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LPL FinancialCharlotte, California
$117,225 - $195,375 / year
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: We are seeking an experienced Assistant Vice President who understands the regulatory expectations of the financial services sector, and can demonstrate success in leading regulatory readiness, inquiries, exams, remediation plans and actions across technology and cybersecurity. This position requires strong partnership across legal, compliance and risk with the ability to converse with technology and cybersecurity subject matter experts. Responsibilities: Coordinate regulatory activities with key stakeholders including exam readiness, attestation readiness, evidence collection, controls testing, findings and remediation, and reporting. Operate across governance risk and compliance team to ensure alignment relative to regulatory requirements and commitments which impact policy, risk remediation timelines, awareness activities, risk assessments, and third-party due diligence. Prepare readiness packages, liaison with technology and cybersecurity leaders to understand updated roadmaps and issues, and work with subject matter experts to draft and validate current understanding across the LPL technology and cybersecurity landscape and respond to external inquiries. Manage remediation timelines, reporting, and activities for findings that impact regulatory compliance. Lead other activities as required including regulatory mapping, policy review, and training. Promote a risk aware culture, ensure efficient and effective risk and compliance management practices by adhering to required standard and processes and seeking opportunities to optimize. Lead, mentor, and manage team members What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: Bachelor’s degree in Business, Technology, Cybersecurity or related field 7+ years' experience successfully operating in a governance or compliance role within cybersecurity and/or technology for a highly regulated firm Strong understanding of SOC2, 23 NYCRR 500, FINRA, SEC and demonstrated experience successfully leading regulatory activities Ability to partner across technology, cybersecurity, audit, legal, compliance, and risk towards joint outcomes Core Competencies: Strong interpersonal and presentation skills, with the ability to convey complex technical concepts to business stakeholders Detailed oriented with strong project management and problem-solving skills Proven ability to develop team competencies and skills Experience with Archer, JIRA, Service Now, Confluence Preferences: Experience working in a financial services environment Previous experience adopting and refining regulatory readiness practices including drafting responses to regulatory and third party inquiries about technology and cybersecurity programs and capabilities Demonstrated experience in driving remediation efforts to close regulatory or internal audit findings which impact regulatory compliance to closure involving multiple stakeholder groups Strong collaboration, bringing in the right people to holistically problem solve while connecting dots to potential systemic issues, dependencies, etc. Related technical experience in cybersecurity, product, or technology #LI-Hybrid Pay Range: $117,225-$195,375/yearActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com . Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947. EAC1.22.25
Posted 4 days ago
Floor Interior Services, CorpTampa, Florida
Benefits: 401(k) 401(k) matching Dental insurance Health insurance Paid time off Vision insurance We’re seeking a Facilities & Properties Compliance Manager to ensure all workrooms and properties operate safely and in full compliance with company policies and regulatory standards. This role oversees workrooms and property inspections, documentation, and compliance with safety regulations, and leases requirements. The Facilities & Property Compliance Manager will also be responsible for communicating with tenants and landlords regarding requests, rent payments, insurance documentation, maintenance requirements, and compliance-related updates. This position will be the primary point of contact between the corporate office, tenants and landlords to ensure adherence to all lease and safety obligations. Key Responsibilities: Monitor compliance with local, state, and federal regulations: Osha Coordinate inspections, audits, and maintenance schedules to ensure facilities & Properties remain in good standing. Communicate with tenants regarding rent, insurance certificates, maintenance schedules, and policy updates. Maintain accurate records of inspections, permits, and compliance documentation. Train the Operations team on compliance and safety procedures. Design and lead the company safety program, Assist with lease enforcement and ensure all properties & workrooms meet contractual and operational standards. Qualifications: 2+ years of experience in property or facilities compliance, maintenance coordination, or property management. Strong understanding of safety standards, and lease compliance. Excellent communication and organizational skills. Proficiency in Microsoft Office. Strong analytical and problem-solving skills. Ability to manage multiple sites or projects simultaneously. Working Conditions: Primarily office-based with frequent site visits to facilities. Requires frequent travel between company locations. Must be available for audits, emergencies, or inspections as needed. Compensation: $50,000.00 per year We are an equal opportunity employer and 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. Would you like to be part of a team that helps people love where they live? Come join us at Floor Interior Services. We have been in business for over 10 years while striving to set the industry standards in customer service by providing a quality installation experience to thousands of customers each year.Our value statement is "Get better every day, help others along the way". Come be part of a team where you can make a difference...
Posted 3 days ago
Sentara HospitalsNorfolk, Virginia
