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Compliance Officer – Delta1 Specialist-logo
IMCChicago, Illinois
The Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC’s US operations. The role requires a specialized understanding of US regulatory frameworks regarding Delta1 products. This role will report directly to IMC’s US Chief Compliance Officer. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team. Your Core Responsibilities: Partner with Compliance team to drive IMC’s regulatory vision and compliance efforts. Promote the Firm’s Compliance culture, awareness of regulatory requirements, and best practices. Act as the primary liaison between US Compliance team and the Firm. Monitor trading activity using the Firm’s in-house surveillance systems. Maintain detailed, accurate, and organized documentation of the execution of the Firm’s processes and procedures. Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis. Assist in onboarding new personnel and managing various SRO registration processes. Provide specialized training for employees on US regulatory standards. Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements. Advise trading and technology personnel on potential US compliance risks. Monitor for and assess new or proposed changes in US regulations and enforcement actions. Collaborate with compliance teams in other regions where applicable. Your Skills and Experience: Bachelor’s degree; Advanced degree preferred. Proven experience (5+ years) in US regulatory compliance, with experience working at a proprietary trading firm or market maker strongly preferred. FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus. Strong interpersonal, organizational, problem-solving, and time-management skills. Sophisticated analytical skills and ability to interpret complex regulatory frameworks. High level of integrity and discretion when handling sensitive and confidential information. US financial industry business knowledge and interest in the US regulatory environment. Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly. Strong attention to detail; Eager to learn, ask questions, and admit mistakes. Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers. e., RegSHO, RegNMS Familiarity with regulatory reporting including Trace, CAT, TRF, or other regulatory audit trails. Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations. Proactive and reliable, with the ability to work independently as well as with others in a small team. Please note that immigration sponsorship is not offered for this specific opening. The Base Salary range for the role is included below. Base salary is only one component of total compensation; all full-time, permanent positions are eligible for a discretionary bonus and benefits, including paid leave and insurance. Please visit Benefits - US | IMC Trading for more comprehensive information. Salary Range $145,000 — $185,000 USD About Us IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

