landing_page-logo
  1. Home
  2. »All Job Categories
  3. »Compliance Jobs

Auto-apply to these compliance jobs

We've scanned millions of jobs. Simply select your favorites, and we can fill out the applications for you.

Registered Funds Compliance Professional - Global Wealth-logo
Apollo Global ManagementNew York, NY
Position Overview Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes. Come to Apollo and join a community of extraordinary people who are committed to a culture of excellence and collaboration in everything that we do. We invest in our people for the long term and are committed to supporting their development at every stage of their career. Apollo is seeking a Compliance Officer to join its growing global team of professionals who are focused on operationalizing Apollo's strategic compliance program. The Compliance Officer will primarily focus on compliance with the Investment Company Act of 1940 ("'40 Act"), supporting registered investment companies, business development companies and other permanent capital vehicles. This individual will manage the day-to-day compliance operations of the Apollo regulated funds and partner with other members of the compliance team and other professionals to provide guidance on transactions, policy development and maintenance, global wealth initiatives and other matters. Primary Responsibilities Provide guidance, advice and support to the various business lines supporting Apollo Regulated Funds Advise on core compliance matters including transactions subject to Apollo's co-investment order and other transactional matters and assist with compliance thereof Maintain current expertise on the regulatory environment and industry practice and provide advice to the business on new rule implementations Conduct annual risk assessments of the Regulated Funds and ensure that any compliance issues or concerns are appropriately addressed, evaluated and escalated in a timely manner Participate in internal and external audits and reviews of the Regulated Fund' compliance program Liaise with colleagues in connection with various initiatives (Global Wealth, product development, etc.) Support review of Regulated Fund marketing materials and third-party requests Develop and maintain compliance policies and procedures and controls for the Apollo Regulated Fund platform Support the business in developing appropriate controls and procedures to mitigate product specific risks Assist with general compliance matters and other projects, as needed Qualifications & Experience 6+ years of experience working on '40 Act related matters preferably at an alternative asset manager of regulated/registered product Bachelor's degree from a top undergraduate institution with an excellent record of academic achievement Meaningfully contributes to strategic dialogue and collaborates effectively with investment teams & external partners Demonstrated interest in financial markets and securities market regulation Exceptional communication skills, both written and oral; ability to distill complex concepts into discernable terms Superior interpersonal skills; builds and maintains strong relationships/credibility with relevant stakeholders Ability to work independently while also supervising and guiding others in performing tasks Thrives in a fast-paced, rigorous work environment; effectively anticipates and prioritizes work and meets deadlines Ability to collaborate with colleagues while exercising independent judgment Strong written and verbal communication skills Excellent ability to multi-task and strong attention to detail Entrepreneurial, self-guided work ethic with results-driven orientation Excels in a fast-paced, rigorous work environment; effectively prioritizes and meets deadlines Pay Range $190,000 - $250,000 Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity. The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law. The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered. The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.

Posted 30+ days ago

Director, Cybersecurity Governance Risk And Compliance (Grc)-logo
CorvelPortland, OR
CorVel, a certified Great Place to Work Company, is a national provider of industry-leading risk management solutions for the workers' compensation, auto, health and disability management industries. We are hiring a hands-on leader to drive the execution of our tactical and strategic plans related to CorVel's Cybersecurity, Governance, Risk and Compliance (GRC) posture, quantifying enterprise risk appetite and tolerance, establishing and improving security policies, and maintaining a cyber risk register. This will be a remote role, or hybrid within our Portland, OR office. ESSENTIAL FUNCTIONS & RESPONSIBILITIES: This hands-on position will supervise a small team while enhancing and maintaining CorVel's Cybersecurity, Governance, Risk, and Compliance (GRC) posture Executes and monitors the risk management strategies and initiatives to ensure effectiveness and alignment with organizational goals Oversees the Cyber Risk Register, manages updates and tracks risk mitigation to conclusion Ensures performance monitoring processes to assure that performance measures both leading and lagging remain effective indicators of satisfactory risk management Oversees and allocates resources necessary for compliance testing to assess adherence to internal policies and external regulations, identifying systemic compliance gaps, resolving root cause and proposing improvement options, including cost benefit analysis Develop and maintain all relevant documentation, policies, standards, guidelines, and frameworks, embedding controls into process across the business and technology units with the support of the security engineering team Build and maintain successful relationships with stakeholders in both technology and business by developing a clear understanding of business needs, acting as a trusted advisor, and ensuring cost-effective delivery of security services to meet those needs Overseeing 3rd party audits by supporting evidence collection and facilitating information gathering Provide guidance, support, and mentorship to junior team members, fostering their growth and development EXPERIENCE & QUALIFICATIONS: Minimum 10 years of hands on and 3 years of leadership experience in cybersecurity governance, risk and compliance (GRC) within a large enterprise environment Demonstrated experience of compliance frameworks e.g. HIPAA, HITRUST, SOC, New York DFS and SOX Skilled with risk management principles, as well as experience making decisions to optimize overall operational and cyber risk Identify and evaluate controls for risk reduction and mitigation activities to drive a risk-based culture, including a strong understanding of policies as well as control standards, while reviewing and recommending the development of controls to reduce risk to an acceptable level Experience working with external auditors from an evidence collection perspective Self-starter with outstanding communication, conceptual thinking, change/project management, analytical, and problem-solving capabilities One or more industry certifications such as CISSP, CRISC, CISA or other Bachelor's degree or higher in Information Security/Cybersecurity or other. Can be located anywhere in the 48 contiguous US states. Must be willing to travel to Portland, Oregon, typically quarterly or as needed. PAY RANGE: CorVel uses a market based approach to pay and our salary ranges may vary depending on your location. Pay rates are established taking into account the following factors: federal, state, and local minimum wage requirements, the geographic location differential, job-related skills, experience, qualifications, internal employee equity, and market conditions. Our ranges may be modified at any time. For leveled roles (I, II, III, Senior, Lead, etc.) new hires may be slotted into a different level, either up or down, based on assessment during interview process taking into consideration experience, qualifications, and overall fit for the role. The level may impact the salary range and these adjustments would be clarified during the offer process. Pay Range: $101,309 - $157,903 A list of our benefit offerings can be found on our CorVel website: CorVel Careers | Opportunities in Risk Management In general, our opportunities will be posted for up to 1 year from date of posting, or until we have selected candidate(s) to fulfill the opening, whichever comes first. ABOUT CORVEL: CorVel, a certified Great Place to Work Company, is a national provider of industry-leading risk management solutions for the workers' compensation, auto, health and disability management industries. CorVel was founded in 1987 and has been publicly traded on the NASDAQ stock exchange since 1991. Our continual investment in human capital and technology enable us to deliver the most innovative and integrated solutions to our clients. We are a stable and growing company with a strong, supportive culture and plenty of career advancement opportunities. Over 4,000 people working across the United States embrace our core values of Accountability, Commitment, Excellence, Integrity and Teamwork (ACE-IT!). A comprehensive benefits package is available for full-time regular employees and includes Medical (HDHP) w/Pharmacy, Dental, Vision, Long Term Disability, Health Savings Account, Flexible Spending Account Options, Life Insurance, Accident Insurance, Critical Illness Insurance, Pre-paid Legal Insurance, Parking and Transit FSA accounts, 401K, ROTH 401K, and paid time off. CorVel is an Equal Opportunity Employer, drug free workplace, and complies with ADA regulations as applicable. #LI-Remote #LI-Hybrid

