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I logo
Interactive Brokers Group Inc.Greenwich, CT
Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. Job Description Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program. Responsibilities The primary responsibilities of the Compliance Testing Officer include: Managing the firm's annual compliance testing program Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures. Assist in the development of the firm's compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices. Execute the firm's compliance testing program, Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff. Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings. Tracking compliance testing findings from discovery to remediation. Other Core Compliance activities as needed. Qualifications At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred. Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures. High degree of comfort and fluency with computers and technology. Outstanding oral and written communication skills. Ability to work both independently and to multi-task with minimal supervision. Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia. Experience with Atlassian Confluence/JIRA preferred. Company Benefits & Perks Competitive salary, annual performance-based bonus and stock grant Retirement plan 401(k) with a competitive company match Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium. Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack Corporate events, including team outings, dinners, volunteer activities and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups

Posted 30+ days ago

Legends logo
LegendsRidgefield, WA
The Role Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. Company Overview: Legends is a holistic agency that specializes in delivering solutions for legendary brands. We approach each project with our 360-degree service solution. Our Global Planning, Global Sales, and Hospitality service solutions collaborate on every project to ensure success across each of our six verticals including professional sports, collegiate, attractions, entertainment, international, and conventions. Our intellectual property is our people. It's our expertise that makes up Legends. We know what it's like to be on the team, business, or athletic department side, which drives our passion in creating solutions for our partners. Collectively, our leadership has over 300 years of experience in sales and sponsorship, analytics and valuation, hospitality and operations. Responsibilities: Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. : Supervises the serving of alcohol by game day staff Ensures staff is adhering to Legends' alcohol service policy Observes and documents all alcohol related issues or violations Assists with alcohol cut-off and performs other duties as assigned by management Completes inventory at assigned locations Must maintain a friendly, positive attitude and a professional demeanor always Ability to interact with guests and staff to insure guest satisfaction Must have extensive knowledge of food and beverage menu, specials and services offered Know the "layout" of the venue and assigned area where you are working Provide guests with personal service and attention to detail that will exceed expectations Maintain a clean, neat and safe work area Ability to assure compliance with all company service standards Work as a team with fellow associates and other service departments within venue Ability to work a flexible schedule to meet service demand levels, including days, nights, weekends and holidays Must meet state and local health requirements for food handlers and alcoholic beverage services. Qualifications: Must be 21 years of age or older High School Diploma, some college preferred Must have experience working in a fast paced environment Some alcohol compliance experience preferred Must be proactive, self-motivated, organized and the ability to prioritize as needed Must be detail oriented Ability to work under pressure and adapt to change quickly Must be punctual and dependable Must be able to speak, read, write and understand English Ability to move quickly and act on assigned duties within production and service time frames established Must maintain personal hygiene and a well-groomed appearance standards Ability to walk long distances and stand for extended periods of time Must be able to stand, kneel, lift (up to 30 pounds), carry items, push carts, walk at a fast pace, and bend down Must be able to operate in a fast paced, challenging, and diverse environment efficiently Practice safe work habits, follow all safety policies and procedures and regulations, complete company-wide safety training and any additional job specific safety training. Pay Rate: $18.50/hr Legends offers a wide array of comprehensive benefit programs and services to our benefits-eligible employees. Benefits include retirement savings plans like 401(k). Part-time/seasonal employee benefits eligibility are subject to any legal and/or company requirements or limitations. Legends is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, disability, or genetic information.

Posted 30+ days ago

KBRA logo
KBRANew York, NY
Position Title: Global Head of Compliance (NY) Entity: KBRA Holdings LLC Employment Type: Full-Time Location: New York, New York Summary: KBRA, a leading global credit rating agency, is seeking a Global Head of Compliance to lead its Compliance Department. You will be responsible for developing, managing, and enhancing KBRA's compliance framework across the United States, Europe, the UK, and Japan. This role requires an experienced leader with strong legal and regulatory expertise, the ability to manage and inspire teams, and the willingness to be hands-on in addressing both strategic and operational compliance matters. The position will be based in our New York office. About the Team: The Compliance Department is an important control function and it is responsible for KBRA's compliance with applicable laws, regulations, and rules, as well as KBRA's own internal codes, policies, and procedures. The Compliance Department is also responsible for regulatory reporting, regulatory examinations, certain regulatory requests and compliance advisory services. The Compliance Department works closely with rating analysts, legal, finance, technology, business development and senior management across the company. This role reports to the General Counsel and also has a reporting line to KBRA's Board of Managers. About the Job: As Global Head of Compliance, your responsibilities will include strengthening KBRA's internal controls, reviewing and maintaining KBRA's compliance policies and procedures, overseeing various types of monitoring, overseeing the drafting and submitting of regulatory reports, managing the completion of regulatory examinations and related document requests, interacting with internal and external stakeholders about compliance matters and identifying and implementing improvements to and enhancing the efficiency of KBRA's compliance program and operations. About You: Global Leadership: Provide strategic direction and leadership to KBRA's compliance function worldwide, maintaining consistency across jurisdictions while adapting to local regulatory requirements. Team Management: Manage and mentor the Heads of Compliance in the U.S., Europe, and Japan, fostering a culture of accountability, collaboration, and professional growth. Regulatory Framework: You will learn and become knowledgeable about the global regulatory framework applicable to credit rating agencies and will understand how the regulatory framework affects all aspects of KBRA and its affiliates' businesses. Program Development: Design, implement, and continuously improve global compliance programs, policies, and procedures that promote ethical conduct and mitigate compliance risks. Internal Controls: Review, refine and strengthen KBRA's compliance internal controls and suggest improvements to controls managed by other internal control functions. Risk Management: Identify, assess, and manage compliance risks across KBRA's operations, managing proactive responses to regulatory changes and industry developments. Policies and Procedures: You will become familiar with KBRA's policies and procedures (Compliance and otherwise) and refine KBRA's policies and procedures, their layout, organization and accessibility. You will regularly meet with relevant stakeholders to confirm the continued applicability and accuracy of KBRA's policies and procedures. Supervising Monitoring Duties: You will oversee KBRA's internal control monitoring program, the compliance program and identify any additional areas to be monitored. You will create monitoring plans and create a procedure to govern KBRA's monitoring program. You will present the result of the monitoring program to KBRA's Boards on a quarterly basis. Culture of Compliance: Promote a culture of integrity and compliance throughout the organization, serving as a trusted advisor to the executive team and Board. You will be successful in this role if you possess: Have a JD or equivalent Minimum 15 years of relevant compliance and legal experience, including senior leadership roles. Demonstrated success in managing global or multi-jurisdictional compliance team and enhancing organization and efficiency. Experience in financial services, securities regulation, or credit rating agency compliance strongly preferred. Strong leadership skills with the ability to motivate, influence, and guide senior professionals. Entrepreneurial mindset with the ability and willingness to be hands-on, deeply involved in daily compliance challenges. Exceptional judgment, integrity, and discretion. Excellent written and verbal communication and interpersonal skills, capable of engaging with regulators, executives, and employees at all levels. Strategic thinker with a pragmatic approach to problem-solving. Salary Range: The anticipated annual base salary range for this full-time position is $300,000 - $350,000. Offer amounts are determined by factors such as experience, skills, geography, and other job-related factors. Benefits: A flexible hybrid work schedule - Tuesdays, Wednesdays, Thursdays in the office Competitive benefits and paid time off Paid family and disability leave 401(k) plan, including employer match (100% vested) Educational and professional development financial assistance Employee referral bonus program About Us: KBRA is a full-service credit rating agency registered in the U.S., the EU and the UK, and is designated to provide structured finance ratings in Canada. KBRA's ratings can be used by investors for regulatory capital purposes in multiple jurisdictions. More Info: KBRA encourages applications from all qualified individuals without regard to race, color, religion, gender, sexual orientation, gender identity or expression, age, national origin, marital status, citizenship, disability, and veteran status or any other basis prohibited by federal, state or local law. #LI-KS1 #Hybrid

Posted 1 week ago

EMCOR Group, Inc. logo
EMCOR Group, Inc.Norwalk, CA
list open positions here. Please check our available positions to confirm that a post or email is genuine. EMCOR Group and its companies do not reach out to individuals to help with marketing or other similar services. If an individual is contacted for services outside of EMCOR's normal application process - it is probably fraudulent. As a leading provider of mechanical and electrical construction, facilities services, and energy infrastructure, we offer employees a competitive salary and benefits package and we are always looking for individuals with the talent and skills required to contribute to our continued growth and success. Equal Opportunity Employer/Veterans/Disabled Compensation Range: $190,000 - $222,000. This position is bonus eligible. Benefits: We are committed to providing employees a comprehensive benefits package which includes medical, dental, and vision coverage, along with health savings and flexible spending accounts, life insurance, disability, a 401(k) Savings Plan, College Coach and employee assistance program. #emcor #LI-MJ1