Posted 30+ days ago

HR Compliance Specialist-logo
thyssenkrupp Materials NASouthfield, Michigan
Job Summary The HR Compliance Specialist is responsible for supporting a wide range of HR compliance initiatives for thyssenkrupp Materials NA, which operates in 40+ states with over 100 locations. The HR Compliance Specialist is expected to be organized, detail-oriented, and have strong problem-solving skills. They must also be able to work comfortably under pressure and deliver on tight deadlines. The successful candidate should be professional and self-motivated with a keen interest in the ethical, legal, and regulatory requirements of an organization. Top candidates will have strong communication and critical thinking skills, with the ability to work independently and as part of a team. The position will report to the HR Compliance Director. Job Description Key Accountabilities: Assist with the distribution, maintenance, and tracking of compliance-related documents (e.g. employee handbooks, trainings, presentations, policy updates, etc.). Conduct audits and reviews of HR processes, practices, and records to identify compliance gaps. Collaborate with the HR Compliance Director, HR Compliance Project Manager, and HR business teams to address any identified issues or areas of improvement. Easily develop trust and rapport with HR, legal, and business leaders. Prepare high-quality reports, communications, training materials, and presentations related to HR compliance activities. Create process documents to drive consistency. Assist with review of products, systems, or processes to ensure compliance. Handle sensitive and confidential information. Support various departments by initiating outreach, collecting, and coordinating internal HR compliance data. Maintain accurate records of compliance-related initiatives. Monitor the Company’s background check, drug testing, and I-9 compliance programs to ensure they are conducted in accordance with Company policies and identify any gaps in process. Respond to requests for information in an efficient and timely manner. Lead execution of settlement payments and process as instructed by internal counsel. Assist external counsel on company immigration administration. The above is intended to describe the general content of and requirement for the performance of this job. It is not to be construed as an exhaustive statement of duties, responsibilities, or requirements. Qualifications: Minimum Requirements : Bachelor’s degree from an accredited university or equivalent experience Minimum of 3 years of HR experience. Meticulous attention to detail with the ability to multi-task. Ability to work under pressure and meet deadlines. Ability to work independently and as part of a team. Experience managing multiple projects and priorities. Excellent documentation, communication, and reporting skills. Preferred Requirements: Experience in an HR Compliance role Familiarity with the Workday HRIS PowerPoint presentation skills Experience providing Human Resources support in a matrix organization Benefits Overview We offer competitive company benefits to eligible positions, such as : Medical, Dental, Vision Insurance Life Insurance and Disability Voluntary Wellness Programs 401(k) and RRSP programs with Company Match Paid Vacation and Holidays Tuition Reimbursement And more! Benefits may vary based on job, country, union role, and/or company segment. Please work with your recruiter or tk representative for applicable benefits information. Disclaimer This is to notify the general public that some individuals/entities are using the thyssenkrupp (“TK”) name, trademark, domain name, and logo without authorization. They are posing as employees, representatives, or agents of TK and its associated/group companies. These individuals/entities are fraudulently offering jobs online through texts, websites, telephone calls, emails, or by issuing fake offer letters. They are also soliciting jobseekers to deposit money in certain bank accounts or providing jobseekers with fraudulent checks to obtain banking information. TK does not ask, solicit, or accept any monies in any form from candidates, job applicants, or potential jobseekers, who have applied to or wish to apply to TK, whether online or otherwise as a pre-employment requirement. TK bears no responsibility for money being deposited/withdrawn therefrom in response to such fake offers. TK does not: 1. Send job offers from free email services like Gmail, Rediffmail, Yahoo mail, etc.; 2. Request payment of any kind from prospective jobseekers or candidates for employment; 3. Authorize anyone to collect money or agree to any monetary arrangement in return for a job at TK; 4. Send checks to job seekers; or 5. Make job offers through third parties. In the event TK uses professional recruitment services through a third party, offers are always made directly by TK and not by any third parties. PLEASE NOTE: 1. TK strongly recommends that potential jobseekers do not respond to such fake solicitations, in any manner; 2. TK will not be responsible to anyone acting on an employment offer that is not directly made by TK; 3. Anyone making an employment offer in return for money is not authorized by TK; and 4. TK reserves the right to take legal action, including criminal action, against such individuals/entities. TK follows a formal recruitment process through its own HR department and applications are evaluated by its HR department through pre-defined processes. Please visit our official careers website at https://jobs.thyssenkrupp.com/en to view authentic job openings at TK. If you receive any unauthorized, suspicious, or fraudulent offers or interview calls, please email us at tkmna.employee.care@thyssenkrupp-materials.com. We shall not accept any liability towards the representation made in any fraudulent communication or its consequences, and such fraudulent communication shall not be treated as any kind of offer or representation by TK or its group companies and affiliates.