City/State Norfolk, VA Work Shift First (Days) Overview: Sentara Health is seeking to hire a qualified individual to join our team as a Manager of Regulatory Compliance and Education - Home Health/Hospice . Position Status: Full Time Position Location: Sentara Home Care/Hospice Services, Hampton Roads, VA Overview The Home Health/Hospice Manager of Regulatory Compliance and Education will oversee the development, implementation, and monitoring of policies and procedures to ensure adherence to federal, state, and accreditation standards. This role also leads comprehensive staff education and competency initiatives, ensuring clinical teams are well-informed on regulatory updates, best practices, and quality improvement strategies. By fostering a culture of compliance and continuous learning, the manager supports safe, effective, and compassionate care delivery across our home health and hospice services. Education Bachelor's Degree (Required) Certification/Licensure No specific certification or licensure requirements Experience 3+ years of experience with Regulatory Management and Education 3+ years of experience with Quality or Population Health Previous supervisory experience Previous experience with Hospice/Home Health Previous experience with Process Improvement Keywords: Regulatory, Compliance, Education, Home Health, Hospice, Indeed Benefits: Caring For Your Family and Your Career • Medical, Dental, Vision plans • Adoption, Fertility and Surrogacy Reimbursement up to $10,000 • Paid Time Off and Sick Leave • Paid Parental & Family Caregiver Leave • Emergency Backup Care • Long-Term, Short-Term Disability, and Critical Illness plans • Life Insurance • 401k/403B with Employer Match • Tuition Assistance – $5,250/year and discounted educational opportunities through Guild Education • Student Debt Pay Down – $10,000 • Reimbursement for certifications and free access to complete CEUs and professional development •Pet Insurance •Legal Resources Plan•Colleagues have the opportunity to earn an annual discretionary bonus if established system and employee eligibility criteria is met. Sentara Health is an equal opportunity employer and prides itself on the diversity and inclusiveness of its close to an almost 30,000-member workforce. Diversity, inclusion, and belonging is a guiding principle of the organization to ensure its workforce reflects the communities it serves. In support of our mission “to improve health every day,” this is a tobacco-free environment. For positions that are available as remote work, Sentara Health employs associates in the following states: Alabama, Delaware, Florida, Georgia, Idaho, Indiana, Kansas, Louisiana, Maine, Maryland, Minnesota, Nebraska, Nevada, New Hampshire, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
Posted 1 day ago
Euronet Worldwide, Inc.Denver, CO
Euronet facilitates the movement of payments around the world and serves as a critical link between our partners – financial institutions, retailers, service providers – and their end consumers, both locally and globally. We are seeking an experienced Internal Audit Manager – Regulatory Compliance to join our Corporate Internal Audit team. This role plays a critical part in evaluating compliance risks, assessing internal controls, and ensuring adherence to regulatory requirements across Euronet’s global operations. The ideal candidate will bring a strong background in regulatory compliance, audit methodology, and risk management, paired with the ability to build strong partnerships with business leaders and stakeholders. The ideal candidate is a seasoned audit professional with proven people management skills and the ability to partner effectively with executives, external auditors, and regulators. This hybrid role can be based in our Leawood, KS, Denver, CO or Las Vegas office. Identify and analyze internal and external information to monitor and evaluate regulatory compliance risks. Contribute to the planning, execution, and reporting of the company’s Regulatory Compliance Audit Program in close collaboration with business process owners, the corporate controlling team, and external auditors. Drive the identification and assessment of compliance risks and evaluate the design and effectiveness of internal control frameworks across the organization. Execute all phases of the Compliance Audit Program, including risk assessment, scoping, planning, process walkthroughs, control identification, control testing, and reporting. Prepare and deliver accurate, concise, and timely audit reports with clear findings, impact assessments, and actionable recommendations. Partner with process owners to ensure timely remediation and perform follow-up testing for identified compliance exceptions. Provide quarterly updates to executive management on the status of compliance control evaluations and audit findings. Build and maintain strong relationships with internal and external stakeholders to support compliance activities and foster a culture of accountability. Assist with ad hoc operational reviews, process assessments, internal investigations, and management requests. Requirements Bachelor’s degree in Accounting, Finance, Business Administration, or related field (Master’s degree preferred). 7+ years in Internal Audit or regulatory Compliance for a bank or financial services organization. Familiar with Anti-Money Laundering (AML), Financial Terrorism, and Regulatory compliance. Certifications in AMLOC, Certified Fraud Examiner (CFE), CIA. Strong knowledge of regulatory frameworks and compliance requirements applicable to financial services and payments. Demonstrated experience leading compliance audits and internal control reviews. Excellent analytical, problem-solving, and risk assessment skills. Strong written and verbal communication skills with the ability to present complex findings to executive stakeholders. Proven ability to manage multiple priorities in a global, fast-paced environment. High ethical standards, professional judgment, and strong attention to detail. Ability to travel domestically and internationally up to 20% (more if desired). Benefits 401(k) Plan Health/Dental/Vision Insurance Employee Stock Purchase Plan Company-paid Life Insurance Company-paid disability insurance Tuition Reimbursement Paid Time Off Paid Volunteer Days Paid Holidays Casual Office Attire Plus many more employee perks & incentives! We are an Equal Opportunity Employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, or national origin, age, disability status, genetic information, protected veteran status, or any other characteristic protected by law.
Posted 30+ days ago
HR Force InternationalReston, VA
We are seeking an experienced Head of Forex Compliance with a proven background in RegTech and IDV to join our growing team at Programmers Force. In this role, you will manage compliance frameworks specific to the forex and trading sectors. Key Responsibilities: Develop compliance programs for forex and trading clients. Ensure adherence to AML, KYC, MiFID II, and financial market regulations. Advise clients on regulatory changes impacting forex trading. Collaborate with Product and Sales to adapt solutions for forex compliance. Liaise with regulators and industry stakeholders. Requirements 8+ years of compliance experience in forex or trading. Strong knowledge of AML, KYC, and global financial regulations. Proven ability to manage compliance programs across multiple regions. Excellent communication and advisory skills.
Posted 30+ days ago
HR Force InternationalMcLean, VA
We are seeking an experienced Compliance Manager for APAC with a proven background in RegTech and IDV to join our growing team at Programmers Force. In this role, you will oversee compliance frameworks across multiple APAC markets. Key Responsibilities: Manage compliance programs in APAC countries (Singapore, Australia, India, etc.). Ensure adherence to AML, KYC, and regional regulations. Provide compliance advisory to internal teams and clients. Monitor regulatory changes in the APAC region. Requirements 7+ years of compliance experience in APAC markets. Strong understanding of regional regulatory frameworks. Proven success in managing multi-country compliance. Excellent communication and advisory skills.