Posted 30+ days ago

Compliance Manager, Regulatory Change Management-logo
SofiSan Francisco, CA
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The role: We are seeking a highly motivated and experienced compliance professional to lead and execute regulatory change management activities as part of our enterprise Compliance Management System (CMS). This second line of defense (2LOD) role is responsible for maintaining an enterprise-wide regulatory change framework that monitors, assesses, documents, and operationalizes federal and state regulatory developments. The ideal candidate is a strong executor who thrives in dynamic environments, brings hands-on experience executing regulatory change management programs at a financial institution, and is skilled in translating complex regulations into actionable business guidance. This role supports enterprise compliance readiness and accountability through strong collaboration with legal, business units, risk teams, and compliance subject matter experts. What you'll do: Own and manage the end-to-end Regulatory Change Management (RCM) process including intake, impact assessment, stakeholder engagement, and change tracking through to implementation and validation. Monitor regulatory developments from primary sources (e.g., CFPB, OCC, FDIC, FRB, state regulators) and secondary services (e.g., Wolters Kluwer, Compliance.ai). Facilitate regulatory applicability analysis and collaborate with legal and compliance SMEs to assess business impact. Maintain a centralized regulatory inventory, including taxonomy alignment with products, services, business units, and laws/regulations. Partner with business, legal, and first-line risk owners to ensure timely action planning, control development, and compliance implementation. Develop dashboards and reports for senior leadership and regulatory examiners to provide transparency on regulatory developments and compliance status. Support Compliance Policy and Training teams in ensuring affected documents and training are updated in response to regulatory changes. Lead working groups or cross-functional forums to track implementation of regulatory changes, document decisions, and escalate risk issues. Continuously evaluate and enhance regulatory change protocols, including triggers, roles, documentation standards, and effectiveness testing. Serve as a strategic partner to the enterprise on compliance readiness, guiding sustainable compliance with new or amended regulations. Contribute to regulatory exam preparedness and response, including producing evidence of effective regulatory change governance. What you'll need: Bachelor's degree in Business, Finance, Law, or related field. Minimum of 6-8 years of experience in regulatory compliance, legal, or compliance risk management in a bank or financial services company. Strong working knowledge of federal and state banking laws and regulations including, but not limited to, Reg Z, E, DD, CC, UDAAP, FCRA, BSA/AML, and Fair Lending. Demonstrated success in implementing or managing regulatory change programs within a compliance or enterprise risk function. Deep understanding of the CMS and 2LOD responsibilities including independence, credible challenge, documentation standards, and escalation protocols. Excellent analytical, writing, and communication skills, with the ability to convert regulatory language into actionable and digestible guidance. Highly organized and accountable; able to manage multiple priorities and tight deadlines with accuracy and clarity. Strong stakeholder management and facilitation skills across lines of defense. Nice to have: CRCM, CAMS, or CCEP certification are highly preferred. Experience with GRC systems (e.g.,ServiceNow) to track regulatory changes and tie them to controls and policies. Experience with Reg Change Management tools (e.g., Compliance AI, Regology, Cube). Familiarity with regulatory exams and supervisory expectations related to change management (OCC 2011-29, OCC 2017-43). Experience contributing to or leading compliance transformation programs including automation of compliance processes and taxonomy standardization. Understanding of policy governance, training updates, and control testing in response to regulatory change. Proficient in Microsoft Excel/PowerPoint or Google Suite tools with a strong command of visualization techniques for dashboards and summaries. Strategic problem-solver with a bias for action and the ability to drive sustainable compliance solutions across the enterprise. Comfortable in an agile, entrepreneurial environment and able to deliver results under changing priorities. Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $105,600.00 - $198,000.00 Payment frequency: Annual This role is also eligible for a bonus, long term incentives and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.

Posted 1 week ago

N
Neighborly BrandsWaco, TX
Franchise Compliance Administrator Are you looking for a place where you can bring your drive? Welcome to Neighborly-the hub of service brands that connects customers to top-notch local experts who repair, maintain, and enhance homes and businesses. Our long-standing business, with over 40 years of experience, is focused on strategic innovation as we build the future of home and business services. Bring your drive to the table as we unlock new doors together, taking your career to the next level. Bring your experience and be empowered to innovate. As a Franchise Compliance Administrator a typical day for you will include: The Franchise Compliance Administrator routinely analyzes and monitors Neighborly franchise license agreement terms to ensure all financial and reporting obligations are being met satisfactorily. This role may work closely with internal and external parties such as brand operations, accounting, legal, and franchisees. Collect missing reports and other submittals, negotiate payment plans, issuing and escalate notices up to and including contract termination. Review and analyze accounts receivable reports for follow-up and/or collections. Work with the A/R team to correct invoices and/or accounts. Proactively research, resolve, and respond to internal and external questions/issues relative to franchisee contract compliance concerns. Lead and facilitate monthly compliance meetings with various stakeholders. Assist with terminated franchise owner compliance through a variety of tasks. Communicate compliance issues to the appropriate parties; produce and maintain various reports that track and analyze compliance activities. Perform other duties as required. These duties may include assignments in job classifications other than their own. Bring your skills and be inspired to achieve success. (Required qualifications) Adaptable Customer-focused Clear communication Attention to Detail Analytical Thinking Dependability Integrity Persistence Technology System savvy Must be able to lift a minimum of 25 lbs. Sense of humor Bring your goals and be enabled to reach them. Competitive Pay: Commensurate with experience Schedule: Full time M-F- Hybrid- Waco, TX Benefits: Check out our benefits offerings here Financial Benefits: Equity and annual bonus opportunities Perks: Paid time off, Paid holidays, Recess breaks, wellness programs Brand: ASV AireServ

Posted 6 days ago

Operations Compliance Project Manager-logo
American Transmission CompanyCottage Grove, WI
Summary of Responsibilities: Join a Great Place to Work! We're looking for an experienced and motivated Operations Compliance Project Manager to ensure that our System Operations department remains aligned with industry standards, regulatory requirements, and best practices in reliability and risk management. This role plays a critical part in supporting operational excellence through compliance leadership, internal control development, and cross-functional initiative management. Essential Responsibilities: What You'll Be Responsible For Compliance Leadership Serve as the Compliance Coordinator for Mandatory Reliability Standards (NERC 693) specific to System Operations. Proactively deliver expert guidance by integrating a comprehensive understanding of the electric industry, ATC's System Operations, and compliance requirements. Monitor and assess regulatory updates from key external entities including NERC, FERC, Regional Entities, and Reliability Coordinators. Lead ATC's response to self-certifications, spot checks, on-site audits, and mitigation activities in accordance with the NERC Compliance Monitoring and Enforcement Program (CMEP). Drive the interpretation, implementation, and communication of new and revised compliance standards and requirements. Process Assessment and Improvement Assess and support updates to departmental processes to align with evolving industry practices and compliance obligations. Collaborate with internal subject matter experts to document and maintain effective internal controls and procedures. Lead internal and external peer reviews of System Operations practices and processes. Assist with event analyses and oversee project activities related to corrective actions. Initiative & Project Management Plan, lead, and execute departmental initiatives that support compliance and operational integrity. Facilitate cross-functional collaboration to ensure alignment across departments and manage risk effectively. Track progress, manage competing priorities, and drive initiatives to timely and successful completion. Coordinate and lead meetings, providing regular updates to stakeholders and resolve issues as they arise. Communication & Representation Serve as a key communicator of industry changes, compliance updates, and internal expectations. Represent System Operations on ATC's corporate compliance core team and collaborate with external entities on compliance issues. Support the Operations Training Program and ensure procedures reinforce compliance and internal control expectations. Translate technical standards and requirements into clear, actionable guidance for internal stakeholders. What You Bring to the Role Minimum Requirements Bachelor's degree in electrical engineering, business, or a related field-or equivalent experience. Minimum of 5 years' experience in the energy industry or in a regulatory compliance role. Key Skills and Competencies Industry Knowledge: Understanding of, or willingness to quickly learn, current and evolving electric industry operations and compliance practices. Communication & Collaboration: Strong written and verbal communication skills with a proven ability to engage and influence stakeholders across all levels. Attention to Detail: Excellent organizational skills, especially with tracking timelines, documenting controls, and managing complex projects. Initiative Management: Demonstrated ability to lead initiatives, manage multiple projects, and work both independently and cross-functionally. Adaptability: Able to work under pressure and navigate evolving regulatory landscapes and operational challenges. ATC embraces flexibility in our work and our workplace. We trust our employees to get work done where and when it makes sense, depending on the schedule for the day and the needs of the business. If you enjoy leading, motivating, and influencing internal and external stakeholders to meet compliance specifications and expectations, bring your positive energy to ATC! Number of Openings Available: 1 Posting Date: 2025-07-17 Time Type: Full time Equal Opportunity Employer: Applicants have rights under employment laws. ATC is an equal opportunity employer that seeks to foster diverse teams of talented people working safely together. We respect and embrace diversity of all aspects and hire, train and promote employees without regard to race, color, religion, sex, age, national origin, sexual orientation, disability, genetics, protected veteran status, or any other characteristic protected by law. We encourage women, minorities, veterans and individuals with a disability to apply. All qualified applicants will receive consideration for employment without regard to any characteristic protected by law. Family and Medical Leave Act (FMLA) Poster | U.S. Department of Labor Family and Medical Leave Act Poster Employee Polygraph Protection Act (EPPA) Poster | U.S. Department of Labor ERD-10861 Poster Honesty Testing poster WISCONSIN FAIR EMPLOYMENT LAW