Posted 1 week ago

Commerce Bank logo
Commerce BankClayton, MO
About Working at Commerce Building a career here is more than just steps on a ladder. It's about helping people find financial safety and success, helping businesses thrive, and making sure people and their money are taken care of. And our commitment doesn't stop there. Our culture is about our people, the ones in our communities and the ones that work with us. Here, you'll find opportunities to grow and learn, to connect with others, and build relationships with the people around you. You'll have the space and resources to grow into the best version of yourself. Because our number one investment is you. Creating an award-winning culture doesn't come easy. And after 160 years, we know Commerce Bank is only at its best when our people are. If this sounds interesting to you, keep reading and let's talk. Compensation Range Annual Salary: $80,000.00 - $107,000.00 (Amount based on relevant experience, skills, and competencies.) About This Job The main purpose of this job is to provide advice with respect to implementation of and compliance with applicable rules and regulations. Essential Functions Stay informed of compliance-related rules, regulations, and guidance in an effort to assist the Banking Compliance Manager, Chief Compliance Officer, and bank staff Review and interpret new and pending laws and regulations that potentially affect the business' operations Assist in review and/or implementation of new products, services, and/or software as it relates to compliance functions Review and evaluate operating procedures and controls related to compliance objectives Review and monitor policies and procedures to ensure compliance with federal and state banking regulations and the compliance program Maintain ongoing relationships with Commerce Bank business lines and support unit partners Demonstrate leadership to, and provide training for, bank staff in compliance-related matters Serve as liaison between the Banking Compliance department and the assigned business unit(s) on identifying and addressing compliance concerns as changes are made Assist in responding to requests from regulators and/or addressing exceptions from audit, both internal and external Provide advice during the development and installation of solutions to ensure proper implementation of compliance requirements and development of ongoing compliance controls Provide ongoing support and advice related to compliance with internal procedures and processes with recommendation for corrective measures where applicable Develop and review content for compliance training programs, including advice to business lines on 1st line of defense training opportunities and content development Assist in the completion of compliance risk assessments Perform other duties as assigned Knowledge Skills & Abilities Required Excellent knowledge of consumer compliance regulations Critical analysis skills sufficient to analyze and communicate complex regulatory concepts Ability to think strategically across multiple lines of business to create practical compliance solutions. Sound business and professional judgment Ability to troubleshoot, problem solve, and successfully manage ambiguity Motivated and organized self-starter with strong attention to detail and the ability to manage multiple priorities Inquisitive, agile, and strong team player with excellent written, verbal, and interpersonal communication skills Ability to remain adaptable and resilient to all situations with an optimistic outlook and cast a positive shadow that is aligned with our culture and Core Values Intermediate level proficiency with Microsoft Word, Excel, and Outlook Education & Experience Bachelor's degree or equivalent combination of education and experience required 6+ years compliance experience required 5+ years progressive banking experience preferred Certified Public Accountant (CPA), Certified Bank Auditor (CBA), Certified Regulatory Compliance Manager (CRCM) or admission to the Bar preferred Level of role is determined by knowledge, experience, skills, abilities, and education For individuals applying, assigned and/or hired to work in areas with pay transparency requirements, Commerce is required by law to include a reasonable estimate of the compensation range for some roles. This compensation range is for the Banking Compliance Advisor III and Senior job and contemplates a wide range of factors that are considered in determining most appropriate job level and making compensation decisions, including but not limited to location, skill sets, education, relevant experience and training, licensure and certifications, and other business and organizational needs. The disclosed range estimate has not been adjusted for any applicable differentials (geographic, bilingual, or shift) that could be associated with the position or where it is filled. At Commerce, compensation decisions are dependent on the facts and circumstances of each situation. A reasonable estimate of the current base pay is $80,000 to $107,000 annually. #LI-Hybrid The candidate selected for this position may be eligible for the following employment benefits: employer sponsored health, dental, and vision insurance, 401(k), life insurance, paid vacation, and paid personal time. In addition, we offer career development, education assistance, and voluntary supplemental benefits. Click here to learn more. Location: 922 Walnut, Kansas City, Missouri 64106 Time Type: Full time

Posted 30+ days ago

D logo
DHL (Deutsche Post)Westerville, OH
This role will compensate between $85,000 - $150,000 per year. This role will require 25% travel in the year. Foreign Trade Zone and Customs Compliance Manager Job Description Responsible for the effective establishment, implementation, and ongoing enhancement of the Foreign Trade Zone (FTZ) program and Customs compliance initiatives within DHL Supply Chain. This role will serve as a subject matter expert in FTZs for various internal stakeholders and DSC customers, while also possessing practical knowledge in Customs and trade compliance across DSC Customs and Trade compliance scope. The individual will ensure that best practices are maintained in response to the DSC continually evolving Customs and international landscape. Responsibilities Serve as the subject matter expert on Foreign Trade Zones and Customs bonded warehouses in North America, leveraging FTZs to support DSC's strategic growth in this area. Provide assistance and guidance for new FTZ and Customs bonded warehouse requests from Business Development, Operations, and customers. Engage with internal stakeholders and external customers to identify potential savings and benefits from DSC FTZ and bonded solutions. Support FTZ applications for designations with local FTZ Grantees and the U.S. FTZ Board for DSC sites. Collaborate with Customs and Border Protection (CBP) and government agencies to ensure timely activation of new FTZs with all relevant FTZ privileges. Owning the activation process from start to go live for new FTZ sites including but not limited to completing the FTZ designation and activation applications on behalf of our customers as needed. Support site requests for FTZ layout modifications. Develop and deliver training for internal stakeholders on FTZ benefits, processes, Customs regulations and compliance requirements, as well as other relevant Customs topics. Respond to inquiries from Customs and government agencies regarding DSC FTZs, bonded warehouses, AES/EEI filings, and other Customs offerings, under the guidance of the Director, Customs and Trade Compliance and legal team. Ensure Internal System Controls is in place across all Customs and Trade Compliance landscape. Coordinate with various teams across DHL divisions and teams (e.g., IT, Business Development, Operations, Finance, Legal) for the smooth implementation of new FTZ activations. Support the implementation of FTZ procedure manuals for new and existing sites, ensuring FTZ work instructions and Standard Operating Procedures are current. Identify compliance risks related to Customs bonded warehouses and FTZ operations, implementing effective mitigation strategies. Work with CBP or other government agencies for any compliance reviews or audits. Ensure DSC, as FTZ operator, meets all regulatory obligations and escalate gaps to Director, Customs and Trade compliance. Ensure alignment across DHL divisions (DSC and DGF) for FTZ solutions to maintain a positive customer experience. Establish and maintain an internal audit program to ensure compliance with Customs regulations for DSC's Customs landscape, including FTZs and bonded warehouses. Collaborate with the Director of Customs and Trade Compliance to monitor and analyze FTZ and Customs compliance performance metrics, driving continuous improvement initiatives. Work with the Director of Customs and Trade Compliance to oversee Customs offerings (e.g., AES filings, FTZ) and provide expert guidance in collaboration with Compliance and Legal teams. Stay informed about changes in international regulations and summarize potential impacts on DSC offerings or customers for the Director of Customs and Trade Compliance. Maintain and improve North America Customs and Trade Compliance Standard Operating Procedures, ensuring systematic document control. Assist in establishing, improving, and monitoring KPIs for DSC FTZs and Customs bonded warehouses. Support the Project Delivery team with Customs and trade compliance requirements for start-ups. Collaborate with North America and Global teams on DSC North America Export Control activities and Denied Party Screening solutions in partnership with Compliance and Legal teams. Required Education and Experience Bachelor Degree or equivalent 4 years work experience,required Licensed Customs Broker (if not yet a LCB, willing to take the LCB exam within 3 years), required Certified Zone Specialist, preferred Certified Customs Specialist, preferred 5+ years of experience in Customs, Trade Compliance, and International Trade, required 2+ years experience with FTZ compliance, required Trade compliance (import/export, trade security, denied party screening) and customs experience (AES, FTZ, CBP) in a large multinational, preferably with third party logistics or freight forwarding, required Skilled at coordinating complex efforts around customs and trade compliance with international, cross-functional stakeholders, required Functional expertise in other areas such as project management, data analysis and metric reporting, risk analysis, change management, etc., required Experience leading staff of 2+ people, preferred Excellent verbal and written communication and facilitation skills required Leadership and influencing skills, required Presentation and project management skills, required Ability to enter and manipulate data to generate reports, required Ability to read and interpret technical documents and regulations, required Our Organization has a business casual environment and focuses on teamwork, associate development, training, and continuous improvement. We offer competitive wages, excellent affordable insurance benefits (including health, dental, vision and life), 401K plan, paid vacation and holidays. Our Organization is an equal opportunity employer. ","title