Posted 30+ days ago
Raymond JamesSt Petersburg, Florida
Job Description Summary We are building a dynamic pipeline of compliance professionals to support current and future needs across our organization. This includes opportunities within Capital Markets, Banking, and Corporate Compliance functions. Ideal candidates will bring a strong understanding of regulatory frameworks, risk mitigation strategies, and operational compliance practices. Whether you're early in your career or a seasoned expert, we offer a collaborative environment where you can grow, contribute, and make a meaningful impact.Compliance professionals in this pipeline will help ensure our business units operate within regulatory guidelines, support the development and execution of compliance programs, and contribute to a culture of integrity and accountability. Job Description Key Responsibilities Depending on level and area of focus, responsibilities may include: Supporting or leading compliance program development, implementation, and oversight across various business units. Assisting in the alignment of compliance processes with central compliance standards and regulatory requirements Conducting compliance exams, testing, monitoring, and reporting, and surveillance activities. Participating in regulatory examinations and internal audits, including preparation and response coordination. Collaborating with internal stakeholders including AML, Compliance, Risk, and Legal to identify and resolve compliance issues. Contributing to the design and delivery of compliance training and continuing education programs. Supporting automation and process improvement initiatives to enhance compliance efficiency. Serving as a liaison for compliance-related committees, projects, and cross-functional initiatives. Advising business units on regulatory changes and risk mitigation strategies. Coaching and mentoring junior compliance staff (for mid-to-senior level roles). Qualifications Knowledge of: Regulatory frameworks including SEC, FINRA, OCC, FDIC, FRB, FFIEC; CFPB and other relevant agencies. Securities and/or banking industry operations and financial products. Risk management principles and compliance monitoring techniques. Skills in: Analytical thinking, researching and problem-solving compliance issues. Effective communication—both written and verbal. Project management and prioritization. Microsoft Office Suite (Excel, PowerPoint, Word); familiarity with compliance systems/tools is a plus. Ability to: Work independently and collaboratively in a fast-paced environment. Prioritizing tasks while adapting to changing regulatory landscapes and business needs. Establish and maintain effective working relationships at all organizational levels Maintain confidentiality and exercise sound judgment. Interpret and apply policies and recommend improvements. Ideal Candidate Profiles We are seeking candidates across the following levels: Entry-Level : Professionals with 1–3 years of experience in compliance, risk, audit, or related fields. Mid-Level : Professionals with 4–7 years of experience, capable of managing projects and mentoring junior staff. Senior-Level : Experts with 8+ years of experience, strategic thinkers who can lead programs and influence compliance culture. Education & Experience Bachelor’s Degree required. Relevant experience in securities, banking, or financial services compliance. Equivalent combinations of education, training, and experience may be considered. Licenses/Certifications None required, though certifications such as CRCM, CAMS, or FINRA Series licenses are preferred. Location & Travel Roles are based in St. Petersburg, Florida (Must be local or have the ability to relocate prior to start date). Travel requirements vary by role and level. 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 sameWork with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mindTake 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 1 day ago
Dpr GpGreenville, Florida
Job Description DPR is seeking a hands-on leader to manage governance, risk, and compliance (GRC) programs that safeguard our data, support regulatory compliance, and enable secure business growth. This role combines strategic oversight with execution, managing a small team of 2 to 4 analysts to develop policies, lead risk assessments, oversee audits, and drive the effectiveness of IT and security controls.The ideal candidate has deep expertise in compliance, privacy, and risk management, with the ability to translate frameworks (e.g., NIST, ISO 27001) into practical business outcomes while fostering a culture of accountability and risk awareness. Key Responsibilities Develop and maintain enterprise policies for IT, data privacy, data classification, retention, and security. Lead enterprise risk assessments and maintain the risk register. Ensure compliance with GDPR, CCPA, and other regulations. Oversee data privacy programs, data access controls, and secure data management practices. Manage client security surveys, external audits, and cyber liability insurance renewals. Develop cyber awareness initiatives that drive organizational culture change. Administer GRC tools and reporting dashboards for leadership visibility. Supervise and mentor 2 to 4 GRC analysts, ensuring timely delivery of assessments and documentation. Qualifications Required: Bachelor’s degree in information security, Risk Management, Information Systems, or related discipline. 5+ years of progressive experience in IT security, compliance, risk, or data privacy. Strong knowledge of GDPR, CCPA, and other data protection regulations. Experience managing audits, compliance programs, and policy development. Excellent communication and leadership skills. DPR Construction is a forward-thinking, self-performing general contractor specializing in technically complex and sustainable projects for the advanced technology, life sciences, healthcare, higher education and commercial markets. Founded in 1990, DPR is a great story of entrepreneurial success as a private, employee-owned company that has grown into a multi-billion-dollar family of companies with offices around the world. Working at DPR, you'll have the chance to try new things, explore unique paths and shape your future. Here, we build opportunity together—by harnessing our talents, enabling curiosity and pursuing our collective ambition to make the best ideas happen. We are proud to be recognized as a great place to work by our talented teammates and leading news organizations like U.S. News and World Report, Forbes, Fast Company and Newsweek. Explore our open opportunities at www.dpr.com/careers .
Posted 30+ days ago
Peoples Arc of SuffolkBohemia, New York
$20 - $22 / hour
Description Role Summary: The Quality Compliance, Incident Specialist (QCIS) with the support of the Vice President of Quality Improvement and Corporate Compliance and the Director of Quality Improvement and Corporate Compliance, supports the integrity and effectiveness of agency documentation and investigative process. This role is responsible for coordinating the review of billing-related Life Plans/Staff Action Plans, CFA/Hab Plans, and ensuring all documentation meets regulatory standards Salary $20/h -$22/h Role Responsibilities: · Trains assigned day and residential programs of new Quality and Compliance initiatives and projects. · Provides management with support and training on new documentation requirements as well as eVero and Life Plan/SAP/CFA/Res Hab training for Program Managers. · Acts as an additional liaison to the Care Coordination Agencies. · Coordinates and attends regular meetings with CCOs to support management and address issues as needed. · Maintains and makes necessary changes to management procedures and training materials as needed based on OPWDD ADMs and evaluations of staff efficiency. ·Facilitates meetings with onsite teams to provide input and advice and communicates outcomes with Program Managers/Assistant Directors. ·Conducts Desk Audits of assigned caseloads reviewing Staff Action Plans, Life Plans, CFA’s, Hab Plans and Plans of Protective Oversight on eVero/on-site and ensures support plans are compliant with billing standards, regulatory requirements under the HCBS Waiver, and Person-Centered Planning. ·Reviews program files for accuracy and organization on site and completes desk audits of samples of monthly required documentation and Staff Action Plans. ·Assists with agency investigations as assigned, in full compliance with NYCRR Title 14 Parts 624 and 625. Assists with onsite quality and compliance reviews Requirements · Three years of experience with Program Planning documentation preferred. Proficiency in Microsoft products, electronic data systems and web-based systems Must have or be able to complete and pass Incident Investigator certification · High School Diploma or GED · New York State Drivers License Must be able to display a high level of discretion and understand the sensitive nature of confidential employee information with superior emotional intelligence Benefits 401(k) Dental insurance Employee assistance program Flexible schedule Flexible spending account Health insurance Life insurance Paid time off Referral program Retirement plan Tuition reimbursement Vision insurance