Posted 30+ days ago

Portfolio Compliance - Post Trade-logo
Western Asset ManagementPasadena, CA
WHO IS WESTERN ASSET Western Asset Management focuses on supporting our clients' financial goals and creating positive outcomes for all kinds of people. Primarily a globally integrated fixed-income manager, we source ideas and investment solutions worldwide, with an emphasis on long-term fundamental value investing, using multiple diversified strategies. Come join our team! Our success depends on an entrepreneurial mindset, along with an awareness of the demands of a highly regulated business. At the same time, we depend on building strong relationships with other teams, and value a diplomatic approach to addressing legal issues and compliance. Each day is an opportunity for us to drive results and shape our future. We touch every aspect of fixed-income investment management from trading and settlement systems to client service and risk management. You will ensure client portfolios are invested in accordance with client guidelines, internal policies and procedures and regulatory law. What you will do Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues Review of trading activity for compliance issues Partner with portfolio management group to conduct pre-trade analysis and what-if scenarios on proposed strategies Review all portfolios on a monthly and quarterly basis to ensure compliance Collaborate with portfolio managers, client service executives and associates to resolve compliance issues Assist with the transition from Western's current compliance system to Aladdin Self-Starters start here Strong organizational skills and the ability to multitask are essential, as is attention to detail. Ready and eager to play your part in the wider legal function, you'll be a team player, keen to learn from others, drive your own development and share your experience. We'll give you the support you need to make a significant contribution, building on your business and technical know-how and developing your communication and interpersonal skills. What you will bring In depth knowledge of fixed income securities Previous experience in the securities industry Extreme attention to detail and written documentation Ability to interpret written guidelines and legal documents Strong research capabilities Proficiency in various computer systems and software applications Ability to learn new technological systems and software programs Undergraduate degree in related field or equivalent work experience Expected base salary for the role will generally be between $90,000 and $110,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include other forms of compensation such as, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs. About Western Asset At Western Asset we're saying hello to the future. Committed to being the leading fixed-income investment management firm in the world, we're investing in new technologies, methodologies and markets. We're also investing in our people. Our business is guided by a belief in doing the right thing: that if we treat our clients and colleagues with fairness and respect, success will follow. We're building on our reputation and resources with an entrepreneurial approach that drives innovation. Every day is an opportunity for us to get better by making the most of the possibilities that our people and ideas can bring. We believe an inclusive and respectful workplace promotes the formation of different ideas and viewpoints, enhances independent thinking, and helps create a work environment where the best ideas are identified and implemented. We are committed to unlocking the potential of our team by providing an inclusive and supportive environment that offers everyone the chance to grow personally, advance professionally, and participate fully in the Firm's success. EQUAL EMPLOYMENT OPPORTUNITY ("EEO") Western Asset Management is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, age, marital status, medical condition (including pregnancy and related conditions), physical or mental disability, protected veteran status, and/or any other characteristic protected by law. Link to Equal Employment Opportunity Statement: https://westernasset.com/careers/careers-site/common/pdfs/EQUAL_EMPLOYMENT_OPPORTUNITY.pdf Join our talent pool We're always on the look-out for creative, curious, collaborative, and entrepreneurial individuals. Even if you don't see any current opportunities that match your skills, we'd still like to hear from you. Sign up for our Talent Pool and we'll get in touch when something suitable comes up. Register today and build your own searchable profile ready for our hiring managers to view. All you need is a few basic details and an up-to-date copy of your resume ready to upload. We support .rtf, .docx, .doc, .txt and .pdf files, provided they are smaller than 2MB.

Posted 5 days ago

Tax Compliance Manager-logo
MiQNew York City, NY
Role: US Tax Compliance Manager Location: New York, NY MiQ Digital Inc is searching for a detail-oriented tax compliance manager to work with advisors to calculate, prepare and file all local US tax returns and assist with US tax planning. This person will help meet tax deadlines seamlessly, from organizing relevant documents to conducting thorough reviews of potential tax scenarios. The ideal candidate has experience in accounting or tax preparation and is committed to remaining up to date with changes in tax law. The tax compliance manager should also have a knack for educating others and implementing well-planned strategies to improve our tax filing practices. Objectives of this role: File statements and returns by the established deadlines, preferably without need for revision Use comprehensive tax knowledge to maximize benefits , deductions and assist with large company compliance in the US e.g. BEAT. Educate others on best practices for tax filing, preparation, and record-keeping Responsibilities: Review Federal and State tax returns prepared by third party advisor. In particular, build a State Tax in-house process from scratch which will require working with the broader Finance and HR team. Calculate estimated Federal and States tax payments. Also, prepare US tax provisions for management accounts and maintain and keep up to date the US tax balance sheet account. Conduct complex state tax research and draft/review technical memorandums; Monitor state nexus and filings to ensure compliance with state tax laws and regulations, identifying any potential areas of risk or exposure. Assist with state tax audits, inquiries, and notices, including responding to information requests and negotiating settlements with tax authorities. Ensure accurate and timely filing of tax returns in compliance with IRS regulations. Calculate and review federal, state and local tax payments and refunds. Review various financial documents in order to prepare federal and state tax returns and provide tax services Develop and execute tax strategies after researching potential deductions and liabilities Collaborate with other team members to devise long-term tax plans and strategies Prepare continuously for major tax deadlines throughout the year Assist with US withholding tax returns. Assist with large US company compliance such as BEAT, etc. Research and work with advisors to keep updated with sales and use tax consequences for the US business. Resolve tax audit queries from US States and IRS. YOUR QUALIFICATIONS Minimum four years' relevant experience with corporate tax clients US CPA designation Excellent interpersonal, analytical and problem-solving ability Strong written and verbal communication skills Strong team and project management skills Commitment to ongoing learning in a tax technology environment Proficient knowledge of Excel and Microsoft Office tools Alignment with MiQ's core values Competitive 'winning' mentality with a vision to grow your career as the company scales What's in it for you MiQ is incredibly proud to foster a welcoming culture. We do everything possible to make sure everyone feels valued for what they bring. With global teams committed to diversity, equity, and inclusion, we're always moving towards becoming an even better place to work. Values: Our values are so much more than statements. They unite MiQers in every corner of the world. They shape the way we work and the decisions we make. And they inspire us to stay true to ourselves and to aim for better. Our values are there to be embraced by everyone, so that we naturally live and breathe them. Just like inclusivity, our values flow through everything we do - no matter how big or small. We do what we love- Passion We figure it out- Determination We anticipate the unexpected- Agility We always unite- Unite We dare to be unconventional- Courage Benefits: Every region and office has specific perks and benefits, but every person joining MiQ can expect: A hybrid work environment New hire orientation with job specific onboarding and training Internal and global mobility opportunities Competitive healthcare benefits Bonus and performance incentives Generous annual PTO, paid parental leave, with two additional paid days to acknowledge holidays, cultural events, or inclusion initiatives Employee resource groups designed to connect people across all MiQ regions, drive action, and support our communities Pay Transparency For individuals assigned and/or hired to work in New York City, MiQ is required by law to include a reasonable estimate of the compensation range for this role. This compensation range is specific to New York City and 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. At MiQ, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current compensation range for this position is $125,000-$150,000. This range may vary for positions outside of New York City as it has not been adjusted for the applicable geographic differential associated with the location where the position may be filled and does not take into account our bonus and commission structures. Regardless of location, candidates can expect during the first few conversations with MiQ's Talent team and Hiring Managers to share any approved budget and details on our competitive bonus and commission packages. Please take a moment to view the MiQ I.D.E.A. Report to learn more about our approach to creating equitable compensation for our people. Apply today Equal Opportunity Employer E-Verify Employer

Posted 1 week ago

Specialist I, Regulatory Affairs And Compliance-logo
Nordson CorporationSaint Petersburg, FL
Job Summary: The Regulatory Compliance Support Specialist plays a crucial role in our organization, establishing product compliance spreadsheets and maintaining current product compliance information in our operating systems here at Halkey Roberts. The Regulatory Compliance Specialist works directly with the Senior Specialist, Regulatory Affairs and Compliance to ensure we are implementing the best practices to ensure effective product compliance with optimized efficiency. Becoming an effective Regulatory Compliance Specialist requires possessing a healthy balance of skills ranging from technical, effective communication and presentation skills that effectively communicate and work across all levels of the organization. Duties and Responsibilities: Developing and maintaining regulatory compliance databases for tracking product compliance. Effectively communicating with the internal / external stakeholders regarding regulatory compliance and sustainability issues. Support the development of policies, procedures, and guidelines that promote regulatory compliance and sustainability within an organization's operations. Required Knowledge, Skills and Abilities: Preferably prior regulatory compliance experience in a medical device setting Demonstrated ability to create, input and analyze data accurately in Excel Demonstrated ability to create or edit documents in Microsoft Word Excellent communication skills (both verbal and written) in Microsoft Outlook and Teams Excellent organizational skills with a strong attention to details Physical Demands: The physical demands described here are representative of those necessary for an employee to successfully perform the essential functions of this job. Reasonable accommodation can be made to enable individuals with disabilities to perform the essential functions. Frequent: Talk, hear, speak, and use hands and fingers to operate a computer, telephone, keyboard Frequent: Specific vision abilities required by this job include close vision requirements due to computer work for full shift Constant: Regular, predictable attendance is required Frequent: While performing the duties of this job, the employee is required to sit, stand or walk for extended periods. Frequent: Ability to wear personal protective equipment that may include some or all: safety glasses, lab coat, safety shoes, gloves, hearing protection, hair/beard covering. No make-up or nail polish permitted. Work Environment: The work environment described is representative of what must be met by an employee successfully perform the essential functions of this job. The physical environment is indoors on-site in a controlled climate, office and manufacturing setting. Frequent use of protective clothing is required to maintain clean environment.