Posted 1 week ago

Avertium logo
AvertiumMyrtle Point, OR
Avertium is a cyber fusion and MXDR leader, delivering comprehensive security and compliance services to mid-market and enterprise customers. Our unique "Assess, Design, Protect" methodology addresses and improves security strategy, reduces attack surface risk, strengthens compliance, and provides continuous threat protection. Avertium maximizes customer security investments and enables customers to focus on growth, innovation, and business outcomes, while assuring that their security infrastructure is resilient and adaptive to evolving threats. That's why customers trust Avertium to deliver better security, improved compliance, and greater ROI. The successful candidate will have 5+years of experience in cybersecurity. Specifically in the areas of security framework control implementation, compliance, risk analysis/management, threat modeling, and/or security engineering/architecture. The successful candidate will be cybersecurity focused with an emphasis on compliance controls related to HITRUST, HIPAA, PCI, SOX, ISO, and NIST standards. The ability to conduct in-depth security compliance assessments with business and technology partners. Must be able to evaluate the design and/or implementation of security controls in place in order to communicate risks to both technical and non-technical personnel, make recommendations on remediation/mitigation, and design multi-faceted solutions. The successful candidate will be self-disciplined and able to work on individual tasks, sometimes without clear requirements, and to work well in a team environment. The ideal candidate will have experience in the following areas: Qualifications for Success: Bachelor's Degree or higher in an information technology field and/or 5+ years in the cybersecurity or compliance industries. 3+ years performing security risk assessments. 5+ years of experience with NIST frameworks. 5+ years of experience with one or more of the following regulatory frameworks, FedRAMP, HIPAA, PCI, ISO (27001/2). Familiarity or Working Knowledge of CMMC, HITRUST, SOC. Demonstrated proficiency with Microsoft Productivity Tools. CISSP, CISA, CISM, Security+, Microsoft and/or other recognized industry certifications. Demonstrated ability to manage and/or conduct multiple projects simultaneously. In addition to a career in the challenging world of cyber security, Avertium offers competitive salaries, full benefits, unlimited paid time off, participation in 401(k), and opportunities for professional growth and development. We offer the opportunity to work with cutting-edge security technologies in a stimulating work environment. Avertium provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

Posted 4 weeks ago

Pimco logo
PimcoNewport Beach, CA
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Overview PIMCO is seeking a seasoned VP, Compliance Officer to join our global Legal and Compliance team. This role will focus on enhancing and managing the investment adviser compliance program, with a particular emphasis on compliance related to the Employee Retirement Income Security Act of 1974 (ERISA), among other regulatory areas. The successful candidate will lead critical components of the investment adviser and ERISA compliance programs, including policy development, surveillance and monitoring, conflict of interest management, governance, training, and regulatory liaison activities. Key Responsibilities Lead and support the global investment adviser compliance program, collaborating closely with Compliance teams worldwide to drive program enhancements and ensure global consistency Provide expert guidance on regulatory compliance for the firm's separate accounts and alternatives/private funds businesses, including ERISA plan compliance Manage and lead the team responsible for core investment adviser compliance functions such as ERISA compliance, monitoring and surveillance, global policy implementation, regulatory risk assessment, annual risk assessments, testing, and compliance program reviews Draft, review, and implement compliance policies, procedures, memos, and both internal and external communications Oversee compliance requirements related to PIMCO's status as a Qualified Professional Asset Manager (QPAM) Partner with Legal, Portfolio Management, and client-facing teams to identify, assess, and address regulatory compliance matters Proactively stay abreast of regulatory changes and business developments, applying new knowledge to enhance compliance frameworks Take initiative in continuous learning and skill development to maintain regulatory expertise Professional Skills & Qualifications Minimum 8+ years of regulatory compliance experience within a large, diverse investment management firm, with a focus on investment management, regulatory, or ERISA compliance Bachelor's degree required; advanced degree or Juris Doctorate preferred Deep knowledge of U.S. regulatory requirements applicable to investment managers, including ERISA and the Investment Advisers Act of 1940 Strong understanding of fixed income, alternatives, derivatives, commodities, and equity strategies across various investment vehicles (e.g., open-end mutual funds, closed-end funds, ETFs, separate accounts, private funds) Exceptional problem-solving skills with the ability to analyze complex regulatory issues and develop practical solutions Excellent verbal and written communication skills, capable of articulating clear ideas and strategies to diverse audiences Critical thinker and quick learner with the ability to assess situations rapidly and generate actionable insights Service-oriented mindset balancing regulatory rigor with business needs Highly motivated self-starter with a hands-on approach and the ability to drive change Superior organizational skills with the ability to prioritize, manage multiple tasks, and meet tight deadlines Adaptable and flexible, able to pivot quickly in response to evolving business demands Collaborative team player and consensus builder, effective in a matrixed global organization Demonstrated cultural awareness and sensitivity to work effectively in a diverse, global environment Strong integrity and commitment to PIMCO's ethical standards and values PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 137,500.00 - $ 195,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Posted 30+ days ago

Boeing logo
BoeingSan Antonio, Texas
Experienced Dangerous Goods Compliance Specialist Company: The Boeing Company Boeing Global Services (BGS) is searching for an Experienced Dangerous Goods Compliance Specialist to join the Environmental, Health and Safety (EHS) team in San Antonio, TX. The selected candidate will support the growing chemical business within BGS onsite at Boeing’s largest Maintenance/Repair/Overhaul (MRO) facility in San Antonio, TX. The receipt, storage, packaging and shipment of Dangerous Goods (DG) is an area of high risk for The Boeing Company. Preventing DG shipping errors is a vital aspect of the BGS business. Errors can result in fines, suspension of capability, regulatory fines, negative publicity, returned product (at Boeing’s expense), serious safety issues and rework. The cost of poor quality in this area is particularly expensive. Ensuring accurate data, processes and systems as well as conducting internal audits and providing training and updated regulatory information to operations can greatly reduce the number of errors and minimize these risks. This specialist will ensure compliance with dangerous goods (DG) regulations, including 49 CFR, ICAO/IATA and IMO/IMDG. Ensure DG systems and related data are complete and accurate. Acts as a primary onsite interface with regulatory agencies. Assist in the preparation and submittal of DG permit applications and in the management of DOT security plans. Perform program reviews, investigate incidents and provide corrective actions to prevent recurrence of incidents. Perform and support internal audits and take the lead in ensuring completion of corrective actions. Conduct education and training to support regulatory and business requirements. Provide input to new business opportunities and facilities projects to ensure compliance. Evaluate the impact of new regulations on company operations. Review vendor, contractor and supplier activities for DG compliance for site processes and program goals. Support development of dangerous goods management systems. Develop and present reports to leadership. Position Responsibilities: Ensures the BGS San Antonio sites comply with all Dangerous Goods (DG) regulations Uses multiple systems to support operations with the management of DG and evaluate those systems and related processes and data for effectiveness and accuracy Develops training, identify target audience, deliver and track training records Conducts onsite audits, provide training and meet with internal customers and contractors Reports findings to leadership, make recommendations for improvements and track completion of corrective actions Serves as a contact for regulatory agency inquiries and investigations Works with regulatory agencies to obtain permit approvals and request interpretations Basic Qualifications (Required Skills/Experience): 5+ years of experience in dangerous goods, regulations and assessments Experience with problem solving and auditing Experience working with Microsoft Office Applications Availability to travel up to 10-20% both domestically and internationally Preferred Qualifications (Desired Skills/Experience): 5+ years of related work experience or an equivalent combination of education and experience 3+ years of experience as the lead contact with regulatory agencies related to incident investigation and regulatory interpretations Experience with SAP Current DG certifications in place with professional accreditation preferred Capability to work independently, be self-motivated, and effectively work within teams to achieve common goals Team player with the capability to build solid working relationships with multiple stakeholders Strong communication skills, as well as organizational and time management skills Fluent English language skills (both verbally and written); other language skills are a plus Drug Free Workplace: Boeing is a Drug Free Workplace where post offer applicants and employees are subject to testing for marijuana, cocaine, opioids, amphetamines, PCP, and alcohol when criteria is met as outlined in our policies. Pay & Benefits: At Boeing, we strive to deliver a Total Rewards package that will attract, engage and retain the top talent. Elements of the Total Rewards package include competitive base pay and variable compensation opportunities. The Boeing Company also provides eligible employees with an opportunity to enroll in a variety of benefit programs, generally including health insurance, flexible spending accounts, health savings accounts, retirement savings plans, life and disability insurance programs, and a number of programs that provide for both paid and unpaid time away from work. The specific programs and options available to any given employee may vary depending on eligibility factors such as geographic location, date of hire, and the applicability of collective bargaining agreements. Pay is based upon candidate experience and qualifications, as well as market and business considerations. Summary pay range: $82,450 – $111,550 Language Requirements: Not Applicable Education: Not Applicable Relocation: Relocation assistance is not a negotiable benefit for this position. Export Control Requirement: This position must meet export control compliance requirements. To meet export control compliance requirements, a “U.S. Person” as defined by 22 C.F.R. §120.15 is required. “U.S. Person” includes U.S. Citizen, lawful permanent resident, refugee, or asylee. Safety Sensitive: This is not a Safety Sensitive Position. Security Clearance: This position does not require a Security Clearance. Visa Sponsorship: Employer will not sponsor applicants for employment visa status. Contingent Upon Award Program This position is not contingent upon program award Shift: Shift 1 (United States of America) Stay safe from recruitment fraud! The only way to apply for a position at Boeing is via our Careers website. Learn how to protect yourself from recruitment fraud - Recruitment Fraud Warning Boeing is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, national origin, gender, sexual orientation, gender identity, age, physical or mental disability, genetic factors, military/veteran status or other characteristics protected by law. EEO is the law Boeing EEO Policy Request an Accommodation Applicant Privacy Boeing Participates in E – Verify E-Verify (English) E-Verify (Spanish) Right to Work Statement Right to Work (English) Right to Work (Spanish)

