliance-related topics and regulations to ensure company-wide adherence to best practices. Experience and Qualifications What we look for in our Compliance Manager: Bachelor's degree in Business, Finance, Insurance, or a related field. Minimum of 3 years of experience in compliance management within the Property & Casualty (P&C) insurance industry. Strong knowledge of state and federal insurance regulations. Experience pulling and managing ISO filings. Proven ability to coordinate and negotiate with vendors, including contract management. Familiarity with insurance compliance audits by state and federal authorities. Strong analytical and problem-solving skills. Excellent organizational and multitasking abilities with strong attention to detail. Ability to work independently and as part of a team in a fast-paced environment. Strong written and verbal communication skills. Proficient in Microsoft Office Suite, compliance management software, and other relevant tools. Preferred Qualifications/Experience: Compliance certifications (e.g., ACP, CCP, MCM, AMCM, or similar) are a plus. Previous experience working in an in-office environment. Benefits and Perks What we offer: Competitive salary and performance-based bonuses. Opportunities for professional development and growth within the company. Medical, Dental, and Vision benefits. Additional benefits such as Life Insurance, LTD and Flexible Spending Account 401K plan and Employee Stock Ownership Program (plus company matching Metro-link Reimbursement Career Path Opportunities Onsite Yoga and Pilates Onsite Gym Gym Membership Discounts with Active & Fit Discount Tickets with Tickets at Work AT&T Wireless Discounts Car Rental Discounts Dell Member Purchase Program UKG Wallet (access to your paycheck before payday) If you are an experienced compliance professional looking to make an impact at a respected insurance company, Knight Insurance Company offers a challenging and rewarding opportunity. We look forward to welcoming a dedicated and proactive Compliance Manager to our team!

Posted 30+ days ago

Compliance Specialist-logo
UsicIndianapolis, Indiana
Job Description: Location: Indianapolis, IN Company Overview Performing over 80 million locates annually, USIC is the most trusted name in underground utility damage prevention. USIC also provides a full suite of utility services throughout North America. Our Mission: to deliver quality, efficient, safe, and innovative solutions to protect our partners’ infrastructure and critical assets. Our Culture is known as Living the SAFE-LIFE: Protecting Infrastructure, Protecting Our Communities, Protecting Ourselves. Summary The Compliance Specialist is responsible for performing administrative duties on a professional level and works closely with the leadership of the Compliance and Legal department. This position supports compliance with federal, state, and local regulations, as well as company policies. Responsibilities Complete the DOT drug and alcohol history check process for new hires. Run, track, and adjudicate motor vehicle reports (MVRs) as directed. Respond to DOT employment verification requests, in compliance with DOT regulations. Communicate with third party compliance vendors. Assist with compliance documentation and tracking. Assist with compliance data audits. Monitor I-9 reverifications and I-9 receipt updates, ensuring timely completion. Support the Compliance and Legal department with day-to-day administrative tasks. Assist department leadership with special projects requiring confidentiality and discretion. Other duties as needed. Requirements Bachelor’s degree in Business Administration, Human Resources, Paralegal Studies or related field preferred. Strong interpersonal and communication skills. Ability to thrive and remain flexible in a fast-paced environment while navigating a large multi-site, decentralized organization. Basic computer skills; proficient in Microsoft Office Suite. Strong attention to detail and organizational skills. Strong verbal and written communication skills. High integrity and the ability to handle confidential and sensitive matters. We are an Equal Opportunity Employer. Veterans are encouraged to apply.