Posted 2 weeks ago
Data Quest InvestigationsBoston, Massachusetts
Seeking independent contractors to patronize liquor-licensed establishments as a third-party, unbiased evaluator for alcohol purchase attempts. Companies use this service to test cashiers and servers, ensure proper ID procedures are being followed, and prevent sales to minors. Join our database to have access to monthly auditing opportunities for Liquor ID checks as well as other customer service evaluations at restaurants, bars, hotels, movie theaters, retail stores, and parking facilities. Compensation: $0.15 - $0.25 per hour Established in 1981, Data Quest, Ltd. is a licensed, insured and bonded, full-service corporate private investigations agency, which provides elite information gathering, and loss prevention & detection expertise to companies, attorneys, and individuals throughout the United States.Headquartered in Massachusetts, Data Quest's clients consist of more than 1,000 companies in a wide range of industries, including Fortune 500 corporations as well as smaller companies on a local and regional level.• Corporate & Domestic Investigations• Background Checks• Employee Tip Line Programs• Employment Screenings• Interrogations• Interview & Statement Taking• Loss Prevention Consultations• Loss Prevention Seminars• Missing Persons (Skip Trace/Locate)• Mystery Shopping• Pre- and Post-Employment Screenings• Public Record Research & Retrieval• Security Guards• Surveillance• Undercover Investigators
Posted 30+ days ago
Oli at HomeGrosse Pointe, Michigan
Benefits: Bonus based on performance Competitive salary Opportunity for advancement Location: Metro Detroit (Hybrid with Travel) About the Role Oli at Home is adding an additional Medical Director to support ongoing growth and ensure clinical, legal, and compliance standards remain industry leading. This role is designed for a physician who values rigorous oversight, clear documentation, excellent patient outcomes, and a collaborative clinical culture. You will work alongside our current Medical Director and leadership team to oversee chart review, protocol development, scope of practice compliance, and quality assurance across all markets. This position is central to maintaining a safe, ethical, and consistent standard of care as we continue to scale. This is an ideal opportunity for a physician who is passionate about responsible growth in medical aesthetics and who understands the value of strong clinical governance across a distributed provider model. Responsibilities • Serve as supervising physician for nurse practitioners and physician assistants providing aesthetic medical services • Review and sign charts with accuracy and timeliness while ensuring proper documentation standards are met • Maintain strict compliance with all state medical regulations, delegation agreements, and supervisory requirements • Partner with leadership to evaluate and refine protocols, training materials, informed consents, documentation templates, and emergency procedures • Lead periodic performance evaluations and structured clinical audits to support continuous improvement • Participate in adverse event review, root cause analysis, and corrective action planning • Support expansion into new geographic markets by ensuring each market meets regulatory and credentialing requirements • Collaborate with training leads to ensure all clinical education aligns with evidence based practice and safety standards • Maintain a supportive and professional relationship with all providers while upholding accountability and documentation standards Qualifications • MD or DO with unrestricted license in Michigan • Experience supervising mid level providers in aesthetic medicine, dermatology, plastic surgery, or a related specialty • Strong understanding of documentation requirements and aesthetic medical procedure standards • Knowledge of neuromodulators, dermal fillers, and common aesthetic treatment protocols • Clear written and verbal communication skills and comfort delivering direct, objective feedback • High personal integrity with a commitment to patient safety, compliance, and clinical excellence • Comfortable working within a structured and growth oriented medical organization • Willingness to travel within Michigan for clinical oversight and provider support Flexible work from home options available. About Oli. at Home Oli at Home (“Oli”) delivers personalized cosmetic treatments to you—wherever you are. Founded by Lindsey Oliver, a board-certified Physician Assistant with extensive experience in medical aesthetics, and her husband, Michael, Oli was created to make expert-level cosmetic care more convenient and accessible. Our team of highly trained PAs and NPs undergoes rigorous training with leading pharmaceutical companies, ensuring the highest standard of care. We prioritize personalized treatment plans, natural results, and a patient-first approach—treating every client like family.
Posted 2 days ago
Heritage Construction + MaterialsIndianapolis, Indiana
Build Your Career at Milestone Contractors! The DOT Compliance Administrator plays a critical role in supporting the organization's compliance with Department of Transportation (DOT), FMSCA and other federal and state transportation related regulations. This position ensures accurate documentation, timely reporting, and effective coordination of compliance-related activities across the equipment fleet. The ideal candidate will be detail-oriented, organized, and capable of managing multiple administrative tasks while maintaining strict adherence to regulatory standards. Essential Functions Maintain and update DOT driver qualification files. Monitor expiration dates for CDL licenses, medical cards, and other DOT-required certifications. Enter DOT drug and alcohol testing in required databases, including Federal clearinghouse, in accordance with DOT regulations. Accurately maintain driver files in Encompass. Prepare and submit required DOT reports and documentation to internal stakeholders and external agencies. Ensure all compliance records are stored securely and are easily retrievable for audits. Report non-conformances to Trucking Manager, or other responsible parties, on a timely basis. Assist in onboarding new drivers and mobile equipment by collecting and verifying required documentation. Support inventory tracking and asset management for fleet-related items. Respond to internal and external inquiries regarding DOT compliance and equipment documentation. Draft correspondence, memos, and reports related to equipment operations and compliance. Schedule meetings, maintain calendars, and support departmental communications. Identify opportunities to streamline compliance workflows and improve documentation accuracy. Collaborate with internal stakeholders, including, but not limited to, HR, Safety, and Operations teams to ensure alignment with company policies and regulatory requirements. Additional duties and responsibilities as assigned, including but not limited to continuously growing in alignment with the Company’s core values, competencies, and skills. Education Qualifications Required High School or Equivalent Experience Qualifications Required 3+ years administrative support position Required 1+ years transportation (DOT, FMCSA) compliance Skills and Abilities Excellent communication skills, including telephone, personal and e-mail Excellent skills in Excel and other Microsoft Office software Strong attention to detail Proven ability to multi-task and work independently or in a team setting. The ability to partner with appropriate levels within the organization