Posted today

National Education Association logo
National Education AssociationWashington, DC
If you would enjoy working in a dynamic environment and are looking for an opportunity to become part of a stellar team of professionals, we invite you to apply online today. Posting Period: June 18, 2025 - Until Filled Employee Type: NEAMAC NEA Managers, Attorneys, Confidentials Position Type: Regular Salary Range: $130,667.00 - $185,410.00 Rank: Project Manager Position Details: Salary Range: 130,667.00 - 185,410.00 Founded in 1857, the National Education Association (NEA) is America's oldest and largest organization committed to advancing the cause of public education. Headquartered in Washington, DC, NEA proudly claims nearly 3 million members devoted to the following mission: to advocate for education professionals and to unite our members and the nation to fulfill the promise of public education by preparing every student to succeed in a diverse and interdependent world. Our vision is a great public school for every student. The NEA is also the single largest labor union in the United States, advocating for the excellent and equitable public education system that all students, educators and communities deserve. As an employer, NEA recognizes and honors the right of employees to form unions and collectively bargain. As such, most of NEA's national staff belong to one of three staff unions. Position Summary: The HR/Workplace Compliance Project Manager will investigate matters of conduct and behavioral issues, implement discipline, represent management in negotiated grievance procedures, conduct investigations into complaints of workplace harassment and discrimination, and process, review, track, and monitor all accommodations, administer the intern program, oversee the solicitation of and contracting with vendors that impact collective bargaining agreements, and serve as the management representative on various joint labor-management committees. A successful candidate must understand and have a proven track record promoting diversity, equity, inclusion, and accessibility as part of an overall approach to creating a healthy, respectful, inclusive, joyful, and just workplace culture. Key Responsibilities: Workplace Accommodations: Evaluate employee accommodation requests and engage in an interactive process to implement, track, and monitor all accommodations, ensuring compliance with legal requirements and organizational policies. Collaboration: Serve as the management representative on various joint labor-management committees, fostering collaborative relationships and ensuring effective communication between parties. Workplace Harassment and Discrimination Investigations and Training: Conduct thorough, impartial investigations into complaints of workplace harassment and discrimination. Partner with the NEA Office of General Counsel, relevant staff, and partners to provide individual and collective training to ensure all staff are aware of NEA policies and learn best practices in creating a safe, respectful, inclusive, and collaborative workplace. Assess Matters of Potential Misconduct: Investigate matters of workplace conduct and implement appropriate disciplinary actions in compliance with applicable organizational policies, procedures, and collective bargaining agreements. Collaborate with NEA management staff, HR, and NEA's Office of General Counsel as necessary while respecting the representation rights of employees. Grievance Procedures: Administer for NEA any grievance processes, ensuring they comply with collective bargaining agreements and all applicable laws. Workplace Culture: Collaborate with other members of the HR team to promote NEA's DEIA and Racial/Social Justice learning journeys for all staff. Intern Program: Administer the NEA Intern Program, establish clear objectives, administer a structured application process, conduct onboarding and orientation sessions, provide training for interns, assign real, valuable projects related to the interns' field of study, and facilitate networking opportunities. Contracting with Vendors: Ensure compliance with NEA contractual obligations regarding the solicitation of and hiring of vendors. Qualifications: Juris Doctorate (JD) from an accredited law school or an equivalent combination of education and experience from which comparable knowledge and skills may be acquired. Proven experience in labor law, employment disputes, and compliance with Title VII. Commitment to and understanding the value of organized labor Deep understanding of HR compliance frameworks and employment law and regulatory requirements. Strong knowledge of grievance procedures and best practices related to workplace investigation protocols. Excellent communication and investigation skills. Ability to handle confidential and/or sensitive information with discretion and professionalism. Understanding and proven experience applying equity-centered decision-making strategies to promote fairness, consistency, transparency (to the extent legally allowable), and inclusion. Minimum of 8 years of experience in labor relations, human resources, or a related field. Skills: To carry out responsibilities, the incumbent needs strong written and verbal skills, the use of a computer and/or laptop, associated software, and other office technology and online collaborative tools, including Microsoft Teams or other videoconferencing applications. Analytical and problem-solving skills. Strong organizational and time management abilities. Ability to work independently and as part of a team. In compliance with the Americans with Disabilities Act (ADA), the following is provided: The position involves skill in using a computer and/or laptop; oral and written communication skills; skills in proofreading and editing; use of clear and articulate speech; interpersonal relations skills; reasoning and problem-solving skills; ability to work in a fast-paced environment; ability to sit for long periods, stoop, bend, reach and carry light materials (up to 10 lbs.); and ability to travel by various methods of transportation, e.g., airplane, car. NEA is an equal opportunity/affirmative action employer and encourages applications from all qualified candidates regardless of gender, race, ethnicity, age, sexual orientation, marital status, religion, or disability. Know Your Rights: Workplace Discrimination is Illegal. To apply for this position or to search for other openings, please go to our jobs page at Careers at NEA (myworkdayjobs.com) NEA Participates in E-Verify. Read more here E-Verify Participation & Right to Work. NEA complies with the DC Wage Transparency Act of 2023.