Posted 4 weeks ago

Senior HSE Compliance Coordinator - Micon Group, Inc.-logo
Michels CorporationChicago, Illinois
As one of the largest, most diversified utility contractors in North America, MICON Group, Inc. has been unlocking the potential of infrastructure and transportation construction for six decades. Our operational crews depend on support from our in-house experts to advance critical infrastructure projects. At every turn we consider safety, social and environmental responsibility, and the health and wellbeing of our people and the communities in which we work. The safety of our people, our contractors, our customers, the environment, and the communities in which we work, is our highest core value. We strive to make a difference in positive, respectful, and responsible ways. Our work improves lives. Find out how a career as a Senior HSE Compliance Coordinator can change yours. As a Senior HSE Compliance Coordinator, your responsibilities include developing and executing comprehensive compliance programs that are tailored to each company, aiding each company and serving as a resource for any compliance questions or concerns, and promoting a safe and healthy work environment. Critical for success is the ability to work independently and strong attention to detail while working in a fast-paced environment, as well as strong written and verbal communication skills. Why MICON Group, Inc.? We are consistently ranked among the top 10% of Engineering News-Record’s Top 400 Contractors Our steady, strategic growth revolves around a commitment to quality We are family owned and operated We invest an average of $5,000 per employee on training each year We offer a comprehensive benefits package, including health, dental and vision, competitive paid time off plans and much more! We reward hard work and dedication with limitless opportunities We believe it is everyone’s responsibility to promote safety, regardless of job titles. Michels offers a comprehensive benefits program, subject to eligibility requirements, including medical insurance, dental insurance, life insurance, flexible spending accounts, health savings account, short-term and long-term disability insurance, 401(k) plan, legal plan, and identity theft and monitoring plan. 15 to 25 days of paid time off and 8 paid holidays annually. Why you? You like to surround yourself with dedicated, value-driven people You believe there is a solution to every challenge – and you can find it You understand the importance of small details on large projects You like to know your efforts are noticed and appreciated You want to make your own decisions, but know support is always available You want to work to make a difference in people’s lives You are a well-rounded safety professional who has overseen various types of construction projects, i.e.: civil, trenchless, marine, etc. What it takes? 5+ years of experience within a construction safety role 2+ years of experience with construction safety management OSHA 500 certification Frequent national travel, nearly 75%, which may include extended duration, is required. Must have the ability to commit to long term onsite projects. Must possess a valid driver's license for the type of vehicle which may be driven and an acceptable driving record Previous experience working with the Army Corp of Engineers and/or on municipal projects (desired) MSHA experience (desired) This information reflects the anticipated base salary for this position based on current market data. Minimums and maximums may vary based on location. Actual pay will be adjusted based on individual’s skills, experiences, education, and other job-related factors permitted by law. Expected Salary Range $86,000 — $118,000 USD AA/EOE/M/W/Vet/Disability https://www.michels.us/website-user-privacy-policy/

Posted 1 week ago

In-House Legal Counsel, Compliance -logo
CapstoneWashington, DC
The In-House Legal Counsel (Compliance) is responsible for supporting and managing the firm’s compliance program to ensure adherence to legal and regulatory standards. In addition, this role will also collaborate closely with leadership and advise on corporate, commercial, employment, and regulatory matters.   Responsibilities    Support and manage compliance processes and programs, ensuring adherence to laws, regulations and firm policies   Identify compliance program gaps, assess risk, design and implement controls, and report to leadership   Serve as a subject matter expert for compliance programs and provide guidance to business teams   Provide legal advice on other corporate, commercial, employment and regulatory matters.    Collaborate with Finance, HR and other departments to ensure control effectiveness   Develop and deliver risk-based training to strengthen awareness of regulatory and ethical standards   Monitor regulatory changes and update internal policies and procedures accordingly   Respond to regulatory inquiries and lead internal investigations when needed   Continuously improving compliance workflows, using data and insights to drive enhancements   Review, negotiate, and advise on client and vendor contracts, NDAs, and other commercial agreements     Requirements    Over 5 years of experience in compliance, risk management, or related areas   Juris Doctor (JD) degree from an accredited law school          Must have successfully passed the FINRA Series 14 exam, or be willing to take and pass the exam within the first 60 days of employment                                                  Excellent communication skills, written and verbal                                                                                      Self-motivated, highly organized, articulate, detail oriented and hard working   Deep understanding of regulatory frameworks and industry best practices   Ability to communicate complex compliance topics clearly and effectively   A solutions-oriented mindset with a focus on continuous improvement     Capstone is a leading Washington, DC-based policy analysis and regulatory due diligence firm, which advises institutional investors – hedge funds, private equity firms, and mutual funds – and companies on how public policy impacts investments, companies and business decisions. Our firm balances sophisticated policy and investment analysis in the healthcare, financial services, energy, TMT, and national security/defense sectors, and advises some of the largest and most sophisticated institutional investors and companies in the U.S. and Europe.   Capstone offers a competitive benefits package, including health, vision, dental insurance, paid vacation, travel stipend and 401(k). The expected compensation for this role will be $150,000-$170,000 per annum with eligibility in Capstone's annual bonus pool.   This position may be based in our Washington, DC or Houston office. Capstone is in-person Monday through Thursday with flexible work from home Fridays.   We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.     We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.