Independent, confident thinker with a high comfort level with ambiguity Must maintain regular, dependable attendance and a high level of performance Experience maintaining positive relationships and operating with a high level of integrity Strong attention to detail and effective organizational skills Must project a positive, collaborative, and professional demeanor at all times Solid interpersonal skills with experience building and maintaining professional relationships across teams in a collaborative manner Demonstrated ability to anticipate needs, meet deadlines, and adapt in the face of changing priorities Regular and predictable attendance is an essential function of this role Strong MS Office experience, must have hands-on Excel experience Must pass a pre-employment drug screen Licenses and Certifications Valid drivers license Required Working Conditions/Physical Demands Sits at a desk for up to 8 hours per day Uses a computer keyboard & monitor for up to 8 hours per day Exposure to office equipment including copy machines, printers Exposure to mobile and fleet vehicles About Milestone Contractors Milestone Contractors is a privately held, family-owned business headquartered in Indianapolis. Milestone Contractors is a fully integrated heavy construction company specializing in highway, bridge, asphalt and concrete paving and site development. Over its 30-year history, Milestone has built a reputation for prioritizing safety, quality, people and innovation. Milestone Contractors is a part of The Heritage Group's family of companies. Learn more at https://www.milestonelp.com/ All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. #MilestoneContractorsLP
Posted 1 week ago
ArootahNew York, New York
Arootah is a rapidly growing advisory and coaching firm specializing in Alternative Investment & Family Office Advisory, Executive & Leadership Coaching, and Talent Acquisition & Development. Founded by Rich Bello, co-founder and COO of Blue Ridge Capital, Arootah leverages deep industry expertise to drive peak performance for executives, teams, and firms across the alternative investments landscape. Join Arootah’s Network of Business Advisors serving Arootah’s clients on a project basis in the alternative investment industry, including hedge funds, private equity firms, and family offices. Our mission is to deliver top-tier business advisory services tailored to the multifaceted needs of the alternative investments landscape. As part of the network, you will take on project-based assignments that let you apply your expertise directly to our client initiatives. These consulting roles provide the opportunity to work on varied and impactful projects across the alternative investments industry. Our Services Include: Advising alternative investment managers with front-to-back office services, including but not limited to operations, business development strategy, due diligence, human resources, and compliance Providing fractional expert advisors in key operational areas for emerging and established investment firms Offering executive, life, health, and career coaching for individuals Delivering talent acquisition and leadership development solutions Developing SaaS applications for enterprise and consumer use Visit us at https://arootah.com/advisory for more information. WHO YOU ARE: Arootah is searching for Alternative Asset Firm and Family Office Chief Compliance Officers to advise clients on industry best practices. As a Compliance Consultant, you will work with our Alternative Asst Firm and Family Office clients to provide expert advice. Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading Alternative Asset Firm or Family Office. What You'll Do Work with clients on a part-time, temporary, or ad-hoc basis to solve their most pressing compliance needs Serve as strategic compliance advisor to the Principal/Founder, providing expert guidance on regulatory requirements, risk mitigation, and compliance program development for SEC-registered investment advisers, hedge funds, private equity firms, or family offices. Design and implement comprehensive compliance programs, establishing policies, procedures, and controls to ensure adherence to SEC, FINRA, CFTC, and other applicable regulatory requirements based on firm structure and investment strategies. Develop and maintain regulatory filings and documentation, including Form ADV, Form PF, Form 13F, Form D, regulatory correspondence, and ensuring timely submission and accuracy of all required regulatory reports. Establish compliance monitoring and testing programs, creating risk-based surveillance procedures for personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, and trade allocations. Build conflicts of interest and code of ethics frameworks, developing policies for personal securities transactions, insider trading prevention, information barriers, allocation procedures, and best execution practices. Prepare firms for regulatory examinations and audits, conducting mock examinations, coordinating with SEC, FINRA, or other regulatory examiners, managing document requests, and developing remediation plans for identified deficiencies. Develop AML/KYC and sanctions screening programs, establishing customer identification procedures, beneficial ownership verification, suspicious activity monitoring, and OFAC compliance protocols appropriate to the firm's investor base. Create compliance training and education programs, developing onboarding materials, annual training curriculum, and targeted education on regulatory updates, insider trading, cybersecurity, and firm-specific policies. Review and approve marketing materials and communications, ensuring compliance with advertising rules, performance reporting standards, disclosure requirements, and regulatory guidance for all client-facing materials. Assess vendor and service provider compliance, conducting due diligence on fund administrators, prime brokers, custodians, and other service providers to ensure adequate controls and regulatory compliance. Monitor regulatory developments and implement changes, tracking proposed rules, SEC guidance, enforcement actions, and industry best practices to proactively update compliance programs and advise leadership on emerging risks. Lead special projects including compliance program assessments, regulatory change implementations, new product launches, compliance system selections, and preparation for fund launches or regulatory registrations. Qualifications Bachelor's Degree in Finance, Business Administration, Accounting, Law, or related field required. JD, MBA, or advanced degree strongly preferred. 7+ years as Chief Compliance Officer at an SEC-registered investment adviser, hedge fund, private equity firm, family office, or broker-dealer. Experience completing SEC audits and examinations Extensive knowledge of SEC, FINRA, and CFTC regulations for registered investment advisers, including the Investment Advisers Act of 1940, custody rules, marketing rules, and private fund regulations. Proven experience managing SEC, FINRA, or state regulatory examinations, including successful navigation of exam processes and implementation of remediation plans. Hands-on experience building compliance programs for alternative asset firms across multiple investment strategies and operational areas including trade surveillance, personal trading, AML/KYC, and conflicts management. Exceptional communication abilities, including experience training staff, presenting to boards, and serving as regulatory liaison. Experience with compliance technology including monitoring platforms, document management systems, and regulatory filing software. Job Status Contractor Hours are based on the needs of the assigned client (0-40 hours per week). $250 - $400 an hour The hourly consulting rate of pay is expected to be a minimum of $250 and a maximum of $400, per hour. The hourly rate will be determined by several factors which may include, but are not limited to, the length of the individual engagement, level of difficulty, level of specialization required, professional designations, skills, and years of experience. Join a well-funded disruptor in finance and technology. Enjoy the flexibility of remote work and choosing your assignments. Be part of a dynamic, high-energy company in its expansion stage. Now is the time to join! For more information, visit us at Arootah.com . We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.