Posted 3 days ago

Hydrite logo
HydriteCottage Grove, WI
WHO WE ARE We are a company where people matter . We are family driven . We are financially strong . And we are looking for problem-solvers to join our growing team. BENEFITS Up to 10% Retirement Contribution $600 per Year Wellness Incentive Two Weeks Starting Paid Time Off Medical, Dental, and Vision - Eligible f irst day of the month following hire date. JOIN A TOP WORKPLACE - https://www.youtube.com/watch?v=7nlFHnnfvhk Compliance Manager The Compliance Manager is responsible for ensuring the organization operates in accordance with all applicable legal, regulatory, and ethical standards. This role leads the development, implementation, and oversight of comprehensive compliance programs, including policy creation, internal audits, and employee training initiatives. A key focus of this position is managing the facility’s waste program to mitigate safety and compliance risks. This includes oversight of customer waste received, processed, and recycled on-site, as well as internally generated waste. The manager coordinates waste management, including treatment, storage, disposal, documentation, and regulatory reporting. A strong understanding of solid and hazardous waste regulations is essential, as the role provides technical and regulatory guidance to support compliant operations. Primary responsibilities include: Ensure compliance with all local, state, and federal environmental permits, including but not limited to the Wisconsin Waste License, stormwater, and air permits. Prepare and submit permit applications, renewals, and modifications, with a focus on maintaining the Wisconsin Waste License. Serve as the primary liaison with the Wisconsin DNR regarding updates to the Hazardous Waste Permit and Waste Analysis Plan. Evaluate and implement alternative waste management strategies to improve operational efficiency and reduce costs. Monitor and manage satellite and 90-day hazardous waste accumulation areas to ensure full compliance with regulatory requirements. Oversee all inbound and outbound waste shipments, including operations at the 10-day transfer facility. Submit monthly electronic alcohol reports in accordance with TTB regulations. Build and maintain strong relationships with regulatory agencies and third-party vendors to support compliance efforts. Provide technical and regulatory training and guidance to internal teams, including sales, operations, laboratory, and maintenance personnel. Prepare and maintain documentation such as waste profiles, land ban notifications, and hazardous waste manifests. Conduct routine inspections to ensure compliance with hazardous waste, water, air, and SPCC (Spill Prevention, Control, and Countermeasure) regulations and internal policies. Stay current on environmental legislation and regulations, recommending and implementing procedural updates to minimize legal risk. Deliver annual environmental training for new hires and existing employees. Participate in the investigation of environmental incidents and spills, and recommend corrective actions and process improvements. Respond to special requests and provide technical support to both internal and external stakeholders. Lead site visits and inspections conducted by customers and regulatory agencies. Conduct audits of third-party waste vendors to ensure compliance and performance standards. Complete annual hazardous waste reporting and assist with TRI and other regulatory submissions. Perform scheduled walkthroughs and inspections (weekly, monthly, annual) using work order-generated checklists, including GMP, universal waste, and 90-day accumulation areas. Provide leadership, support and backup for filing of manifest and EPA’s e-Manifest system and ensure discrepancies are addressed in a timely manner. This supports the organization’s ISO 9001 quality management system. REPORTING STRUCTURE This position reports to the Director of Engineering and Compliance PREFERRED EXPERIENCE Bachelor’s degree in chemistry, environmental science, engineering, or other technical field is required. 3-5 years of RCRA permitting/compliance experience. Knowledge of ISO 9001 and experience implementing/maintaining quality programs. Certified Hazardous Materials Manager (CHMM) certification preferred. Certified ISO 9001(quality) Lead auditor required. Certified ISO 14001 (Environmental) preferred. Strong computer skills and knowledge of Power Point, Word, and Excel required. Must have communication and interpersonal skills, along with the ability to read, write, and speak English. Possess adequate skills to communicate with customers and plant personnel, and to prepare written reports and procedures. Must be detail-oriented, focused, and able to prioritize PHYSICAL REQUIREMENTS Ability to regularly lift and/or move up to 20 pounds without assistance. Ability to work from various squatting, kneeling, or bending positions. Ability to work with arms above head. Ability to work from ladders or scaffolding. Ability to stand or walk within the manufacturing environment for eight hours per day (minus specified breaks). ADDITIONAL BENEFITS Benefits and perks include 401k and profit sharing, medical/dental/vision/life insurance, paid time off, tuition reimbursement, adoption assistance, legal services insurance, scholarship awards for children of employees, summer picnic, community giving events, free family wellness coaching including nutritionist and fitness coach. WANT TO STAY CONNECTED? FIND US ON SOCIAL MEDIA LinkedIn: linkedin.com/company/hydrite-chemical-co- Facebook: facebook.com/hydrite YouTube: https://www.youtube.com/watch?v=Bs_493NR8RI Learn more about Hydrite on our website: www.hydrite.com/careers Privacy Notice for California Residents: https://www.hydrite.com/Legal/Privacy-Notice-for-Employees.htm

Posted today

Locus Robotics logo
Locus RoboticsWilmington, Massachusetts
Locus Robotics is a leader in the rapidly growing eCommerce order fulfillment optimization space. Our solution helps warehouse owners attain 2-3X efficiency improvement over cart-picking operations, by empowering pickers to work collaboratively with our robots. All this is accomplished while integrating with the operator’s Warehouse Management System, utilizing and optimizing existing facility infrastructure. This is an opportunity to join the ranks of a brilliant, high performance team, deploying cutting-edge technology to address real-world logistics challenges for major global brands. The Enterprise Security, Risk and Compliance Co-Op (ESRC) will provide support for the team in their daily security, risk, compliance and audit activities. This is a 6-month Co-Op starting for the Spring semester cycle. This experience will be an excellent educational opportunity as you will be involved in multiple security, risk and compliance domains. This Hybrid role is based out of Wilmington, MA. Local candidates only. Responsibilities Assist in gathering compliance and audit artifacts across different functional areas to satisfy audit, risk and control requirements. Assist in documentation gathering, formatting, and publishing for internal customers. Support solution deployments designed to enhance and mature existing processes and procedures. Facilitate collaboration by properly tracing and identifying appropriate business process and system owners. Enable and schedule appropriate discussions and activities in support of key deliverables. Gather ESRC relevant data in support of reporting, analytics and stakeholder communications. Participate in creating audit procedures in support of key audit activities. Collect, format and present security risks and vulnerabilities in an effort to support the remediation plan and activities. Qualifications Ability to work a hybrid role (Mon-Fri, 9am-5pm) for this spring co-op internship period (Jan - June 2026). Undergraduate or graduate student currently enrolled at an accredited college or university studying the field of business administration, legal studies, security, audit and/or engineering. An intermediate or higher level understanding of technology. Proficient in the use of MS Office applications. Proficient English communication skills, both written and verbal, with the ability to engage diverse audiences effectively. Affinity for working with people in a team environment and professional demeanor. Applicants must have a minimum cumulative grade point average of 3.0 Previous Internship experience in the field of cybersecurity is a plus. Additional Information Locus Robotics is an equal opportunity employer

Posted today

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Truist Financial CorporationAtlanta, GA
The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: This role is Office Centric - 4 days a week in the office* Manages Truist's all aspects of internal and external audits for IAM. Seeking talent with experience working directly on behalf of a financial institution with regulators like the Federal Reserve Board (FRB), Office of the Comptroller of the Currency (OCC), and Federal Depositors Insurance Corporation (FDIC) Leads and develops strategies for closing cybersecurity management compliance gaps, partners in the analysis of legal, regulatory and compliance initiatives. Manages cybersecurity risk and compliance functions which include: performing assessments to identify, manage and mitigate cyber risks, assessing and guiding remediation of compliance gaps, evaluating and tracking cyber program maturity, and acting as exam & audit advisor to business segments and functions. ESSENTIAL DUTIES AND RESPONSIBILITIES Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time. Responsible for managing all aspects of internal and external audits for IAM. Work with key stakeholders, including senior subject matter experts, to build evidence packages and materials for use in internal and external audits. Present complex concepts in a clear and understandable manner to diverse audiences. May facilitate a team of professional-level individual contributors. Sets the team's direction and communicates individual and team priorities. Manages deliverables for the team against expected results. Makes judgments about priorities and the team's approach to work based on an understanding of how the team contributes to the achievement of broader objectives. Required Qualifications: The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Bachelor's degree preferably in regulatory affairs, business, organizational or compliance law, or financial services Ten years related experience at a large financial institution performing legal, compliance, or other duties such as risk management and/or project management Ability to lead projects of moderate complexity and notable risk exposure while remaining highly organized Strong knowledge on cybersecurity risks, frameworks, best practices and industry/regulatory requirements. Knowledge and experience in use of cyber security governance programs. Preferred Qualifications: Experience interacting with financial services regulatory bodies; preferably Office of the Comptroller of the Currency (OCC), Federal Reserve Board (FRB), FDIC, etc. (laws, rules, regulations and guidance) Highly organized; executive communication skills Cybersecurity certifications such as CISA, CISSP Regulatory Change Management experience OTHER JOB REQUIREMENTS / WORKING CONDITIONS Sitting Constantly (More than 50% of the time) Visual / Audio / Speaking Able to access and interpret client information received from the computer and able to hear and speak with individuals in person and on the phone. Manual Dexterity / Keyboarding Able to work standard office equipment, including PC keyboard and mouse, copy/fax machines, and printers. Availability Able to work all hours scheduled, including overtime as directed by manager/supervisor and required by business need. Travel Minimal and up to 10% General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work. Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace. EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify

Posted 3 weeks ago

Starr Companies logo
Starr CompaniesNew York, NY
Starr Insurance Companies is a leading insurance and investment organization, providing commercial property and casualty insurance, including travel and accident coverage, to almost every imaginable business and industry in virtually every part of the world. Cornelius Vander Starr established his first insurance company in Shanghai, China in 1919. Today, we are one of the world's fastest growing insurance organizations, capable of writing in 128 countries on 6 continents. Starr Insurance Companies is a global insurance and investment organization providing property and casualty insurance solutions to business and industry, and one of the fastest-growing insurance companies in the world. Our talented and experienced associates manage risk and ultimately support the profitable growth of organizations in a dynamic, competitive and ever-changing marketplace. Join us and become part of our talented and passionate workforce. Duties and Responsibilities: Research filing requirements and develop filing strategy; provide insight and guidance for highly regulated states or complex filings. Preparation, submission and monitoring of P&C rate, rule and form filings via SERFF and Florida Insurance Regulation Filing System (IRFS) including completion of filing exhibits, filing letters, and handling objection letters. Responsible for notification and communication of rate, rule and forms revisions to Quality Assurance (QA) and Underwriting. Understand policy construction including mandatory, optional and conditional mandatory coverage and forms. Analyze new insurance laws, regulations and bulletins to determine applicability to existing products. Track legislation for existing products and revise products accordingly. Provide support to members of the underwriting department in the area of compliance operations and procedures. Support new product/program implementation and current program maintenance. Tasks include: review, standardize, and assist with development of Policy forms and/or Policy Notices. Develop or update forms lists, and rate & rule manuals. Participate on underwriting audits and/or market conduct exams, as needed Monitor bulletins and circulars from ISO/AAIS/NCCI and Independent Bureaus for impact to assigned products. Other duties as assigned Skills/Experience Required: Bachelor's degree preferred 5+ years experience within a Property & Casualty insurance carrier primarily handling filings Proficient with Microsoft Office Suite Excellent verbal, written and organization skills For individuals assigned and/or hired to work in New York, Starr Insurance Companies is required by law to include a reasonable estimate of the compensation range for this role. The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets: experience and training: licensure and certifications: and other business and organizational needs. A reasonable estimate of the current range is $83,500-116,700. #LI-NK1 Starr is an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and we're committed to creating an inclusive environment for all employees. We offer first class training and development opportunities to all employees. Our aim is to grow our own talent and bring out the best in people.

Posted 30+ days ago

PwC logo
PwCChicago, IL
Industry/Sector Not Applicable Specialism Data, Analytics & AI Management Level Senior Associate Job Description & Summary At PwC, our people in data and analytics engineering focus on leveraging advanced technologies and techniques to design and develop robust data solutions for clients. They play a crucial role in transforming raw data into actionable insights, enabling informed decision-making and driving business growth. Those in data science and machine learning engineering at PwC will focus on leveraging advanced analytics and machine learning techniques to extract insights from large datasets and drive data-driven decision making. You will work on developing predictive models, conducting statistical analysis, and creating data visualisations to solve complex business problems. Focused on relationships, you are building meaningful client connections, and learning how to manage and inspire others. Navigating increasingly complex situations, you are growing your personal brand, deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients, and to deliver quality. Embracing increased ambiguity, you are comfortable when the path forward isn't clear, you ask questions, and you use these moments as opportunities to grow. Examples of the skills, knowledge, and experiences you need to lead and deliver value at this level include but are not limited to: Respond effectively to the diverse perspectives, needs, and feelings of others. Use a broad range of tools, methodologies and techniques to generate new ideas and solve problems. Use critical thinking to break down complex concepts. Understand the broader objectives of your project or role and how your work fits into the overall strategy. Develop a deeper understanding of the business context and how it is changing. Use reflection to develop self awareness, enhance strengths and address development areas. Interpret data to inform insights and recommendations. Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance), the Firm's code of conduct, and independence requirements. Job Description Generator Output The Opportunity As part of the Data and Analytics Engineering team you will develop, implement, and enhance machine learning models and algorithms for various applications. As a Senior Associate you will analyze complex problems, mentor others, and maintain rigorous standards while building meaningful client connections and navigating increasingly complex situations. This role offers the chance to deepen your technical knowledge and grow your personal brand while collaborating with stakeholders to create innovative solutions. Responsibilities Mentor junior team members to enhance their skills and knowledge Build and maintain productive relationships with clients Navigate intricate situations to deliver quality results Uphold professional standards and maintain quality in deliverables Continuously enhance technical knowledge and personal brand What You Must Have Bachelor's Degree 3 years of machine learning and generative AI development experience What Sets You Apart Doctor of Philosophy in Computer Science, Data Processing/Analytics/Science, Business Administration/Management, Risk Management, Statistics, Mathematical Statistics preferred Developing and optimizing machine learning models and algorithms Designing and building generative AI models for innovative solutions Working with stakeholders to translate business requirements Processing, cleaning, and verifying data integrity Conducting testing and validation of models for accuracy Staying current with advancements in machine learning and AI Mentoring junior team members in data science practices Experience connecting to APIs and systems Demonstrating hands-on experience with OpenAI, CoPilot Studio, Azure AI, Gemini, AgentSpace, Claude, and other GenAI platforms Possessing hands-on experience with LangChain, LangFlow, Agent SDK, AgentForce, AgentSpace, Copilot Studio, LlamaIndex, Autogen, Palantir Foundry, ReAct, etc. Travel Requirements Up to 60% Job Posting End Date Learn more about how we work: https://pwc.to/how-we-work PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy . As PwC is an equal opportunity employer, all qualified applicants will receive consideration for employment at PwC without regard to race; color; religion; national origin; sex (including pregnancy, sexual orientation, and gender identity); age; disability; genetic information (including family medical history); veteran, marital, or citizenship status; or, any other status protected by law. For only those qualified applicants that are impacted by the Los Angeles County Fair Chance Ordinance for Employers, the Los Angeles' Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, San Diego County Fair Chance Ordinance, and the California Fair Chance Act, where applicable, arrest or conviction records will be considered for Employment in accordance with these laws. At PwC, we recognize that conviction records may have a direct, adverse, and negative relationship to responsibilities such as accessing sensitive company or customer information, handling proprietary assets, or collaborating closely with team members. We evaluate these factors thoughtfully to establish a secure and trusted workplace for all. The salary range for this position is: $77,000 - $202,000, plus individuals may be eligible for an annual discretionary bonus. For roles that are based in Maryland, this is the listed salary range for this position. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. PwC offers a wide range of benefits, including medical, dental, vision, 401k, holiday pay, vacation, personal and family sick leave, and more. To view our benefits at a glance, please visit the following link: https://pwc.to/benefits-at-a-glance

Posted 30+ days ago

Sompo International logo
Sompo InternationalPurchase, NY
As a leading provider of insurance and reinsurance with worldwide operations and employees in Bermuda, U.S., U.K., Continental Europe and Asia, we recognize that our success is derived directly from those who matter the most: our people. At Sompo International, our values of integrity, collaboration, agility, execution and excellence underpin our culture and our commitment to providing an employee experience that attracts and engages the best talent in the industry. As we continue to grow, we strive to find diverse, innovative and driven professionals to join our teams and offer a broad range of career and development opportunities at all levels, in multiple business areas, in each of our locations throughout the world. Our compensation and benefits programs are market driven and competitive, with excellent family friendly policies and flexible working provisions. Job Description We are seeking an Intern- Legal / Compliance {New York, NY or Purchase, NY} Our Internship Program will allow students to gain corporate experience, learn about legal and regulatory frameworks, and prepare students with the kind of experience needed for careers in compliance and corporate law. As a Legal & Compliance Intern, you will gain exposure to the regulatory and governance framework that underpins the insurance industry. You will assist with research, monitoring regulatory changes, drafting communications, and supporting projects that help maintain the company's compliance with global standards. The Sompo Internship Experience Throughout the program, you will have the opportunity to gain meaningful, hands-on experience within your assigned function, working directly on projects that contribute to our business. You will also take part in structured professional development, participate in our global Executive Speaker Series, and join networking activities with fellow interns, peers, and leaders across the organization. Our program is designed to give you both functional knowledge and broad exposure to the insurance industry, while building skills that will support your future career. Duties and Responsibilities Gain knowledge of the insurance industry and how your function contributes to organizational success Contribute to team projects, analysis, and reporting Support the execution of day-to-day activities and special initiatives within your function Participate in problem-solving and process improvement efforts Communicate effectively with team members and share insights with managers and mentors Qualifications Sophomore or Junior enrolled in an accredited university working toward a bachelor's degree in a relevant field (e.g., Business, Finance, Economics, Accounting, Mathematics, Information Technology, Computer Science, Risk Management, or related disciplines) Minimum GPA of 3.0 on a 4.0 scale Proficient in Microsoft Word, Excel, and PowerPoint (or similar tools) Strong attention to detail and accuracy Ability to think critically, analyze information, and contribute ideas Effective interpersonal and communication skills Ability to work in a fast-paced team environment with shifting priorities Must be at least 18 years old and authorized to work in the United States without restriction Local to the desired office location or able to secure housing and transportation in the area Alignment with Core Values Accountability- Raises the Bar: Takes ownership of work, follows through on commitments, and delivers high-quality results. Agility- Keeps It Simple: Learns quickly, adapts to change, and approaches challenges with a positive, solutions-focused mindset. Collaboration- Builds Relationships: Works effectively with peers and mentors, communicates openly, and contributes to a supportive team environment. Development- Is Curious: Seeks opportunities to learn, asks questions, and shows enthusiasm for gaining new skills and knowledge. Integrity- Is Trustworthy: Demonstrates honesty, respect, and ethical behavior in all interactions. Salary Range: $20- $22/hr. Actual compensation for this role will depend on several factors including the cost of living associated with your work location, your qualifications, skills, competencies, and relevant experience. We are Sompo, a global provider of property, casualty, and specialty insurance and reinsurance. Building on Sompo Holding's 135 years of innovation, we seek to deliver a unified approach to servicing and providing customized solutions for our clients, ensuring that we meet their needs effectively and consistently. We strive to strengthen engagement with our clients and business partners every day by using the in-depth knowledge and insights of our experts to swiftly navigate the ever-shifting risk landscape in a fast and agile way - providing them with the products and coverages they need - underpinned by exceptional levels of service. Around the world, our 9,500+ employees use their expertise to learn, improve and find clear answers for your complex challenges. Because when you choose Sompo, you choose the ease of expertise. Sompo is an equal opportunity employer and we intentionally value inclusion and diversity. Above all, we want you to work in an environment that respects everyone's unique contributions - we are passionately committed to equal opportunities. We do not discriminate based on race, color, religion, sex orientation, national origin, or age.