Posted 30+ days ago

Sr. Product Compliance Engineer, RF/EMC/Wireless (Starlink)-logo
SpaceXBastrop, TX
SpaceX was founded under the belief that a future where humanity is out exploring the stars is fundamentally more exciting than one where we are not. Today SpaceX is actively developing the technologies to make this possible, with the ultimate goal of enabling human life on Mars. SR. PRODUCT COMPLIANCE ENGINEER, RF/EMC/WIRELESS (STARLINK) SpaceX is leveraging its experience building rockets and spacecraft to deploy Starlink, the world’s most advanced broadband internet system. Starlink is the world’s largest satellite constellation providing fast, reliable internet to millions of users worldwide. We design, build, test, and operate all parts of the system – thousands of satellites, consumer receivers that allow users to connect within minutes of unboxing, and the software that brings it all together. We’ve only begun to scratch the surface of Starlink’s potential global impact. As we continue to upgrade and expand the constellation, we’re looking for best-in-class engineers to join the team. Product Compliance Engineers will play a critical role as SpaceX strives to deliver internet to those that need it most. They will drive regulatory efforts, impact internal design decisions, and obtain the product certifications necessary to sell and ship millions of consumer-facing devices. These devices - including Starlink dishes, Wi-Fi routers, power supply, accessories, etc. – are designed and manufactured completely in-house by SpaceX. Engineers on the team will be hands-on, regularly interact with multiple technical disciplines, and ultimately ensure that Starlink is a global success. RESPONSIBILITIES: Own and drive product-level compliance, ensuring all regulatory requirements are met to facilitate global market access, brand protection, and product safety Drive engagement with business groups to incorporate regulatory and certification requirements into product design and ensure their successful execution and compliance Collaborate with engineering teams to generate technical construction files Operate and automate a variety of EMI, RF, and electronics test equipment Develop automation and measurement tools to improve radio testing fidelity and efficiency Drive engagement with external 3rd party test laboratories and oversee compliance testing to applicable domestic and international standards Become an advocate of new compliance initiatives working with internal or external partners BASIC QUALIFICATIONS: Bachelor’s degree in an engineering, math, chemistry, or physics discipline 5+ years of professional experience in compliance engineering of consumer electronics, industrial equipment, or information technology equipment (RF, safety, EMC, wireless, or environmental compliance) PREFERRED SKILLS AND EXPERIENCE: 8+ years of experience managing product technical requirements, scope, schedule, or cost 5+ years of experience, including WiFi or Radio/RF compliance, analysis, design, and testing Experience with CISPR/FCC radio and EMC standards and requirements Familiarity with U.S., Canadian, EU, and other international regulatory requirements and standards Experience with NRTL, NEC, NFPA, IEC, and CB Scheme and other safety requirements and regulations Experience with FCC, ISED, ETSI, and other international requirements for radio products Experience with RoHS, REACH, WEEE, Prop 65, and other environmental requirements and regulations Demonstrated ability to work in a highly cross-functional role Outstanding project management skills Excellent communication skills both written and verbal ITAR REQUIREMENTS: To conform to U.S. Government export regulations, applicant must be a (i) U.S. citizen or national, (ii) U.S. lawful, permanent resident (aka green card holder), (iii) Refugee under 8 U.S.C. § 1157, or (iv) Asylee under 8 U.S.C. § 1158, or be eligible to obtain the required authorizations from the U.S. Department of State. Learn more about the ITAR here .   SpaceX is an Equal Opportunity Employer; employment with SpaceX is governed on the basis of merit, competence and qualifications and will not be influenced in any manner by race, color, religion, gender, national origin/ethnicity, veteran status, disability status, age, sexual orientation, gender identity, marital status, mental or physical disability or any other legally protected status. Applicants wishing to view a copy of SpaceX’s Affirmative Action Plan for veterans and individuals with disabilities, or applicants requiring reasonable accommodation to the application/interview process should reach out to  EEOCompliance@spacex.com . 