Posted 1 week ago

F
Ferrovial, S.A.Austin, TX
Join Ferrovial: Where Innovation Meets Opportunity Are you ready to elevate your career with a global leader in infrastructure solving complex problems and generating a positive outcome on people's lives? At Ferrovial, we are not just a company; we are a community of innovators and trailblazers. Listed on three major stock markets: Nasdaq (US), Euronext Amsterdam (Netherlands) and IBEX 35 (Spain), we are also member of the Dow Jones Sustainability Index and FTSE4Good. We operate in more than 15 countries and have a workforce of over 24,000 professionals worldwide. Ferrovial's activity is carried out through our business units, including Highways, Airports, Construction, and Energy. The Energy business unit is created with the objective of promoting the transition to a more sustainable and clean economy. We are present in Ferrovial core markets, and our focus is to provide innovative solutions for the development, construction and operation of renewable energy generation, storage and transmission infrastructures. We also offer energy efficiency solutions for both, public and private clients. Why Ferrovial? Global presence, local impact: Be part of a company that is shaping the future of infrastructure worldwide, with challenging roles and projects that make a real difference. Collaborative excellence: Work alongside talented professionals in a collaborative environment where your ideas and contributions are valued. Inclusive Culture: Thrive in an innovative and respectful workplace that values every voice, celebrates what makes us unique and turns differences into innovation. Career growth: Benefit from global and cross-business unit mobility, with development processes designed to ensure your professional growth. Compelling benefits and employee wellbeing: Enjoy a comprehensive benefits package that rewards your hard work and dedication and take advantage of initiatives designed to support your physical and psychological health. Productivity tools: Utilize cutting-edge tools like Microsoft Copilot to enhance your productivity and efficiency. Job Description: We are seeking a highly capable and motivated Project Compliance Manager to support the successful delivery of a 250MWdc/204 MWac solar PV project near Milano, Milam County, Texas. This role is pivotal in ensuring that the project is executed in full alignment with project requirements, permits, regulatory frameworks, technical standards and contractual obligations. You will be responsible for overseeing permitting and regulatory compliance strategies throughout the project lifecycle, managing contractual obligations with EPC Contractor and other stakeholders, and coordinating engineering and construction oversight through the Owner's Engineer to ensure quality, schedule, and performance targets are met. This is a key position that requires a structured, detail-oriented professional with the ability to lead across disciplines and maintain control over complex project dynamics. Key Responsibilities: Develop, implement, and ensure compliance for all permitting strategies to secure all necessary approvals for construction and operation. Ensure full compliance with environmental, safety, and regulatory requirements at local, state, and federal levels. Manage relationships with local, state, and federal regulatory bodies.. Conduct risk assessments related to permitting delays or denials and develop mitigation strategies. Maintain strong relationships with internal teams, external contractors, as well as public and jurisdictional stakeholders Provide clear, timely updates to senior management and project stakeholders on compliance status, risks, Contractual review and Oversighte. Ensure full compliance with all project contracts, including EPC, permitting, and stakeholder agreements. Monitor deliverables, milestones, and risk exposure throughout the project lifecycle. Collaborate with legal and commercial teams to manage contract execution, amendments, claims, and payments. Safeguard the project's contractual integrity and support internal reporting on obligations and risks. Coordinate engineering and construction activities through the Owner's Engineer, ensuring alignment with technical specifications, timelines, and quality standards. Oversee field execution indirectly, ensuring that site operations meet safety, environmental, quality and operational requirements. Maintain and enforce all Ferrovial Energy Health and Safety requirements through coordination with the Ferrovial Energy Health, Safety and Wellbeing Director and team Qualifications: Bachelor's degree in engineering, or a related field, MBA, or other postgraduate degrees are a plus. Minimum 5 years of experience in permitting, compliance, and project coordination specifically for renewable energy projects. Strong understanding of regulatory frameworks, contract management, quality management, engineering and field operations in renewable energy. Experience interacting with government agencies at local, state and federal levels. Monitoring compliance and maintaining rigorous documentation recording though the project lifecycle. Experience working with Owner's Engineers and managing complex, multi-stakeholder projects. Strong interpersonal and negotiation skills with the ability to effectively manage internal and external stakeholders. Demonstrates integrity, professionalism, and clear communication across all levels of the organization. Excellent organizational capabilities with a proven ability to plan, direct, and lead toward objectives. Skilled in managing deadlines, documentation, and project dynamics with a focus on accountability and continuous improvement. A motivated self-starter with strong problem-solving abilities and flexibility to adapt to changing environments. Maintains a goal-oriented mindset and thrives in dynamic, multidisciplinary settings. Why Join Us Be part of a high-impact renewable energy team to deliver a project with long-term strategic value. Work in a collaborative, mission-driven environment where your expertise makes a difference. Gain exposure to multidisciplinary project leadership and stakeholder engagement. Contribute to the energy transition and help shape a more sustainable future Seize the challenge. Move the world together! Innovative, creative, respectful, and diverse are some of the ways we describe ourselves. We are motivated by challenges, and we collaborate across our business units to move the world together. Your journey to a fulfilling career starts here! Ferrovial is an equal opportunity employer. We treat all jobs applications equally, regardless of gender, color, race, ethnicity, religion, national origin, age, disability, pregnancy, sexual orientation, gender identity and expression, covered veteran status or protected genetic information (each, a "Protected Class"), or any other protected class in accordance with applicable laws. #WeAreFerrovial

Posted 30+ days ago

S
Saddle Creek LogisticsHaslet, TX
Why Work for Saddle Creek? Saddle Creek Logistics Services succeeds by promoting a diverse, friendly, and respectful teamwork environment. As a vital service provider, we not only make a difference in our community but offer our associates opportunities to enhance their skills, build meaningful careers and end each day with a sense of accomplishment. If you're looking for a family-oriented company that lives by its values and offers competitive pay and benefits, join our team today. Benefits: Weekly pay with skill pay and shift differentials Benefits package including medical, dental, vision and medical reimbursement Medical employee-only premium as low as $5.90/week, $26/month with wellness discounts HSA with annual employer contribution Weekly 401(k) match Vacation immediately upon hire 8 holidays per calendar year Personal time after 90 days EAP and identity theft protection Tuition reimbursement Company paid life insurance and short term disability Note that if you are viewing this posting on an external job board (such as Indeed, LinkedIn, ZipRecruiter, etc.), unless specifically stated in the posting, the provided salary estimates may not be accurate as they are not provided by Saddle Creek. Our recruiters look forward to speaking with you about your background, skills, and compensation requirements. Overview The Compliance Auditor enforces all retail compliance and quality standards. This position represents the customer's interest in all quality related issues. Responsibilities Assist accounts with creating and updating Standard Operating Procedures (SOP) Ensure all SCL accounts SOPs are documented and maintained Perform Internal Audits on all tasks performed by SCL associates for all SCL accounts Initiates and enforces action plans assigned to accounts found in non-compliance Ensure all internal audits are recorded, documented and filed properly Assist accounts with improving workflow processes Assist with training associates to the SOPs Participates in continuous improvement projects for all accounts Assist the accounts with physical inventory Perform audits on inventory Assist new accounts in the start-up process Qualifications Education/Experience Associate's degree preferred, or six months of related experience. Knowledgeable in Microsoft Office Applications, with strong emphasis on Excel data and Analysis applications Skills and Abilities Ability to read and interpret detailed documents Ability to write technical detailed instructions, routine reports and correspondence Ability to speak effectively before groups of customers or employees of the organization Ability to utilize mathematics to apply in everyday duties assigned Ability to work overtime, secondary shifts and/or holidays as needed Employee must occasionally lift and/or move up to 50 pounds Saddle Creek is an Equal Opportunity employer and an Affirmative Action employer, as required by law. We provide equal employment opportunities to applicants and existing associates and evaluate qualified candidates without regard to race, gender, national origin, ancestry, age, color, religious creed, marital status, genetic information, sexual orientation, gender identity, gender expression, sex (including pregnancy, breastfeeding and related medical conditions), mental or physical disability, medical condition, military and veteran status or any other status or condition protected by applicable federal, state, or local laws, governmental regulations and executive orders. View the EEO poster here. View the E-Verify Posting here. Saddle Creek is committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability to search and apply for a career opportunity, please send an e-mail to Disability.accommodation@sclogistics.com and let us know your contact information and the nature of your request.