Posted 4 days ago
iVerifyNew York City, New York
About iVerify We are Experts in Mobile Threat Hunting. The first mobile threat hunting company to protect mobile devices like any other vulnerable corporate endpoint. The mobile security market has a problem. Simply put, current solutions fail to meet the sophistication of modern threats or the growing privacy desires of mobile device users. We believe that it is time for something new. Not only because we care deeply about the safety of frontline users like journalists and activists - many of whom are doing important and often dangerous work - but because enterprises and consumers deserve real protection from advanced mobile threats without sacrificing privacy. We are building the first mobile threat hunting company to harmonize security and privacy in the face of a new class of mobile threats. Supported by some of the most well-respected VC firms, we aim to become the go-to mobile security solution for individuals who want to know they can trust their devices with their most sensitive information – without sacrificing privacy. About the Role We are seeking a Senior Analyst to join our growing governance, risk and compliance (GRC) team. This is a hands-on role focused on maintaining compliance across multiple frameworks, managing programs, and driving trust with customers and partners. This role is a senior position on the security team, with regular interaction with leadership and external stakeholders. You’ll lead the long-term initiatives to ensure that our company maintains the highest standards in security and privacy. Your work will directly impact the organization through maintaining and updating security controls, responding to information requests, audits and compliance projects. As a senior member of the information security team, you’ll implement and manage our GRC tools, assessments, influence decisions and be an integral part of the company’s growth. Key Responsibilities Lead and support Governance, Risk, and Compliance (GRC) initiatives, including policy development, control assessments, and audit readiness. Collaborate with cross-functional teams (Security, Finance, Engineering, Product, and Sales) to maintain compliance with frameworks such as SOC 2, ISO 27001, and GDPR. Monitor regulatory and compliance developments to ensure internal policies and controls remain current. Manage GRC operations, maintaining policies, procedures, and evidence in Vanta to ensure continuous compliance with frameworks. Review and update security controls in Vanta, ensuring all systems and integrations remain connected and compliant. Monitor compliance tasks and remediation tickets in Vanta, following up with internal stakeholders to ensure timely completion. Respond to customer and vendor security questionnaires, collaborating with Product, Engineering, and Legal teams for accurate and efficient responses. Prepare and organize audit evidence for compliance and privacy, ensuring readiness for internal and external audits. Conduct regular risk assessments, document findings, and track mitigation efforts. Support third-party risk management – perform vendor reviews/assessments, track projects, and follow up on remediation actions. Assist with security awareness training and ongoing employee compliance efforts. Requirements Bachelor’s degree in Information Security, Computer Science, Business, or a related field (Master’s degree a plus). 5+ years of experience in information security, risk management, or compliance. Prior experience in a Big Four consulting firm or similar professional services environment preferred. Strong understanding of security frameworks (SOC 2, ISO 27001, NIST, GDPR, etc.). Excellent written and verbal communication skills — especially in translating technical details into clear, business-focused language. Demonstrated experience responding to security questionnaires and due diligence requests. Highly organized, detail-oriented, and able to manage multiple priorities in a remote environment. Compensation Our salary ranges are determined by role, level, location, and employment type. The range displayed on each job posting reflects the minimum and maximum target for new hire salaries for the position. Within the range, individual pay is determined by a variety of factors, including, but not limited to, work location, job-related skills, experience, and relevant education or training. Diversity, Equity, and Inclusion At iVerify, we are committed to building a diverse, equitable, and inclusive workplace and community. We believe that diversity in all its forms drives innovation and fosters creativity. We strive to create an environment where everyone feels valued, respected, and empowered to bring their authentic selves to work.
Posted 4 days ago
Freelancer.comSan Francisco, CA
We are seeking a highly skilled Compliance Program Lead to oversee and enhance our regulatory compliance initiatives. This role is responsible for ensuring adherence to regulatory requirements related to payments, financial crime compliance, data privacy, and licensing, with a specific focus on BSA/AML/CTF compliance and compliance assurance. The ideal candidate will have a strong background in compliance, risk management, and regulatory affairs within financial services or fintech. As a key member of our compliance team, you will work cross-functionally with Product, Finance, Sales, and Operations teams to develop, implement, and manage compliance processes. You will report to the Senior Compliance Manager and have the opportunity to apply your existing experience while expanding your skillset in a fast-paced, innovative, and growing business environment. This is a great opportunity for an experienced compliance professional who thrives in a dynamic, fast-paced environment and is eager to drive compliance excellence Key Responsibilities: Conduct compliance assessments and review risk obligations to identify control gaps and emerging issues. Carry out periodic reviews of existing risk assessments to ensure continued relevance and accuracy. Conduct internal compliance controls testing to evaluate the effectiveness of AML/CTF, licensing, and operational compliance controls. Conduct transaction monitoring and act as an escalation point for BSA/AML/CTF operational matters. Oversee various MTL and Escrow licensing and regulatory filings, managing renewals and reporting obligations in a timely and accurate manner. Maintain and enhance compliance documentation, policies, and procedures to align with evolving regulatory expectations as part of our regulatory monitoring and change management program. Monitor and assess compliance risks, implementing effective controls and process improvements as necessary. Work closely with cross-functional teams to integrate compliance requirements into business operations and new product initiatives. Support regulatory audits, examinations, and inquiries, ensuring proper documentation and effective communication with regulators. Conduct compliance training and awareness programs for employees, fostering a culture of compliance throughout the organization. Collaborate with internal stakeholders to evaluate and implement third-party compliance tools for transaction monitoring, KYC, and AML screening. Act as a backup BSA / AML Compliance and Transaction Monitoring Manager Required Qualifications: Bachelor's degree in a relevant field (e.g., Business, Finance, Law, or a related discipline). CAMS certification required. 5 or more years of experience in compliance, regulatory affairs, or risk management within financial services, fintech, or a related industry. Strong understanding of regulatory requirements related to payments, AML/financial crime compliance, data privacy, and licensing. Ability to manage multiple projects and initiatives in a structured, deadline-driven environment. Excellent written and verbal communication skills to collaborate effectively with internal stakeholders and regulatory bodies. Strong analytical and problem-solving skills, with the ability to assess compliance risks and implement process improvements. Attention to detail and strong organizational skills, ensuring compliance documentation, audits, and filings are accurate and timely. Required Experience: Experience working in a compliance function within fintech, payments, banking, or financial services. Hands-on experience managing one or more core compliance areas, such as transaction monitoring, licensing and renewals, regulatory filings, surety bond renewals, program documentation, or data privacy compliance. Experience working with cross-functional teams (e.g., Legal, Risk, Product, and Operations) to support compliance initiatives. Proven ability to interpret and apply regulatory requirements to business operations and compliance processes. Experience handling regulatory filings and audits, ensuring ongoing adherence to applicable laws and industry best practices. Preferred Qualifications: Additional compliance-relevant certifications such as CRCM, CFE, or CIPP (or willingness to obtain). Extensive experience working with regulators or auditors on compliance-related inquiries and examinations. Knowledge of third-party compliance tools such as Actimize, Alloy, Trulioo, or similar transaction monitoring/KYC platforms. Exposure to global compliance frameworks and multi-jurisdictional regulatory requirements. Experience with policy drafting and process improvement initiatives, contributing to the enhancement of a compliance program. Familiarity with privacy regulations such as GDPR, CCPA, or other global data protection laws. Experience in a rapidly scaling fintech or payments company, balancing regulatory compliance with business growth. Why Join Us? Be part of a fast-growing fintech company with a strong commitment to regulatory excellence. Work alongside a talented and collaborative team in an innovative and dynamic environment. Competitive compensation package, including benefits and career development opportunities. Opportunity to shape and enhance our compliance program, making a significant impact on the company's growth and success. About Us? Escrow.com is the world's leading provider of secure online payments. As a trusted third party, we've facilitated over US$7 Billion in secured transactions, including high-profile domain names (like uber.com, snapchat.com, spacex.com, twitter.com, instagram.com), motor vehicles, business acquisitions, electronics and more. We work with leading platforms, merchants, and marketplaces globally, providing secure payment solutions across diverse industries and markets. If you're a compliance professional looking to take the next step in your career and make a meaningful impact, we encourage you to apply!