Posted 1 week ago

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VOYA Financial Inc.Atlanta, GA
Together we fight for everyone's opportunity for a better financial future. We will do this together - with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone's access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today. Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with - and those we acquire throughout our lives - are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision. Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage- Apply Now Position Summary: Provides first level compliance support, as part of a larger compliance program, for a retail Broker-Dealer/Registered Investment Advisor including: surveillance testing and reporting, general compliance support to field and home office OSJs, and specific compliance functions such as: handling disciplinary actions and monitoring audits and inspections. Position Description: Involved in most if not all of the following activities to ensure compliance with laws and regulations: Address compliance inquiries from field OSJ Managers, their staff and Supervisory Consultants providing answers and solutions that are based on broker dealer and RIA policies and procedures. Effectively communicate regulatory and procedural changes and/or important issues to affected business unit(s), the field OSJ managers, their staff and the Supervisory Consultants. Build strong relationships with business partners, including other members within the Compliance Department, Supervisory Consultants, OSJ Managers and their staff. Partner with Field OSJs and RRs to ensure compliance with broker dealer and RIA policies and procedures Review completed audits and inspections; where findings are noted, determine adequacy of responses discussing compliance concerns or potential violations with OSJ Managers, their Supervisory Consultants and financial professionals, as needed. Work with OSJ Managers in developing Heightened Supervision plans as situations arise and monitor active plans to ensure that required activities are being completed and documented. Present potential disciplinary cases to the Field Resolution Committee and deliver agreed upon disciplinary documentation to the OSJ Manager of the financial professional being disciplined. Conduct surveillance testing (daily, monthly, quarterly) applicable to broker dealer and investment advisory activities, reporting any identified issues to Compliance management and Operations, as applicable. Assist management by ensuring that the Surveillance program continues to meet the needs of the broker/dealer and RIA; Determine the need for new surveillance testing and engage in the development of testing procedures Correspond with customers and appropriate government agencies. This may include insurance departments, SEC, or FINRA. Maintain internal compliance materials such standard operating procedures and job aids. Monitor and review business transactions for suspicious activity, red flags, fraud, and/or other questionable behavior. Participate in business and compliance related projects, surface issues and report back to management on topics related to projects. Continual awareness of activities in purview to identify potential key compliance risks for reporting to compliance management. Other duties as assigned. May also be responsible for: Build relationships with business partners. Strives for consistency and timeliness of assigned tasks, projects, etc. on an ongoing basis. Demonstrate teamwork and be a team player by: supporting and encouraging peers as opportunities present themselves, participating in meetings, being available and approachable, displaying a positive attitude, setting a good example, and adhering to Voya's corporate policies and procedures. Effectively communicate, establish partnerships and provide support to internal business partners, (e.g. Supervisory Consultants, Licensing, and members of the other areas of Compliance. Knowledge & Experience: Bachelor's Degree or equivalent experience. Minimum 5 years relevant experience in compliance or related/relevant industry experience. Required FINRA registrations S7 & S24 Solid knowledge and understanding of annuity products, securities and investment advisory products. Strong verbal and written communication skills, and strong interpersonal skills. Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company. Proven ability to prioritize assignments and maintain and/or exceed established processing time frames with limited supervision. Demonstrated and proven ability to work across business lines and/or departments for continuous improvement opportunities and to develop and implement risk mitigation activities. Takes ownership for issues throughout the resolution process. Gathers necessary information to assess each situation. Confirms next steps and deadlines to ensure consistent follow through and follow up as needed; keep customers informed of progress. Takes responsibility for errors and applies new knowledge to future situations. #LI-SS1 Compensation Pay Disclosure: Voya is committed to pay that's fair and equitable, which means comparable pay for comparable roles and responsibilities. The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting. Actual compensation offered may vary from the posted salary range based upon the candidate's geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. $60,450 - $100,760 USD Be Well. Stay Well. Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That's why we offer an array of plans, programs, tools and resources with one goal in mind: To help you and your family be well and stay well. What We Offer Health, dental, vision and life insurance plans 401(k) Savings plan - with generous company matching contributions (up to 6%) Voya Retirement Plan - employer paid cash balance retirement plan (4%) Tuition reimbursement up to $5,250/year Paid time off - including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day. Paid volunteer time- 40 hours per calendar year Learn more about Voya benefits (download PDF) Critical Skills At Voya, we have identified the following critical skills which are key to success in our culture: Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations. Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution. Team Mentality: Partnering effectively to drive our culture and execute on our common goals. Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions. Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage. Learn more about Critical Skills Equal Employment Opportunity Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law. Reasonable Accommodations Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities. Misuse of Voya's name in fraud schemes

Posted 5 days ago

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ChargePoint Holdings Inc.Campbell, CA
Reports To Senior Director, People Operations & HRIS What You Will Be Doing The Manager of People Operations & Compliance is a hands-on operational manager responsible for ensuring that ChargePoint's people practices are operationally efficient, legally compliant, and user-friendly. This role is directly responsible for HR compliance, immigration, employee lifecycle, and data management activities. You're ideal for this role if you possess an inherent ability to galvanize teams, inspire colleagues to embrace initiatives, and collaborate effectively toward shared goals. With a natural flair for rallying support and building momentum, you excel in ensuring projects progress smoothly for all participants. Your tenacity shines through as you persistently tackle challenges, demonstrating resilience and resourcefulness in overcoming obstacles. Driven by a steady focus on results, you strike a balance between the urgency of meeting deadlines and meticulous attention to detail, ensuring both efficiency and excellence in all aspects of your work. Additionally, you exhibit a deep appreciation for structure, methodology, and precision, thriving in environments where rules, policies, SOPs, and regulations must be meticulously upheld. Key Responsibilities HR Operations: Closely supervise and be responsible for the day-to-day People Operations function for the North American region (Canada, United States, Mexico) for the employee life cycle. This includes managing processes and practices (SOPs), employee onboarding, offboarding, HRIS management, and the following: Data Integrity, Management, and Privacy Protection: Conduct data cleanup initiatives to ensure the accuracy and integrity of HR data. Implement data management best practices to maintain reliable and up-to-date information. Partner with internal stakeholders and ensure compliance with data privacy regulations (e.g., CCPA, GDPR) Immigration: Execute all aspects of immigration processes, including visa applications, renewals, and compliance with immigration laws. Provide support, guidance, and timely service to employees on immigration-related matters Payroll Integration: Collaborate with the Payroll team to integrate HR processes and data, ensuring accurate and timely payroll processing. Develop and maintain efficient workflows between HR and Payroll systems Vendor Management: Manage relationships with immigration and background check vendors to ensure high-quality service and adherence to our policies Compliance Management: Directly manage and serve as subject-matter-expert for US compliance with regards to all US federal, state, and local employment laws and regulations (e.g., CA Pay Data Reporting, EEO-1, OFCCP compliance, etc.), and Sarbanes-Oxley (SOX) requirements. Ensure the proper tracking of adherence to employment laws, regulations, and industry practices impacting HR policies and procedures to proactively ensure compliance. This also includes the following: Global Compliance Training: Ensure timely completion of global compliance training (e.g., harassment prevention) and regulatory requirements across all regions. Internal Audit: Coordinate with the People team to respond to HR-related internal audit requests to ensure compliance with company policies, SOX requirements, and regulatory standards. Identify areas for improvement and implement corrective actions as needed. What You Will Bring to ChargePoint Bachelor's Degree in Human Resources, business administration, or a related field, or equivalent, with HR Certifications such as GPHR/SPHR, or equivalent work experience required 5 or more years of experience in HR operations and compliance required, with at least 3 years of which are global Proven track record of success in a fast-paced, lean environment Deep expertise in managing HR compliance (e.g., I-9, SOX, EEO-1, SOC2 audits, GDPR), ensuring adherence to labor laws, responding to internal audit,s and implementing corrective actions is required Expert knowledge of best practices in employee lifecycle processes, workflows, approvals, and SOPs Proficient as an HRIS system administrator (e.g., UKG or Workday preferred), data governance, payroll integration, and audit procedures Possess a keen eye for detail, ensuring accuracy in documents and processes Excellent communication and interpersonal skills, with the ability to build strong relationships at all levels of the organization Demonstrated ability to lead and galvanize teams, and independently drive initiatives to successful completion High level of tenacity and resilience, with a passion for continuous improvement and problem-solving Ability to thrive in a high-growth, fast-paced environment and approach challenges with curiosity and a solutions-oriented mindset Strong personal ethical integrity and respect for confidentiality Skilled in MS Office (Word, Excel, & PowerPoint) Location Campbell, CA ChargePoint is committed to fair and equitable compensation practices. The targeted US salary range for roles at this operating level is $87,500 to $150,000. This range represents base salary and does not reflect equity, benefits or variable pay where applicable. Actual base salaries are based on several factors unique to each candidate, including but not limited to skill set, experience, certifications and specific work location