Posted 4 days ago

Compliance Examiner-logo
National Futures AssociationChicago, IL
NFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within the financial industry is as significant as the passionate and talented individuals with whom you work. When you join NFA as a Compliance Examiner, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking, data analysis and risk assessment skills every day. Bring your analytical and innovative mindsets. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail. Beginning your first day and throughout your career, you'll gain exceptional experiences, personalized learning and invaluable coaching and mentoring. We believe in nurturing talent to develop future NFA and industry leaders. What you'll do: You'll join a high-performing team responsible for developing innovative investigative strategies in support of NFA's regulatory mission. You will continually monitor our Member financial institutions through examinations, financial report analysis and investigations, leveraging your human curiosity to analyze documents, procedures and financial statements. As a team, you'll evaluate your findings for possible compliance deficiencies or rule violations and provide insight on the corrective action Members must take. What we're looking for: Detail-oriented, driven individuals thrive in this collaborative, analytical role. We value unique perspectives and are looking for motivated applicants with a broad range of backgrounds and experiences. If you're eager to apply your critical thinking abilities to serve a public good-supporting the integrity of the derivatives markets-and meet the qualifications below, we encourage you to apply to join our team as a Compliance Examiner. Bachelor's degree in a business-oriented major required At least six credit hours of accounting completed at time of application (nine credit hours preferred) Note: Candidates who have not yet completed an intermediate accounting course, or equivalent, must do so within six months of their hire date. Tuition assistance is available for completion. Demonstrated ability to work effectively in a team environment Demonstrated alignment with NFA's values (i.e., demonstrates approachability, trustworthiness and courtesy; behaves with integrity) Overall GPA of 3.0 on a 4.0 scale preferred Strong leadership skills preferred (e.g., thinks strategically, demonstrates accountability, teaches and fosters learning) Salary range: $59,900 - $99,900 Customers and market participants depend on NFA to act with integrity and impartiality as it carries out its mission of safeguarding the markets and protecting investors. Therefore, NFA employees have a responsibility to conduct themselves according to high ethical standards, and must abide by NFA's Code of Professional Conduct. Learn more about the Code of Professional Conduct. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Requisition ID:839

Posted 1 week ago

Geek Squad Install Licensing Compliance Lead - Connecticut-logo
Best BuyNorwalk, CT
As the Installation License Compliance Lead, you'll support the trade licensing requirements needed for Best Buy to comply with laws regulating our on-site installation services. This includes residential and commercial installations of home theater, appliances, smart home and security products. You'll be responsible for obtaining and maintaining licensing for both current and future fulfillment needs, both for yourself and other employees. The ideal candidate would live in Connecticut and hold the proper licensing to perform the role. What you'll do Execute licensing strategy for the territory, including managing local licensing for employees at the state and city level Acquire new trade licenses and keep existing trade licenses up to date Assist with the recruitment of licensed workers with technical knowledge Act as main point of contact for city, county and state where trade license is held Ensure licensed work meets national, local and company requirements Answer technical questions from installers, including during nights and weekends Basic qualifications Acquire and maintain any state or local licensing, as required, within 90 days of being hired Must be at least 21 years old Current, valid driver's license Have and maintain a driving record which meets Best Buy safety standards (e.g. minimal number of violations/accidents, etc.) Able to carry, lift, push and pull weight up to 75 pounds or 150 as part of team, with or without accommodation Ability to travel up to 25% of the year 2 years of experience as a licensed journeyman or 6 years of equivalent experience in the electrical trade and pass exam What's in it for you We're committed to helping our people thrive at work and at home. We offer generous benefits that address your total well-being and provide support as you need it, especially key moments in your life. Our benefits include: Competitive pay Generous employee discount Financial savings and retirement resources Support for your physical and mental well-being About us As part of the Best Buy team, you'll help us fulfill our purpose to enrich lives through technology. We bring that to life every day by humanizing and personalizing tech solutions for every stage of life - in our stores, online and in customers' homes. Our culture is built on deeply supporting and valuing our amazing employees who make it all possible. We're committed to being a great place to work, where you can unlock unique career possibilities. Above all, we aim to provide a place where you can bring your full, authentic self to work now and into the future. Tomorrow works here. Best Buy is an equal opportunity employer. #PIQ1 Auto Req. ID986956BR Location Number 000886 Norwalk CT Store Address 330 Connecticut Ave Ste 4$41.21 - $65.54 /hr Pay Range $41.21 - $65.54 /hr

Posted 30+ days ago

Compliance Manager-logo
Home Trust Banking PartnershipCharlotte, NC
Job Summary The Compliance Manager is responsible for overseeing and maintaining the Bank's regulatory compliance program in accordance with regulatory requirements, supervising a team of compliance professionals, and preparing regular reporting to management and the Bank's Audit Committee. Key Responsibilities / Essential Functions Manage maintenance of the bank's schedule for all compliance tests, monitoring activities and risk assessments; reported to the Audit Committee as needed. Manage and execute all compliance tests, monitoring activities, and risk assessments, with resulting management reports for distribution to management and the Audit Committee. Execute, manage, and validate all regulatory changes, with detailed documentation evidencing the scope of the implementation. Oversee regulatory exam preparations, including responses to and fulfillment of examiner requests prior to and during the examination. Serve as a point of contact for compliance examinations and audits, with frequent updates to Compliance Department leadership. Oversee the Bank's compliance training program, including assignment requirements of computer-based training courses, and maintain documentation to support bank-wide compliance training efforts sufficient to meet regulatory expectations. Manage oversight of processes for the scrubbing and reporting of HMDA, CRA and other data required by regulation. Review complaint activity reports to ensure that complaints with compliance exposure are sufficiently resolved, and to note trends indicative of emerging compliance risks that require mitigation. Coordinate collaboratively with other departments about strategies to direct community development resources to appropriately address any gaps identified through CRA, fair lending, or redlining analysis. Oversee processes for the review and approval of all bank marketing and advertising to ensure compliance with advertising regulations. Assist the Bank's Compliance Department leadership with compliance management strategy, planning, and special projects. Maintenance of strong relationships with all lines of business, providing compliance support, consulting on process, form, and system changes, and answering compliance questions as needed. Coach and develop compliance team members to maximize the effectiveness and efficiency of the compliance management team. Follow regulatory requirements including those pertaining to the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Customer Identification Program (CIP), and OFAC to assist in the identification, detection and determent of money laundering and other unlawful activities, as well as regulations pertaining to lending and consumer compliance to include fair lending laws. Complete all mandatory annual compliance training. Perform other duties and special projects as assigned. Maintain confidentiality and security of sensitive information. Provide leadership of assigned team, lead efforts in recruitment, interviewing, and training employees, plan, assign, and direct departmental work. Coordinate interdepartmental goals to ensure alignment with company goals and vision. Coach and provide ongoing performance feedback to employees, set realistic and measurable performance goals, and ensure employees have appropriate professional development opportunities. Effectively manage performance and assist employees to meet established company standards and expectations. Note that oversight of the Bank Secrecy Act, OFAC, and CIP programs are not included in the scope of these job requirements, and those programs are the responsibility of the Bank's BSA Officer. Job Requirements: Education: High school diploma or equivalent required. Required: 6+ years of experience in a compliance team at a bank with > $1 billion in assets required, including bank compliance management experience. Maintenance of Certified Regulatory Compliance Manager (CRCM) certification and related continuing education. Familiarity with compliance resources and methods for researching regulatory requirements, pending legislation, regulator communication, and industry best practices. Extensive knowledge of compliance testing and monitoring methods, including the use of data analysis software for CRA, fair lending, and redlining compliance. Ability to communicate clearly and effectively, including compliance reports, live training events, presentations, and group discussions. Proficient in Microsoft Office products. Preferred: Bachelor's degree in a related field. About HomeTrust Bank HomeTrust Bank, founded in 1926, is a North Carolina chartered, community-focused financial institution committed to providing value-added community banking through online/mobile channels and multiple locations in Virginia, North Carolina, South Carolina, Tennessee, and Georgia. Learn more at www.htb.com. Apply today to take your first steps towards joining this talented population of employees within a growing organization. Work Environment, Physical Requirements The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job. HomeTrust Bank promotes an equal employment opportunity workplace which includes reasonable accommodation of qualified applicants and employees. This job operates in a professional office environment and routinely uses standard office equipment such as computers, phones, photocopiers, and fax machines. Specific vision abilities required by this position include close vision, distance vision, and the ability to adjust focus. Physical activity requiring reaching, sifting, lifting up to 25 lbs., finger dexterity, grasping, feeling, repetitive motions, talking and hearing are required. The employee will frequently communicate and must be able to exchange accurate information with others. The employee may need to move around their office to attend meetings and to access files, machinery or other job-related tools. DISCLAIMER: HomeTrust Bank is an evolving company. As such this job description is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. While this is intended to be an accurate reflection of the current job, management reserves the right to revise the job or to require that other or different tasks be performed as assigned. HomeTrust Bank values and promotes diversity and inclusion in every aspect of our business and at every level within the company. We recruit, hire, and promote employees based on their individual ability and experience and in accordance with Affirmative Action and Equal Employment Opportunity laws and regulations. Our policy is that we do not discriminate on the basis of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, physical or mental disability, pregnancy, marital status, status as a protected veteran, or any other status protected by federal, state, or local law.