Posted 1 week ago
HR Force InternationalTysons, VA
We are seeking a Legal & Compliance Coordinator with a proven background in RegTech and IDV to join our growing team at Programmers Force. In this role, you will support compliance and legal teams in managing documentation, contracts, and regulatory requirements. Key Responsibilities: Assist with contract management and legal documentation. Support compliance audits and reporting. Track regulatory updates and ensure documentation accuracy. Coordinate with internal teams on legal and compliance requirements. Requirements 2–4 years of experience in legal, compliance, or administrative roles. Knowledge of AML/KYC/IDV regulations is a plus. Strong organizational and detail-orientation skills. Excellent communication and coordination abilities.
Posted 30+ days ago
HR Force InternationalTysons, VA
We are seeking an experienced Head of Fintech Compliance with a proven background in RegTech and IDV to join our growing team at Programmers Force. In this role, you will focus specifically on compliance requirements within the fintech industry, ensuring our solutions align with evolving regulations. Key Responsibilities: Oversee compliance programs tailored for fintech clients. Ensure adherence to AML, KYC, PSD2, and financial services regulations. Partner with fintech clients to address compliance challenges. Monitor regulatory changes impacting the fintech ecosystem. Provide guidance on compliance best practices for product development. Requirements 8+ years of compliance experience in fintech or financial services. Strong knowledge of AML, KYC, PSD2, and related frameworks. Proven ability to manage compliance in high-growth fintech environments. Strong communication and advisory skills.
Posted 30+ days ago
City Wide Facility SolutionsKent, WA
$60,000 - $63,000 / year
The earning potential for top achievers in this position could reach as high as $63,000. Are you excited to take your career to the next level with a leading company in the industry? City Wide Facility Solutions is on the lookout for a friendly and detail-focused 2nd Shift Compliance Manager to become a part of our dynamic team! In this exciting role, you'll play a crucial part in providing exceptional service and ensuring client satisfaction across a wide variety of facilities, from office environments to industrial locations. As a 2nd Shift Compliance Manager (ACM), your main goal will be to build strong relationships with our Independent Contractors (IC) while executing essential functions that drive our business forward. You'll work closely with the Facility Solutions Manager, managing everything from client inspections to responding to customer inquiries. Your insightful contributions will be key in improving our service quality! Your nightly adventures are sure to be filled with engagement! You'll assess scopes of work to ensure outstanding service, uphold our operational policies, and maintain compliance with client standards. Additionally, your excellent problem-solving skills and top-notch communication abilities will position you as the go-to expert in addressing our clients’ needs! If you have a passion for excellence and thrive in a collaborative environment, this is the ideal opportunity for you. Join us in creating spaces that inspire and elevate, ensuring satisfaction with every cleaning! Night shift role with start time of 5:00 PM and ending from 2:00-3:00 AM. Routed out by FSM at 5:00 PM, but client site visits may begin between 7:00-10:00 PM. Requirements A high school diploma is required, and experience in the commercial janitorial services industry is a plus. You bring three years of management experience, with skills in coaching, motivating, and leading teams across multiple locations. Your planning and organizational skills are top-notch, and you pay attention to the small details that make a big difference. Effective communication and interpersonal skills come naturally to you, allowing you to build rapport with clients and teams alike. Innovation drives you, and you’re always striving for continuous improvement. If this sounds like you, let’s connect and make a difference together at City Wide Facility Solutions! Benefits Salary $60,000 - $63,000 after achieved bonuses Commission and bonus 401k Mileage Reimbursement Dental, medical, and vision benefits Life insurance policy 8 Paid Holidays + PTO Company Cell Phone Company iPad and iPhone
Posted 2 weeks ago
KikoffSan Francisco, California
Sr. Compliance Analyst As a Sr. Compliance Analyst, you will monitor and ensure that the activities of Kikoff are in compliance with legal and regulatory standards and internal policies. As a part of the compliance analyst’s role, you will be involved in developing policies and strategies and implementing them in a timely manner. The role requires performing periodic audits and designing control systems that augment the efficiency within the framework of the internal regulations and policies. From leading training sessions to adhering to compliance regulations while implementing them, this role requires an analytical person, who knows the industry and its trends. Most importantly, you will help guide cross functional groups on the most efficient path to meet its regulatory and compliance obligations. Job Responsibilities Implement and maintain compliance programs, policies, and procedures to align with relevant financial laws and regulations. Conduct regular risk assessments to identify potential compliance issues and risks, then develop strategies to mitigate these risks that balance rigor and efficiency Monitor day-to-day operations for suspicious activities, review marketing materials, and conduct audits to ensure adherence to internal policies and external regulations. Prepare and submit compliance reports to management, oversight committees, and partners Collaborate with internal and external auditors, as well as other departments, to ensure comprehensive compliance efforts. Partner with Product, Engineering, and Ops teams to map compliance requirements for new features, products, and partnerships Job Qualifications 5+ years work experience with 2+ years experience working with financial regulations and processes, such as BSA, AML, UDAAP, FCRA, KYC/CIP, CAN-SPAM etc at a Fintech and/or Financial Institution. Familiarity with the bank partnership model, including diligence and onboarding processes Excellent verbal and written communication skills to effectively advise management and train staff. Ability to analyze complex data and regulatory changes, and to identify risks and develop practical solutions Partner with Product, Engineering, and Ops teams to map compliance requirements for new features, products, and partnerships Kikoff: A FinTech Unicorn Powering Financial Progress with AI At Kikoff, our mission is to provide radically affordable financial tools to help consumers achieve financial security. We're a profitable, high growth FinTech unicorn serving millions of people, many of whom are building credit or navigating life paycheck to paycheck. With innovative technology and AI, we simplify credit building, reduce debt, and expand access to financial opportunities to those who need them the most. Founded in 2019, Kikoff is headquartered in San Francisco and backed by top-tier VC investors and NBA star Stephen Curry. Why Kikoff: This is a consumer fintech startup, and you will be working with serial entrepreneurs who have built strong consumer brands and innovative products. We value extreme ownership, clear communication, a strong sense of craftsmanship, and the desire to create lasting work and work relationships. Yes, you can build an exciting business AND have real-life real-customer impact. 💰 US salary range for this full-time position consists of base + equity + benefits 🏥 Medical, dental, and vision coverage - Kikoff covers the full cost of health insurance for the employee! Visa sponsorship available: Kikoff is willing to provide sponsorship for H1-B visas and U.S. green cards for exceptional talent. Equal Employment Opportunity Statement: Kikoff Inc. is an equal opportunity employer. We are committed to complying with all federal, state, and local laws providing equal employment opportunities and considers qualified applicants without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, marital status, pregnancy, sex, gender expression or identity, sexual orientation, citizenship, or any other legally protected class. Please reference the following information for more information: https://www.eeoc.gov/sites/default/files/migrated_files/employers/poster_screen_reader_optimized.pdfhttps://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf If you need reasonable accommodation for a job opening please connect with us at talent@kikoff.com and describe the specific accommodation requested for a disability-related limitation. Reasonable accommodations are modifications or adjustments to the application or hiring process that would enable you to fully participate in that process. San Francisco Fair Chance Ordinance: Pursuant to the San Francisco Fair Chance Ordinance, Kikoff will consider for employment qualified applicants with arrest and conviction records.