Posted 30+ days ago

Regulatory Compliance Analyst-logo
SpaceXBastrop, TX
SpaceX was founded under the belief that a future where humanity is out exploring the stars is fundamentally more exciting than one where we are not. Today SpaceX is actively developing the technologies to make this possible, with the ultimate goal of enabling human life on Mars. REGULATORY COMPLIANCE ANALYST SpaceX is seeking to hire a Regulatory Compliance Analyst to support its Starlink satellite internet business with telecommunications regulatory compliance requirements in 150 markets around the world (and growing). Starlink uses a constellation of low Earth orbit satellites to deliver high-speed, low-latency broadband internet worldwide. As a Regulatory Compliance Analyst, you will play a key role in ensuring the company meets constantly evolving telecommunications regulatory requirements. RESPONSIBILITIES: Assist with the compilation and delivery of regulatory reports in over 150 markets worldwide Create pipelines, tools, programs, and automation to combine data from multiple internal sources for efficient retrieval of data for regulatory reports and archiving/recordkeeping Research relevant regulations issues around the world, including by coordinating research processes, managing internal data repositories, and completing other project management tasks Transform complex, voluminous data about Starlink customers and business operations into succinct, user-friendly statistics to be shared with global telecom regulators and into dashboards/tools for use within the organization BASIC QUALIFICATIONS: Bachelor’s degree 3+ years of experience related to regulatory compliance, including for example at a telecommunications company, law firm, international consulting firm, financial institution, energy company or other regulated business PREFERRED SKILLS & EXPERIENCE: Experience within the telecommunications industry Strong project management, organization, and time management skills Exceptional ability to work in a fast-paced environment and to communicate effectively with internal stakeholders about regulatory requirements Technical skills to develop and maintain data systems for regulatory reporting, including Python automation, data processing and API requests, writing efficient SQL queries, Extract Transform Load experience for data integration, developing API endpoints, advanced Excel and PowerBI GIS Mapping skills with QGIS software or similar International experience with foreign language competency Start-up, consulting, or other demonstrated experience in rapidly changing environment ADDITIONAL REQUIREMENTS: This position is based in Bastrop, TX, and requires being onsite - remote work not considered Must be willing to work extended hours and/or weekends as needed   ITAR REQUIREMENTS: To conform to U.S. Government export regulations, applicant must be a (i) U.S. citizen or national, (ii) U.S. lawful, permanent resident (aka green card holder), (iii) Refugee under 8 U.S.C. § 1157, or (iv) Asylee under 8 U.S.C. § 1158, or be eligible to obtain the required authorizations from the U.S. Department of State. Learn more about the ITAR here .   SpaceX is an Equal Opportunity Employer; employment with SpaceX is governed on the basis of merit, competence and qualifications and will not be influenced in any manner by race, color, religion, gender, national origin/ethnicity, veteran status, disability status, age, sexual orientation, gender identity, marital status, mental or physical disability or any other legally protected status. Applicants wishing to view a copy of SpaceX’s Affirmative Action Plan for veterans and individuals with disabilities, or applicants requiring reasonable accommodation to the application/interview process should reach out to  EEOCompliance@spacex.com . 