Posted 30+ days ago

P
Poly AINew York City, NY
We are seeking a Compliance Lead with deep expertise in US healthcare regulations, specifically HIPAA and HITRUST. You'll be the company's subject matter expert in regulatory compliance, responsible for designing, implementing, and maintaining scalable compliance programs that support innovation while mitigating risk. Key Responsibilities: Regulatory Compliance Own and manage compliance programs related to HIPAA, HITRUST and other US-focused Compliance requirements Lead risk assessments, gap analyses, and readiness reviews. Serve as the internal expert on federal and state healthcare privacy and security laws. Audit and Certification Oversee annual audits and certification efforts such as HITRUST, SOC 2 Type 2, ISO 27001. Work cross-functionally with security, engineering, and product teams to ensure audit readiness. Policy Development & Governance Draft, update, and enforce internal compliance and data privacy policies. Develop and maintain documentation of compliance processes and controls. Training & Awareness Lead training programs across the organization to promote a culture of compliance in topic-specific areas. Stay ahead of evolving regulations and advise stakeholders on regulatory impact. Risk Management Identify, track, and remediate compliance risks. Collaborate with Legal, Security and Product teams to design and implement controls that protect PHI and other sensitive data. Stakeholder Management Act as a point of contact for external auditors and client representatives. Support enterprise customers with compliance-related due diligence, RFPs, and security questionnaires. Qualifications: 3+ years of experience in a compliance, risk, or security role in the US healthcare or health tech industry. Familiarity with the European healthcare landscape is a plus. Deep knowledge of HIPAA, HITRUST, and one or more of ISO 27001 or SOC 2 Type 2 frameworks. Proven experience leading external audits and compliance certifications. Experience working in a SaaS, AI, or healthtech environment. Strong understanding of data governance, privacy laws (e.g., CCPA, GDPR, DTAC), and third-party risk management. Preferred: Certifications such as CIPP/US, CIPP/E, CHC, CHPC, CISSP, CISA, or similar. Experience building compliance programs from the ground up in a startup or high-growth tech environment. Familiarity with AI/ML governance, ethical AI, or data ethics in healthcare. Using a Compliance management platform such as Vanta Key Competencies: Strategic and hands-on mindset - willing to dive into details when needed. Strong interpersonal and communication skills - able to work with technical and non-technical teams. Proactive and solution-oriented - able to navigate ambiguity and scale compliance frameworks for growth. High integrity and commitment to ethical standards. We provide a competitive salary range for this role - which is $130,000 - $150,000 - depending on level and experience. Please note this range is intended as a guide, not a guarantee. Final compensation will be based on individual qualifications, relevant experience, and the scope of the role. In addition to salary, this position includes equity in the business, giving you the opportunity to share in the company's long-term success. Benefits Participation in the company's employee share options plan 100% of Single Cost (employee) and 70% of Dependent for medical, dental & vision Life Insurance ️ STD and LTD The opportunity to contribute to the company's 401k plan Flexible PTO policy + 11 designated company holidays Annual learning and development allowance We're all about making WFH work for you - that's why you'll receive a one-off WFH allowance when you join. Offering perks like noise-cancelling headphones or a comfortable desk chair to boost your comfort and focus! Enhanced parental leave Company-funded fertility and family-forming programmes Menopause care programme with Maven

Posted 5 days ago

Mortgage First Line Compliance Analyst-logo
First Bank OnlineFranklin, TN
Responsibilities: Review and work with business units to confirm audit findings from a Regulatory Compliance perspective and document audit response and full resolution of items noted. Function as a collaborative partner with all business units focusing on solving real problems from a Compliance perspective for internally and externally raised issues. Document audit response and full resolution of items noted. Partner with FirstBank Corporate Compliance Department to ensure consistency in addressing opportunities to enhance regulatory practices and communications to all Mortgage departments. Complete research to identify root cause for issues identified. Detect opportunities to automate and streamline internal processes to improve efficiency and performance effectiveness. Review updates to Loan Operating System for opportunities for Compliance process improvement. Establish yourself as a subject matter expert on all FirstBank's processes, products, and services, maintaining a current and comprehensive knowledge base. Use spreadsheets and databases to maintain detailed audit records/ tracking of identified issues and remediation action plans. Continuously participate in the improvement of operational tools, as well as active involvement in other projects as required. Stay up to date on regulatory updates/ changes and pro-actively ensure actions are taken to educate FirstBank Mortgage associates on the changes and validate that policy and procedures are modified accordingly. Partner with and provide support to other members of the First Line Compliance Department. Other duties as assigned. Qualifications: 5+ years' experience in the Mortgage Industry, with 2 or more years' experience in a compliance/risk/audit role or processing/ underwriting role Working knowledge federal mortgage lending regulations, consumer protection laws, and loan disclosures. Ability to build rapport and trust with teams cross-functionally and across all levels. Above average, effective communication, time-management, and presentation skills. Excellent organizational skills and attention to detail. Ability to thrive in a fast-paced company. Encompass Experience a plus.

Posted 6 days ago

Associate Manager, IT Compliance-logo
Warby ParkerNew York City, NY
As Warby Parker continues to scale, so does our responsibility to uphold strong compliance practices across our technology systems. We're on the lookout for an Associate Manager, IT Compliance-a critical position focused on owning and maturing the compliance functions within our Identity & Access Management team. In this role, you'll take the lead on preparing for SOX access and change management reviews, supporting PCI, NIST, and HIPAA assessments, and ensuring that our systems and processes are always audit-ready. You'll collaborate across Tech Services and serve as the main point of contact between our team and GRC, Internal Audit, and External Audit partners. Sound like your cup of tea (or coffee, or yerba mate)? Keep reading! What you'll do: Act as the primary liaison between the Tech Services team and GRC, Internal Audit, and External Audit groups Manage IT General Controls (ITGCs) assigned to Tech Services, ensuring they are designed, implemented, and executed effectively Prepare and coordinate responses for SOX user access and change management reviews, including evidence collection and documentation Support compliance efforts for PCI DSS (including the annual AOC process) and HIPAA risk assessments Maintain accurate and up-to-date documentation of IT controls, procedures, and remediation efforts Translate compliance and regulatory requirements into actionable technical controls and workflows Track and report on the status of compliance activities, findings, and remediation within Tech Services Partner with IT Engineering and Security teams to align on compliance priorities and timelines Contribute to continuous improvement efforts that strengthen audit readiness, automation, and risk mitigation Participate in the development of long-term compliance strategies and help to define scalable practices as the function grows Who you are: Backed by 3+ years of experience in IT compliance, IT audits, or GRC within a technical or enterprise environment Equipped with a working knowledge of regulatory frameworks such as SOX, HIPAA, PCI DSS, CCPA, and NIST Familiar with ITGCs, particularly around access controls, change management, and operations Highly organized and detail-oriented-able to manage audits and evidence with precision Skilled at translating technical details into clear, actionable documentation A confident communicator who can work across teams and levels of technical knowledge Eager to take ownership, grow within a scaling organization, and help shape the future of IT compliance at Warby Parker Extra credit: Experience with identity providers, ITSM platforms, access provisioning, or authentication systems Compliance-related certificates such as CISA, Security +, CISSP, etc. Some benefits of working at Warby Parker for full-time employees: Health, vision, and dental insurance Life and AD&D Insurance Flexible vacation policy Paid Holidays Retirement savings plan with a company match Parental leave (non-birthing parents included) Short-term disability Employee Assistance Program (EAP) Bereavement Support Education Reimbursement Free eyewear And more (just ask!)