Posted 30+ days ago
Raymond JamesSt Petersburg, Florida
Job Description Summary Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to manage data privacy risk. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Responsible for collaborating with peers and senior leaders to support the firm’s compliance programs for facilitating privacy impact assessments (PIAs) and managing data subject requests (DSRs). This includes but is not limited to serving as a privacy advisor to business teams, coordinating compliance functions, acting as a liaison between functional areas and leading large or multiple projects with significant scope and impact. Job Description Essential Duties and Responsibilities Executes (PIAs) on changes to business applications, systems, or products that involve the processing of personal information. Processes requests to exercise data subject rights for accessing, correcting, deleting, or restricting use of an individual’s personal information. Maintains industry knowledge of global privacy laws, company guidelines and policies, and industry best practices. Coaches and mentors less experienced Compliance associates. Directs adjustments to existing programs, policies and procedures, as required. Ensures that compliance activities are commensurate with the level of risk being mitigated. Provides escalated support and guidance to compliance efforts in assigned business entity. Informs appropriate Senior Management about issues that may involve rule violations or potential liability. Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems. Researches compliance issues. Alerts Senior Management of current regulatory issues. Researches, interprets, and translates regulatory rules and regulations for Senior Management. Advises Senior Compliance Management on issues that involve possible rule violations and potential liability. Addresses sensitive compliance issues with Management. Participates in corporate policy discussions related to compliance. Reviews documentation related to compliance issues for validity and alignment with organizational policies. Prepares and delivers written and oral presentations to senior management. May coordinate and/or oversee responses to regulatory agency inquiries. Reports compliance program status and activities to compliance and business management personnel. Manages relevant external examinations, ensuring that requested information and reports are provided. Prepares and delivers written and oral presentations to Management. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge of: Data privacy laws and regulations. Concepts, practices, and procedures of securities industry and/or banking compliance reviews. Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. Fundamental investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products. Privacy/GRC tools such as OneTrust and IBM Open Pages recommended. Skill in: Overseeing compliance programs. Integrating and aligning compliance processes and procedures with business processes. Coordinating complex compliance activities. Providing support and guidance for compliance efforts. Identifying and implementing controls and quality assurance processes. Reviewing materials for compliance with rules and regulations. Researching compliance issues. Developing compliance training programs. Gathering information and preparing oral and written reports. Preparing and delivers written and oral presentations. Investigating relevant irregularities. Making rule-based and analytical decisions. Operating standard office equipment and using required software applications. Ability to: Partner with other functional areas to accomplish objectives. Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. Attend to detail while maintaining a big picture orientation. Gather information, identify linkages and trends, and apply findings to assignments. Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate. Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. Work independently as well as collaboratively within a team environment. Provide a high level of customer service. Establish and maintain effective working relationships at all levels of the organization. Maintain confidentiality. Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance. 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. CIPP/US or equivalent data privacy subject matter certification preferred Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Other License Not Listed - Other 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 sameWork with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mindTake 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 1 week ago
AVP, Technology and Cybersecurity Compliance
LPL FinancialCharlotte, California
$117,225 - $195,375 / year
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Job Description
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
We are seeking an experienced Assistant Vice President who understands the regulatory expectations of the financial services sector, and can demonstrate success in leading regulatory readiness, inquiries, exams, remediation plans and actions across technology and cybersecurity. This position requires strong partnership across legal, compliance and risk with the ability to converse with technology and cybersecurity subject matter experts.
Responsibilities:
Coordinate regulatory activities with key stakeholders including exam readiness, attestation readiness, evidence collection, controls testing, findings and remediation, and reporting.
Operate across governance risk and compliance team to ensure alignment relative to regulatory requirements and commitments which impact policy, risk remediation timelines, awareness activities, risk assessments, and third-party due diligence.
Prepare readiness packages, liaison with technology and cybersecurity leaders to understand updated roadmaps and issues, and work with subject matter experts to draft and validate current understanding across the LPL technology and cybersecurity landscape and respond to external inquiries.
Manage remediation timelines, reporting, and activities for findings that impact regulatory compliance.
Lead other activities as required including regulatory mapping, policy review, and training.
Promote a risk aware culture, ensure efficient and effective risk and compliance management practices by adhering to required standard and processes and seeking opportunities to optimize.
Lead, mentor, and manage team members
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Bachelor’s degree in Business, Technology, Cybersecurity or related field
7+ years' experience successfully operating in a governance or compliance role within cybersecurity and/or technology for a highly regulated firm
Strong understanding of SOC2, 23 NYCRR 500, FINRA, SEC and demonstrated experience successfully leading regulatory activities
Ability to partner across technology, cybersecurity, audit, legal, compliance, and risk towards joint outcomes
Core Competencies:
Strong interpersonal and presentation skills, with the ability to convey complex technical concepts to business stakeholders
Detailed oriented with strong project management and problem-solving skills
Proven ability to develop team competencies and skills
Experience with Archer, JIRA, Service Now, Confluence
Preferences:
Experience working in a financial services environment
Previous experience adopting and refining regulatory readiness practices including drafting responses to regulatory and third party inquiries about technology and cybersecurity programs and capabilities
Demonstrated experience in driving remediation efforts to close regulatory or internal audit findings which impact regulatory compliance to closure involving multiple stakeholder groups
Strong collaboration, bringing in the right people to holistically problem solve while connecting dots to potential systemic issues, dependencies, etc.
Related technical experience in cybersecurity, product, or technology
#LI-Hybrid
Pay Range:
$117,225-$195,375/yearActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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