Posted 2 weeks ago

Nurse Practitioner – Clinical Operations and Compliance-logo
DozeeFort Worth, Texas
Company Overview : Dozee Health AI is the pioneer in Contactless Remote Patient Monitoring (RPM), proven to drive transformation at scale. Headquartered in Bengaluru, India, Dozee has emerged as India’s no. 1 RPM Company. We are seeking visionary individuals to help us in this very exciting journey. As a part of our dynamic team, you’ll have the opportunity to collaborate with top healthcare providers in the country, applying AI-powered RPM solutions to tackle some of the most pressing challenges in healthcare - enhancing staff efficiency, improving patient outcomes, and pioneering the next generation of care models Role Overview: We are seeking a highly skilled and experienced Nurse Practitioner to serve in a leadership role in support of our Medical Director . The ideal candidate will help manage clinical operations, ensure regulatory compliance, and maintain the highest standards of patient care. This role is essential in maintaining the clinic’s operational excellence, overseeing medical documentation and audits, assisting in research and new product launch, and supporting medical and non-medical teams. Responsibilities Support the Medical Director in overseeing day-to-day clinical operations and strategic planning. Recruit, manage, and supervise physicians, nurses, and allied health staff. Perform, coordinate and monitor clinical activities to maintain high-quality patient care (specific activities include in person visits, telehealth visits, chart reviews, inter-disciplinary team meetings, and care coordination.) Oversee the completion, accuracy, and compliance of physician notes, encounter documentation, and electronic health records (EHRs).Conduct regular internal audits of clinical records to ensure adherence to Medicare, Medicaid, and commercial insurance documentation standards. Ensure full compliance with federal and state healthcare regulations, including OSHA, HIPAA, and CMS requirements. Implement and monitor compliance protocols, including tracking of licensure, certifications, and staff training records. Lead or support site readiness for external audits, inspections, and payer reviews. Collaborate with quality improvement teams to develop and revise clinical protocols, care pathways, and performance metrics. Ensure full performance of clinical protocols both in terms of new account startup and ongoing support. Assist in staff training, onboarding, and continuing education related to clinical documentation, compliance, and policy updates.Support vendor relationships related to clinical systems, EMR platforms, and contracted medical services. Assist in managing the clinic’s budget, including resource allocation for clinical operations and compliance-related activities. Foster interdisciplinary collaboration and effective communication across clinical departments .Participate in incident investigations, root cause analyses, and resolution of medical unit dysfunctions. Maintain up-to-date clinical knowledge and licensure in accordance with state and national guidelines. Assist in clinical and compliance protocol development for new products and service launches. Requirement Graduate of an accredited Nurse Practitioner program with current board certification (Family Medicine, Emergency Care, or Occupational Health preferred). Valid and unrestricted license to practice as a Nurse Practitioner. A minimum of 10 years of clinical experience, with at least 5 years in a leadership or administrative role in a healthcare facility. Demonstrated experience in healthcare compliance, chart audits, and regulatory reporting. Strong knowledge of EHR systems, medical billing documentation, and healthcare regulatory requirements. Exceptional organizational, communication, and leadership skills. Proficient in the use of computer systems, electronic records, and compliance tracking tools. About Dozee ( www.dozeehealth.ai ) Vision & Mission Save Million lives with Health AI Dozee is India’s leading AI-Powered contactless Remote Patient Monitoring (RPM) and Early Warning System (EWS). A solution that continuously monitors patients and provides early warnings of clinical deterioration, enabling timely interventions and enhancing patient safety in hospitals, nursing facilities and patient homes. A "Made in India for the World" solution, Dozee has pioneered the world’s first non-contact blood pressure monitoring system. Trusted by leading healthcare providers in India, the USA, and Africa, Dozee is transforming patient safety and care by enhancing outcomes and reducing costs. Dozee is adopted by 300+ hospitals and monitors 16000+ beds across 4 countries . Dozee has monitored over 1 Mn Patients, Delivered 35000+ Life Saving Alerts and Saved 10 Mn+ Nursing Hours. Videos Science Behind Dozee : Ballistocardiography & Artificial Intelligence 100 Dozee deliver 144 life saving alerts and INR 2.7 Cr of saving - Sattva Study Dozee saves life of a mother at home Leading Healthcare Game changers work with Dozee Introducing Dozee VS Dozee Shravan - A clinical grade RPM service Dozee in News: Bloomberg - Oct 21, 2024 From AI Beds to Remote ICUs, Startups are plugging India's health Gaps News18 - Oct 26, 2024 Now, You Can Remotely Monitor Your Loved Ones in Hospital With Bengaluru Start-Up's 'Shravan' Analytics India Magazine - Oct 29, 2024 Dozee Harness AI for Personalised Patient Care ET HealthWorld - Sep 16, 2024 We trust AI everyday - From Google Maps to Smartphones, So why not use it to enhance patient safety in healthcare? BW healthcareworld - Oct 29, 2024 Dozee's AI-Powered System Predicts Patient Deterioration 16 Hours in Advance - A tertiary care hospital study published in JMIR , validated Dozee’s Early Warning System (EWS), showing it identified 97% of deteriorating patients, provided alerts ~19 hours in advance , and generated 5x fewer alerts, reducing alarm fatigue and improving patient outcomes. - A study at King George Medical University, Lucknow, and published in Frontiers in Medical Technology demonstrated that Dozee’s automation can potentially save 2.5 hours of nursing time per shift , improving workflow efficiency and allowing more focus on patient care. - A study on remote patient monitoring in general wards published in Cureus found that 90%+ of healthcare providers reported improved care and patient safety, 74% of patients felt safer , and there was a 43% increase in time for direct patient care. - Research by Sattva , an independent consulting firm, demonstrates Dozee's substantial impact: for every 100 Dozee-connected beds, it can save approximately 144 lives , reduce nurses’ time for vital checks by 80% , and decrease ICU average length of stay by 1.3 days. Key Highlights Founded : October, 2015 Founders : Mudit Dandwate, Gaurav Parchani Headquarters : Bangalore, India | Houston, USA | Dubai, UAE Key Investors & Backers : Prime Ventures, 3one4 Capital, YourNest Capital, Gokul Rajaram, BIRAC (Department of Biotechnology, State Bank of India, and Dinesh Mody Ventures, Temasek Foundation, Horizons Ventures Stage : Series A+ Team Strength : 280+ Business : Providing Continuum of care with AI-powered contactless Remote Patient Monitoring (RPM) and Early Warning System (EWS) for Hospitals and Home Certifications & Accreditations : ISO13485:2016 Certified, ISO27001:2022 Certified, CDSCO Registered, FDA510K Cleared for the flagship product Dozee Vitals Signs (VS) measurement system and SOC2 Type II Certified Achievements - Forbes India 30 under 30 - Forbes Asia 100 to Watch - Times Network - India Health Awards 2024 for AI innovation in Bharat Healthcare tech - BML Munjal Award for Business Excellence using Learning and Development - FICCI Digital Innovation in Healthcare Award - Anjani Mashelkar Inclusive Innovation Award Marico Innovation For India Award To know more about life@dozee, click here . Disclaimer: Dozee is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.” Dozee does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need. Dozee will not tolerate discrimination or harassment based on any of these characteristics