Posted 30+ days ago

Volcker/Americas Treasury Department, Compliance-logo
Mizuho Financial groupNew York, NY
The individual will be joining the Volcker Compliance and Americas Treasury Department Advisory team. The candidate will also have the opportunity to work on other projects as needed. This role is hybrid and based in our New York City Office Essential Duties and Responsibilities: Assist with the assessment of the current Volcker Compliance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practice Assist with Metrics reporting and governance process (i.e. review and challenge, monitoring, maintenance of trading information schedule, drafting of narrative statements with relevant stakeholders) Facilitate the administration of the Monthly Working Group meetings for the various entities (i.e. calendar invites, prepare decks, note taking) Americas Treasury Department (ATD) Compliance coverage Assist with and develop controls, monitoring and surveillance of Americas Treasury Department activities Assist with ATD communications monitoring Assist with and develop ATD related trainings Assist with various risk assessments covering the Americas Treasury Department, identify potential risks, ensure adherence to controls and improve the supervisory control framework Assist in Regulatory Change Management Process. Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Assist in review and enhancement of policies and procedures Assist with audits and testing reviews (i.e. tracking requests, gathering required information, following up with other stakeholders as needed) Perform other duties and responsibilities as assigned. Qualifications: 5-7 years in the financial services industry, ideally with particular emphasis on Volcker, Corporate Treasury activities, Bank regulations compliance, derivatives regulations and cross border activities Exposure to and experience working with support and control functions Knowledge of the Volcker Rule (and metrics reporting requirements) required Knowledge of- Bank regulations, Commodity Futures Trading Commission (CFTC) regulations and Securities Exchange Commission (SEC) rules a plus. Strong organizational and delivery skills Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident, organized, concise, clear and articulate manner Must be a self-starter, flexible, innovative, adaptive and highly motivated with a strong attention to detail. Fluent in Japanese a plus Education: Bachelor's Degree (B.A./B.S.) in a related discipline The expected base salary ranges from $125,500.00 - $200,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, including but not limited to Medical, Dental and 401k that begin on day one of employment, successful candidates are also eligible to receive a discretionary bonus. #LI-Hybrid #LI-NR1 Other requirements Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process. Company Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com. Mizuho Americas offers a competitive total rewards package. We are an EEO/AA Employer- M/F/Disability/Veteran. We participate in the E-Verify program. We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law. #LI-MIZUHO

Posted 30+ days ago

Nerc CIP Compliance Technical Auditor-logo
AES CorporationDayton, OH
Are you ready to be part of a company that's not just talking about the future, but actively shaping it? Join The AES Corporation (NYSE: AES), a Fortune 500 company that's leading the charge in the global energy revolution. With operations spanning 14 countries, AES is committed to shaping a future through innovation and collaboration. Our dedication to innovation has earned us recognition as one of the Top Ten Best Workplaces for Innovators by Fast Company in 2022. And with our certification as a Great Place to Work, you can be confident that you're joining a company that values its people just as much as its groundbreaking ideas. AES is proudly ranked #1 globally in renewable energy sales to corporations, and with $12.7B in revenues in 2023, we have the resources and expertise to make a significant impact as we provide electricity to 25 million customers worldwide. As the world moves towards a net-zero future, AES is committed to meeting the Paris Agreement's goals by 2050. Our innovative solutions, such as 24/7 carbon-free energy for data centers, are setting the pace for rapid, global decarbonization. If you're ready to be part of a company that's not just adapting to change, but driving it, AES is the place for you. We're not just building a cleaner, more sustainable future - we're powering it. Apply now and energize your career with a true leader in the global energy transformation. Qualifications: AES Clean Energy is hiring a NERC CIP Compliance Technical Auditor who will be responsible for providing leadership, independent compliance oversight, guidance, and direction necessary to maintain ongoing compliance with the NERC CIP Standards to support reliable operation of the Bulk Electric System. This position is a key member of the Legal and Compliance team within AES Clean Energy. Primary Duties and Responsibilities Demonstrate in-depth understanding of applicable NERC CIP Standards CIP-002-CIP-014 Maintain sound technical understanding of NERC compliance monitoring and enforcement processes. Communicate applicable NERC compliance information, standards, and requirements in a clear, concise manner to the Subject Matter Experts (SME). Perform periodic internal compliance assessments and spot checks on applicable Standards. Monitor changes to the new and existing CIP Standards and coordinate comments from internal SME team for commenting and balloting purposes. Assist the legal and project management teams in defining scopes of service for third-party contractors and reviewing proposed contract changes as they relate to NERC Standards. Participate in the evaluation of potential compliance concerns as the NERC compliance team member. Partner with the IT and OT team to identify and implement technologies to automate and streamline compliance monitoring and reporting processes. Apply understanding of NERC compliance monitoring and enforcement processes to provide recommendations and/or solutions to compliance issues. Act as a liaison between NERC Compliance and internal stakeholders on topics related to NERC Compliance. Participate in industry focus groups and conferences to share information and stay abreast of the ever-changing NERC compliance landscape. Lead response to regulatory compliance requests, enforcement actions, and data-reporting from a NERC CIP compliance perspective. Skills and Experience Bachelor's degree in computer science, Information Systems / Security, Computer or Systems Engineering, or related technical degree with 2 - 6 years of related NERC CIP experience resulting in demonstrated ability to perform the major duties required. Background knowledge of information technology, information security, operations technology, networking systems, and/or EMS operations. Experience with IT Audit, security controls and/or internal controls. Strong leadership, interpersonal, problem-solving, and time-management skills. Ability to work and lead across multiple organizations Experience with Industrial Control Systems Excellent verbal and written communication skills. Agility in managing, prioritizing, and executing on multiple priorities depending on the needs of the business Experience in completing spot checks and internal assessments Experience in monitoring a NERC compliance program Highly motivated, self-starter willing to take on new challenges Prior NERC CIP and GO/GOP/TO/TOP compliance experience including compliance monitoring, training, and audit support Exceptional attention to detail with commitment to fostering a culture of compliance Good project management skills. Working knowledge of Microsoft Word, Excel, PowerPoint, and SharePoint Ability to apply one or more risk management frameworks is a plus CISA, CIA, or Security+ certification is optional but beneficial. AES is an Equal Opportunity Employer who is committed to building strength and delivering long-term sustainability through diversity and inclusion. Respecting all backgrounds, differences and perspectives enables us to improve the lives of our people, customers, suppliers, contractors, and the communities in which we live and work. All qualified applicants will receive consideration for employment without regard to sex, sexual orientation, gender, gender identity and/or expression, race, national origin, ethnicity, age, religion, marital status, physical or mental disability, pregnancy, childbirth, or related medical condition, military or veteran status, or any other characteristic protected under applicable law. E-Verify Notice: AES will provide the Social Security Administration (SSA) and if necessary, the Department of Homeland Security (DHS) with information from each new employee's I-9 to confirm work authorization. The expected salary for this position, at commencement of employment, is between $98.000 and $122.400/Annual; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements such as annual bonus, in addition to a full range of medical, dental, vision, life, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if a candidate receives an offer of employment. If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.