Posted 5 days ago

Associate Compliance Analyst-logo
AXSLos Angeles, CA
  AXS connects fans with the artists and teams they love. Each year we sell millions of tickets to thousands of incredible events – from concerts and festivals to sports and theater – at some of the most iconic venues in the world. Since our founding in 2011, we’ve consistently pushed the industry forward and improved experiences for fans, making it easier than ever to discover events, find the perfect seats, and enjoy unforgettable live entertainment, and we continue to lead the evolution of our industry today. We’re passionate about improving the fan experience and providing game-changing solutions for our clients, and we’re always looking for smart, motivated people to help make it happen. Bring your enthusiasm, your big ideas, and your desire to team up with some of the best and brightest in technology and entertainment.   The Role Our new Associate Compliance Analyst will supports organizational compliance by evaluating internal processes, updating policies, conducting reviews, and ensuring adherence to regulatory standards. This role involves cross-departmental communication, report preparation, and contributing to ongoing process improvement initiatives. What Will You Do? Evaluating internal operational and procedural compliance. Analyzing and updating existing compliance policies and related documentation. Communicating compliance policies and guidelines to Management and designated departments. Prepares reports by collecting, analyzing, and summarizing information. Maintains quality service by establishing and enforcing organization standards. Daily 10 Remain current on field by attending classes, reading publications, talking with peers and joining professional groups, thereby remaining up-to-date on regulatory changes. Contribute to team effort through compliance. Perform internal reviews to ensure that all policies and procedures are implemented properly. Assist with external inquiries or audits. Make suggestions for process improvement. What Will You Bring? 1+ years of experience in an auditing, compliance or related role Familiarity with industry compliance requirements and standards (e.g. SOC 1, SOC 2, PCI, GDPR, WCAG, CCPA) Understanding of risk assessment and mitigation Ability to maintain compliance policies, procedures, and related documentation. Functional analytical, technical, and investigative skills. Exceptional interpersonal skills. Strong written and verbal communication skills Strong critical thinking skills and drive for self-initiative, team player, a self-starter and flexible Ability to build and maintain strong working relationships. Detail-oriented and deadline-driven, with a commitment to producing accurate work. Proficiency in Excel (e.g., formatting, and data organization, VLOOKUPs and pivot tables). Proficiency with Excel Macros preferred Ability to develop audit dashboards a plus Pay Scale:   $23.17 - $28.85 Bonus:  This position is not eligible for a bonus under the current bonus plan requirements. Benefits: Full-time:  We offer a comprehensive benefits package that includes: medical, dental and vision insurance, paid holidays, vacation and sick time, company paid basic life insurance, voluntary life insurance, parental leave, 401k Plan (with a current employer match of 3%), flexible spending and health savings account options, and wellness offerings.   What’s in it for You? Extraordinary People  – we’re not kidding! Meaningful Mission  – Helping revolutionize an industry and deliver better experiences for fans and clients around the world. Development & Learning  – Opportunities for learning and leveling up through training and education reimbursement. Community & Belonging  – A range of Employee Resource Groups (ERGs) that foster connection, inclusion, and professional growth. Access to meaningful volunteer opportunities and community engagement programs to make a positive impact beyond the workplace.     More about AXS AXS , a subsidiary of  AEG , sells millions of tickets each year for over 500 premier venues, sports teams, and event organizers across North America, Europe, Asia, Australia and New Zealand. Clients include First Avenue, USGA, Red Rocks Amphitheatre, Crypto.com Arena, Coachella, Stagecoach, The O2, and B.League (Japan). Headquartered in Downtown Los Angeles, California, AXS employs more than 500 professionals in multiple locations worldwide. In each location you’ll find a team of dedicated, diverse employees (we’ve dubbed ourselves “Fanatix”) who create groundbreaking products and services in a fun, fast-paced environment.  To learn more about our culture and values, visit:  https://solutions.axs.com/careers/   More about AEG For more than 20 years, AEG has played a pivotal role in transforming sports and live entertainment. Annually, we host more than 160 million guests, promote more than 10,000 shows and present more than 22,000 events around the world. We are committed to innovation, artistry, and community, and leverage the power of our 300+ venues, leading sports franchises, marquee music brands, integrated entertainment districts, premier ticketing platform and global sponsorship activations, to create memorable moments that give the world reason to cheer. Our business is interwoven with the human mind and heart, and we strive to build a diverse and inclusive company that reflects the artists, athletes, and fans that we host; reach beyond traditional boundaries to support the communities in which we operate; and minimize our impact on the environment by adopting sustainable practices throughout our business operations. We are dedicated to a diverse, inclusive and authentic workplace, so if you’re excited about this role but can't "check every box" in the job description, we encourage you to apply anyway. You may be the right candidate for this or other roles. We’re an equal opportunity employer and never discriminate based on gender, age, race, religion, color, national origin, sexual orientation, marital status, veteran status, or disability status.  AEG reserves the right to change or modify the employee’s job description whether orally or in writing, at any time during the employment relationship.  AEG may require an employee to perform duties outside their normal description.   #-LI-Onsite  