Posted 30+ days ago

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Euclid Vision CorporationSterling, Virginia
Reports to: Chief Legal Officer and Chief Compliance Officer Description Euclid Vision Corporation seeks a highly skilled and experienced Senior Corporate Counsel/Director, Legal and Compliance Affairs to join our global legal and compliance team, which supports our vision care (medical devices) business with operations in APAC, Americas and EMEA. This is an opportunity for a motivated professional to make a significant impact, working closely with a dynamic team in a fast-paced and innovative environment. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Responsibilities Draft, negotiate, and review commercial and other agreements, including, but not limited to, master service agreements, consulting and professional services agreements, confidential disclosures, data privacy and protection agreements, information technology agreements, distribution agreements, IP licensing agreements, vendor agreements and statements of work. Participate in M&A and other sophisticated transactions, including performing due diligence, implementing integration activities, and advising internal constituents. Develop policies and procedures (including SOPs) to implement the above in an efficient and comprehensive manner. Support compliance function by developing/updating policies, procedures and training and monitoring their effectiveness. Assist with management of litigation matters. Advise on labor and employment matters, including employee agreements, policies, and procedures, and provide legal support in labor-related disputes. Conduct legal research and analysis on various legal issues and provide guidance to the management team and other departments. Assist with management of a global intellectual property portfolio (patents, trademarks and trade secrets). Collaborate with internal stakeholders, including executive leadership, finance, and HR, to provide legal support and ensure alignment with company goals and objectives. Monitor changes in relevant laws and regulations in the medical devices industry and provide proactive guidance to mitigate legal risks and ensure compliance. Other duties and responsibilities as assigned by the Chief Legal Officer and Chief Compliance Officer. Requirements Juris Doctor (J.D.) degree from an accredited law school and admission to the bar in relevant jurisdiction. Minimum of 10 years of years of experience working at a national law firm and/or serving as in-house counsel (medical device experience strongly preferred) with significant experience in EMEA legal and compliance regimes. Strong knowledge of corporate governance, contract law, and regulatory compliance. Proven experience in drafting, reviewing, and negotiating complex commercial contracts. Familiarity with global/regional privacy laws (e.g., HIPAA, PIPL, GDPR), anti-bribery/corruption legislation (e.g., FCPA, UK Bribery Act, etc.), anti-trust issues, anti-kickback laws, and trade sanctions. Working knowledge of intellectual property concepts, including patents, trademarks, and trade secrets. Solid understanding of labor and employment laws and experience in providing legal support in labor-related matters preferred. Exceptional research and analytical skills, with the ability to effectively communicate complex legal issues to non-legal stakeholders. Strong attention to detail, organizational skills, and the ability to manage multiple priorities and deadlines. Excellent written and verbal communication skills, with the ability to collaborate effectively with cross-functional teams.