Posted 3 days ago

tastytrade logo
tastytradeChicago, Illinois
Company Name: tastytrade Role: Compliance Associate- Digital Assets Location: Chicago, IL – Hybrid (3 days/week in office) Required Licenses: Series 7, 63 In this Compliance Associate-Digital Assets role, you will leverage your expertise in blockchain technology and transaction monitoring to identify and investigate suspicious cryptocurrency activity, ensuring our firm’s adherence to regulatory requirements such as AML and KYC. You will work closely with compliance and risk teams to develop and maintain surveillance protocols, utilize advanced blockchain analytical tools, and stay current on evolving industry trends and regulations. This is a critical role for mitigating financial crime risks and supporting the firm’s commitment to regulatory compliance and security. What You’ll Do: Monitor cryptocurrency transactions and blockchain activity for signs of suspicious or illicit behavior Utilize blockchain analytical software to satisfy the Firm's KYT requirements and flag and identify potential risks Investigate and document findings related to suspicious transactions or wallets Work closely with compliance and risk teams to ensure adherence to regulatory requirements such as AML and KYC Develop and maintain surveillance protocols and automate detection processes. Stay updated on the latest cryptocurrency trends, threats, regulations, and enforcement actions Report and escalate suspicious activities to appropriate regulatory or law enforcement agencies as required Provide training and guidance to internal teams on crypto-related compliance risks Who You Are: Strong understanding of blockchain technology and cryptocurrency markets Experience with transaction monitoring tools and blockchain analytics platforms (e.g., Chainalysis, Elliptic) Knowledge of AML, KYC, and financial crime prevention regulations Analytical mindset with attention to detail and the ability to interpret complex data Background in compliance, fraud detection, finance, or cybersecurity is preferred Excellent communication and reporting skills Ability to work independently and as part of a cross-functional team Licensing: Required: Series 7 and Series 63 ( must be active ) Preferred: Series 24 ( will be required post-hire within 120 days of the start date ) & CAMS Team Perks/Benefits: Performance Bonuses Stock Purchase Options 401k Plan Medical/Dental/Vision Benefits 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!) 10 Paid Sick Days Gym Membership Reimbursement Commuter Benefits Pet Insurance Wellness & Mental Health Programs Charitable Donation Matching Two Paid Volunteer Days Off Daily catered lunch when in the office Full kitchen with snacks and beverages In-building gym Shuttle to/from Metra Office located in the West Loop- Chicago's growing center of tech, great cuisine, and high-end bars Salary Range: $90,000 - $120,000 The actual salary offered will be based on the candidate's level of experience and qualifications About Us: The tasty house of brands empowers individual traders differently. tasty live , founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and tastyfx, is a registered Forex broker-dealer. In 2021, London-based IG Group acquired tasty live , Inc. (previously known as tastytrade) and assigned it to lead business in North America. tastyfx is the fastest-growing forex broker in the US over the past few years. Changing the IG US name to tastyfx marks the next chapter, in aligning with the tasty brand family and offering a more forex-focused experience. This combined team has years of experience like institutional brokers, but also a passion for disrupting the entire trading industry. Our dream is simple: we want more people to find more success with a better trading experience. That’s why we’re investing heavily in the right people, technology, and media to make that happen in the US and across the globe. Location: Our office is in the West Loop- Chicago's growing center of tech, great cuisine, and high-end bars. tastytrade | tasty live | tastyfx | tastycrypto 1330 W Fulton Market, Chicago, IL 60607 *Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role but your experience doesn't align perfectly, we encourage you to apply anyway. You may be just the right candidate for this or other roles!

Posted today

Gemini logo
GeminiNew York City, New York
About the Company Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact. The Department: Compliance The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes. The Role: Lead, Broker Dealer Compliance Gemini is seeking a dynamic self-starter to lead our broker-dealer compliance program. This role requires deep expertise in federal and state securities regulation, particularly SEC and FINRA rules. The ideal candidate will have hands-on experience building out a retail brokerage compliance program, strong knowledge of supervisory activities and surveillance operations, as well as familiarity with digital assets. This role is required to be in person twice a week at our New York City, NY office. Responsibilities: Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program Maintain the broker-dealer’s AML Program Respond to regulatory requests and inquiries as well as serving as a lead in regulatory exams related to the broker-dealer Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations Provide input on compliance tools and technologies for effective compliance monitoring and oversight of the broker-deal business Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements Oversee trade compliance, reporting, and record-keeping requirements Review and approve advertising, marketing, and sales materials Monitor changes in regulations that may impact the broker-dealer business and advise internal stakeholders on potential impact Minimum Qualifications: BA/BS degree Active FINRA Series 7, 63, 24 Licenses 8+ years of securities and regulatory compliance advisory experience Deep expertise in broker-dealer operations and associate regulatory framework Strong understanding of FINRA and SEC Compliance Requirements, specifically Regulation ATS Comfort in a technology-forward company and facility with computer and web-based applications, including Google GSuite, case management systems, and web-based databases Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses Ability to work independently Authorization to work in the United States and fluency in English Preferred Qualifications: Advanced degree/certifications, e.g. JD, MBA Familiarity with virtual currencies, digital transfer platforms, ATS Comfort with an ever-changing regulatory and business environment Proven ability to proactively, efficiently, and accurately assess risks in a fast-paced environment Track record of creative problem-solving, excellent written and oral communication skills, and creation of strong and trusted cross-functional relationships Interest in building the future of compliance and an owner’s mindset to your work It Pays to Work Here The compensation & benefits package for this role includes: Competitive starting salary A discretionary annual bonus Long-term incentive in the form of a new hire equity grant Comprehensive health plans 401K with company matching Paid Parental Leave Flexible time off Salary Range : The base salary range for this role is between $112,000 - $160,000 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data. In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce. At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know. #LI-ST1

Posted today

I logo

Head Of Compliance Testing

Interactive Brokers Group Inc.Greenwich, CT

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Job Description

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Job Description

Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program.

Responsibilities

The primary responsibilities of the Compliance Testing Officer include:

  • Managing the firm's annual compliance testing program
  • Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
  • Assist in the development of the firm's compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
  • Execute the firm's compliance testing program,
  • Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
  • Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
  • Tracking compliance testing findings from discovery to remediation.
  • Other Core Compliance activities as needed.

Qualifications

  • At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
  • Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
  • High degree of comfort and fluency with computers and technology.
  • Outstanding oral and written communication skills.
  • Ability to work both independently and to multi-task with minimal supervision.
  • Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
  • Experience with Atlassian Confluence/JIRA preferred.

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with a competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

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