Posted 2 weeks ago

Rho logo

Marketing Compliance Manager

RhoSalt Lake City, Utah

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Job Description

About Us

Rho is the all-in-one banking platform for startups and the accountants who support them. With banking set up in minutes, 2% cashback cards, and powerful tools for managing spend, paying bills, and closing the books, Rho helps high-growth startups move fast and stay focused—with support that goes to the ends of the earth to help you win.

About the Role

We’re looking for an experienced, hands-on Marketing Compliance Manager to help build out our existing marketing compliance program and ensure Rho's advertising and promotional activities adhere to legal and regulatory standards and internal policies. This role involves reviewing marketing materials, monitoring campaigns for compliance risks, and providing guidance on relevant regulations. This person will have significant contact with Executives and Cross-functional colleagues, and ensure that Rho is compliant with all U.S. banking regulations and company policies and procedures.

Responsibilities

  • Reviewing and approving marketing materials for accuracy, clarity, and compliance with regulations for all Rho products and services

  • Developing and maintaining a central repository for all disclosures for all products and services

  • Conducting audits of marketing activities to ensure compliance

  • Developing and delivering training programs on marketing compliance

  • Investigating complaints related to marketing practices

  • Managing marketing compliance, technology, and systems

  • Assisting with the development of marketing compliance policies and procedures

  • Working with external counsel on legal and regulatory matters

Qualifications

  • 5+ years managing a similar compliance function with a strong, “SME status” understanding and focus on Marketing and Treasury regulations within the banking, fintech, or financial services industry

  • Deep knowledge of Investment Advisers Act of 1940, SEC Marketing Rule 206(4)-1, Form ADV compliance, and Books and Records Rule 204-2, with hands-on experience navigating SEC examinations and enforcement actions

  • Expertise in performance advertising regulations, disclosure requirements, and time-weighted return calculations for registered investment advisor marketing materials and client communications

  • Strong understanding of marketing regulations and laws, such as advertising standards, data privacy regulations, and consumer protection laws related to checking accounts, savings accounts, Treasury products, etc.

  • Experience collaborating on decisions and solutions with a team of marketing professionals and working with Executives and Cross-functional stakeholders to drive solutions

  • Ability to lead from the front and execute in a fast-paced environment

  • Excellent communication and interpersonal skills

  • Analytical and problem-solving skills

  • Ability to work independently and as part of a team

  • Attention to detail and strong organizational skills

  • Experience in marketing, legal, or compliance roles is preferred

  • Excellent analytical skills with the ability to identify issues, analyze data, and make sound recommendations

  • Highly detail-oriented with strong organizational skills

  • Ability to meet strict regulatory requirements while balancing product and customer experience

Our people are our most valuable asset. The salary range for this role is $108,000 - $182,000. Title and base salary may vary depending on relevant experience, skills, geographic location, and business needs. In addition to base pay, Rho offers equity, healthcare benefits, and paid time off.

Diversity is a core value at Rho. We’re passionate about building and sustaining an inclusive and equitable environment for all those involved with our mission, including employees, contractors, candidates, customers, and vendors. We believe every member of the Rho community enriches our ability to provide a broad range of ways to understand and engage with the market, identify problems, and drive solutions that align with our mission. We welcome all qualified applications and support each of our Rho’ers with ongoing professional growth opportunities.

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