Posted 30+ days ago

Environmental, Health, Safety & Transportation Compliance Specialist-logo
Triumvirate EnvironmentalNew Braunfels, TX
Environmental, Health, Safety & Transportation Compliance Specialist Triumvirate Environmental, one of North America's largest environmental services firms, is seeking an experienced EHS & Transportation Compliance Specialist to support operations in our South Central region, based in New Braunfels, TX. This position is vital to ensuring compliance with environmental, health, safety, and transportation regulations across both field and facility operations. The successful candidate will work closely with site and dispersed workforce to uphold regulatory compliance and promote a positive learning safety culture rooted in continuous improvement. This role requires frequent interaction with field teams and a proactive, detail-oriented professional with strong communication skills and a commitment to operational excellence. Triumvirate Environmental serves leading organizations in higher education, life sciences, healthcare, and advanced manufacturing, providing diverse services and expertise to meet their compliance needs. We take pride in a culture that fosters learning, growth, creativity, and a deep commitment to excellence. We strive to WOW both our employees and our customers. This position reports to the Regional EHST Manager and is based in New Braunfels, TX. Key Responsibilities: Develop, implement, and monitor EHS and transportation programs in coordination with Corporate Compliance to ensure safe, compliant operations across a geographically dispersed workforce. Revise policies and plans in response to regulatory changes and lessons learned. Drive proactive safety initiatives through regular inspections, assessments, and development of heat maps and targeted risk reduction plans. Coordinate and participate in facility, operational, and cross-functional EHS audits to evaluate compliance and identify areas for improvement. Facilitate branch and region safety meetings with leadership, office and field personnel. Oversee the behavioral observation program to ensure data is utilized effectively and employees remain engaged. Support the utilization and maintenance of compliance and safety data systems (e.g., Intelex, SharePoint, Lytx, Dossier), including oversight of incident reporting and injury tracking processes. Lead incident investigations and perform causal analysis, applying Human and Organizational Performance (HOP) principles to identify systemic causes and drive preventive actions. Track corrective and preventive actions (CAPA) resulting from incidents, observations, and internal audits to ensure timely completion and effectiveness. Assist in conducting industrial hygiene assessments, including exposure evaluations for consolidations and emergency responses. Manage regulatory permit renewals, inspections, and reporting requirements, coordinating with Corporate Compliance and Operations to ensure transportation permits and vehicle permit books are current and properly maintained. Coordinate emergency preparedness planning and lead response training and drills, including but not limited to fire, chemical spill, and natural disaster scenarios. Coordinate and conduct internal training on RCRA, CAA, CWA, DOT, OSHA, and FMCSA requirements, collaborating with the Training Department to ensure accurate documentation. Support medical surveillance programs and assist with the enforcement of the drug and alcohol policy. Basic Requirements: Bachelor's degree in environmental health and safety or related field or 5-7 years of relevant experience in lieu of degree. Working knowledge of environmental regulations, OSHA standards and transportation safety regulations. Experience developing and conducting training. Excellent communication, collaboration and influencing abilities. Strong analytical and problem-solving skills Skilled at working independently as well as part of a team. Ability to work in diverse environments, including office settings and field locations. Capable of interacting effectively with state and federal regulatory inspectors. Advanced knowledge in Microsoft Excel and PowerPoint Must be eligible to work in the United States without future sponsorship. Must have a reliable form of transportation. Preferred Requirements: CSP, ASP, or other similar certificate. Experience working with the Texas Commission on Environmental Quality and the Texas Railroad Commission Knowledge of Intelex or other health and safety management systems. Experience with EH&S Management Systems (ISO 14001 & 45001) Prior relevant industry experience. Active HAZWOPER 24 or 40 hour certification. Besides Health, Dental and Vision Insurance, we contribute to a 401k, offer a generous tuition reimbursement program, TONS of safety training for some positions with opportunities for external trainings and certifications, Mentorship & Career Succession Planning, Relocation Opportunities, Auto/Home insurance discounts, pet assistance discount plans, discounted movie passes & more! To learn more about our business, culture, and the exciting work that we are doing in the industry, find us on LinkedIn, Instagram (@triumvirateenvironmental), or our website! Triumvirate Environmental is committed to a diverse and inclusive workplace. As an Equal Opportunity Employer (EOE), Triumvirate does not discriminate based on race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions. Individuals with Disabilities and Protected Veterans are encouraged to apply. If you have a disability and need accommodation during the application and hiring process, please contact us at https://www.triumvirate.com/contact or call us at 888-834-9697. The requirements listed above are representative of the knowledge, skill, and/or ability required. To view our California Privacy Notice and Policy, click here

Posted 1 week ago

Product Safety Compliance Engineer-logo
Agilent Technologies, Inc.Santa Clara, CA
Job Description Join Agilent and help advance the quality of life through science. As a global leader in life sciences, diagnostics, and applied markets, Agilent empowers laboratories with innovative instruments, services, and expertise. Be part of a team that enables groundbreaking discoveries and drives positive change in the world. We are seeking a Product Safety Compliance Engineer to join our Santa Clara Site Quality Engineering Services (QES) team. This role supports new product introductions and global manufacturing qualifications by ensuring compliance with safety and regulatory standards. Key Responsibilities Collaborate with R&D and manufacturing teams to ensure product compliance with global regulations and standards. Integrate safety and compliance into product design, development, and testing processes. Monitor project timelines to identify and mitigate compliance risks. Communicate compliance objectives and updates to internal and external collaborators. Support audits, documentation, and reporting related to safety compliance. Drive continuous improvement in compliance processes and tools. Serve as a domain authority on regulatory topics such as RoHS, Safety, and EMC. Qualifications BS or MS or equivalent experience in engineering, science, physics or a relevant field 4+ years of confirmed experience in hardware development or compliance. Validated ability to lead projects and innovate processes effectively. Strong interpersonal skills across technical and interdisciplinary teams. Proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint). Preferred Qualifications Familiarity with analytical instruments (LC/MS, GC/MS, liquid handling robots). Experience interpreting and applying international safety standards (e.g., IEC 61010). Hands-on experience with compliance testing equipment (oscilloscopes, multimeters, insulation testers, etc.). Knowledge of global product certification processes (CE, UL, CSA, PSE, NOM, BIS, MET). Experience supporting regulatory audits and certification listings. Additional Details This job has a full time weekly schedule. Applications for this job will be accepted until at least August 12, 2025 or until the job is no longer posted. The full-time equivalent pay range for this position is $117,504.00 - $183,600.00/yr plus eligibility for bonus, stock and benefits. Our pay ranges are determined by role, level, and location. Within the range, individual pay is determined by work location and additional factors, including job-related skills, experience, and relevant education or training. During the hiring process, a recruiter can share more about the specific pay range for a preferred location. Pay and benefit information by country are available at: https://careers.agilent.com/locations Agilent Technologies, Inc. is an Equal Employment Opportunity and Affirmative Action employer. We value diversity at all levels. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to sex, pregnancy, race, religion or religious creed, color, gender, gender identity, gender expression, national origin, ancestry, physical or mental disability, medical condition, genetic information, marital status, registered domestic partner status, age, sexual orientation, military or veteran status, protected veteran status, or any other basis protected by federal, state, local law, ordinance, or regulation and will not be discriminated against on these bases. Agilent Technologies, Inc., is committed to diversity in the workplace and strives to support candidates with disabilities. If you have a disability and need assistance with any part of the application or interview process or have questions about workplace accessibility, please email job_posting@agilent.com or contact +1-262-754-5030. For more information about equal employment opportunity protections, please visit www.agilent.com/en/accessibility. Travel Required: Occasional Shift: Day Duration: No End Date Job Function: Quality/Regulatory

Posted 2 weeks ago

Apollo Global Management logo

Registered Funds Compliance Professional - Global Wealth

Apollo Global ManagementNew York, NY

Automate your job search with Sonara.

Submit 10x as many applications with less effort than one manual application.1

Reclaim your time by letting our AI handle the grunt work of job searching.

We continuously scan millions of openings to find your top matches.

pay-wall

Job Description

Position Overview

Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes.

Come to Apollo and join a community of extraordinary people who are committed to a culture of excellence and collaboration in everything that we do. We invest in our people for the long term and are committed to supporting their development at every stage of their career.

Apollo is seeking a Compliance Officer to join its growing global team of professionals who are focused on operationalizing Apollo's strategic compliance program. The Compliance Officer will primarily focus on compliance with the Investment Company Act of 1940 ("'40 Act"), supporting registered investment companies, business development companies and other permanent capital vehicles. This individual will manage the day-to-day compliance operations of the Apollo regulated funds and partner with other members of the compliance team and other professionals to provide guidance on transactions, policy development and maintenance, global wealth initiatives and other matters.

Primary Responsibilities

  • Provide guidance, advice and support to the various business lines supporting Apollo Regulated Funds

  • Advise on core compliance matters including transactions subject to Apollo's co-investment order and other transactional matters and assist with compliance thereof

  • Maintain current expertise on the regulatory environment and industry practice and provide advice to the business on new rule implementations

  • Conduct annual risk assessments of the Regulated Funds and ensure that any compliance issues or concerns are appropriately addressed, evaluated and escalated in a timely manner

  • Participate in internal and external audits and reviews of the Regulated Fund' compliance program

  • Liaise with colleagues in connection with various initiatives (Global Wealth, product development, etc.)

  • Support review of Regulated Fund marketing materials and third-party requests

  • Develop and maintain compliance policies and procedures and controls for the Apollo Regulated Fund platform

  • Support the business in developing appropriate controls and procedures to mitigate product specific risks

  • Assist with general compliance matters and other projects, as needed

Qualifications & Experience

  • 6+ years of experience working on '40 Act related matters preferably at an alternative asset manager of regulated/registered product

  • Bachelor's degree from a top undergraduate institution with an excellent record of academic achievement

  • Meaningfully contributes to strategic dialogue and collaborates effectively with investment teams & external partners

  • Demonstrated interest in financial markets and securities market regulation

  • Exceptional communication skills, both written and oral; ability to distill complex concepts into discernable terms

  • Superior interpersonal skills; builds and maintains strong relationships/credibility with relevant stakeholders

  • Ability to work independently while also supervising and guiding others in performing tasks

  • Thrives in a fast-paced, rigorous work environment; effectively anticipates and prioritizes work and meets deadlines

  • Ability to collaborate with colleagues while exercising independent judgment

  • Strong written and verbal communication skills

  • Excellent ability to multi-task and strong attention to detail

  • Entrepreneurial, self-guided work ethic with results-driven orientation

  • Excels in a fast-paced, rigorous work environment; effectively prioritizes and meets deadlines

Pay Range

$190,000 - $250,000

Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity.

The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law.

The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered.

The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.

Automate your job search with Sonara.

Submit 10x as many applications with less effort than one manual application.

pay-wall