Posted 30+ days ago

Data and Compliance Specialist, Patient Advocacy-logo
Jewish Family Service of San DiegoSan Diego, California
Position Title : Data and Compliance Specialist Organization : Jewish Family Service of San Diego Department: Patient Advocacy Position Type : Full-Time (37.5+ hours/week), Non-Exempt Work Setting: Fully Onsite Reports To: Director of Patient Advocacy Pay Range: $29-$32/hour Total Compensation : In addition to standard pay, compensation for this position includes: Comprehensive, low-cost healthcare coverage for employees Generous employer 401(k) contributions Employer-covered life insurance Time Away from Work: Being able to take time away from work is critical in bringing your best self to work. Time off benefits for this position include: Paid vacation time and sick leave 15 paid holidays, including Federal and Jewish holidays (as long as the holiday lands on a normal scheduled work day), and floating holidays 2 Wellness Days to be taken any time during the year to support employees’ mental wellness Position Overview: Under the direction of the Director of Patient Advocacy, the Compliance and Data Specialist is responsible for ensuring that contract requirements are met according to the terms set forth in the statement of work. This position may also assist the Director of Patient Advocacy with other compliance, administrative, reporting, and management issues. Responsibilities : Enter data in program database and maintain records and logs of all activities in a timely manner Oversee grant/contract and other funder requirements for the Patient Advocacy Program, including subcontracts and MOUs Assist with data management, including tracking and data collection Assist with program implementation plans and program scheduling Assist program management staff with creation and submission of contract required quarterly and annual reports Monitor program to ensure that each project or deliverable is completed on time, on budget, and in compliance with the funders’ requirements Provide progress reports and county requested reports as directed Assist Director of Patient Advocacy with budget development and oversight Work with program staff and JFS Accounting Department, as directed, relative to outcome measures, fiscal oversight, and administrative requirements Work with JFS Grants Department in development of proposals Skills/Experience/Abilities That Are a Must-Have: Bachelor’s Degree required General knowledge of accounting principles, grants, and contracts Good problem-solving abilities Strong sense of ethics and organizational skills Excellent oral and written communication skills Ability and willingness to learn and utilize new computer applications and office equipment such as computers, fax machines, telephones, and cell phones Ability to work independently and as part of a team Must have proficiency in Microsoft Word, Excel, JotForm, Microsoft Form, and other software applications Must be flexible, display a positive work attitude, and adhere to agency policies and procedures Skills/Abilities We’d Like You to Have : Bilingual is a plus Master’s degree preferred Important Notice: Please submit your resume and cover letter on your application. Incomplete submissions will not be considered. Please, no phone calls. Please, principals only. Please, local candidates only (relocation is not provided). About Jewish Family Service of San Diego Jewish Family Service of San Diego is a client-centered, impact-driven organization working to build a stronger, more resilient community. For over 100 years, Jewish Family Service has been a trusted resource for the entire community, offering an array of services that are always life-changing, and often life-saving. At Jewish Family Service, we believe our employees are the backbone of our Agency. We strive to ensure that each employee is treated with dignity and respect. Our goal is your success. Come work at JFS and be our partner in Moving Forward Together . To learn more about JFS, please visit jfssd.org. *Jewish Family Service is an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.

Posted 3 weeks ago

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MS Services GroupBaltimore, Maryland
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career, a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. The Bank Compliance Department is charged with oversight and coordination of the Compliance program for the U.S. Banks (Morgan Stanley Bank, N.A. and Morgan Stanley Private Bank, National Association). The candidate will join the Bank Institutional Compliance team as an Institutional Banking Compliance Generalist. Bank Institutional Compliance provides coverage compliance for institutional business activities executed on Morgan Stanley Bank, N.A. including capital markets, lending, and swap dealer activities. The individual will provide compliance coverage and support for the Bank Institutional Compliance team, including coverage of related business areas. This role will play a key part in assisting with the execution of compliance-related processes by contributing to strategic initiatives and supporting the development and enhancement of MSBNA's compliance framework. The role offers the opportunity to develop subject matter expertise across a wide range of regulatory topics and grow into a critical member of the team supporting the Bank's compliance program and institutional business functions. Primary Responsibilities > Support compliance coverage for the institutional banking businesses, including coordination with other compliance teams and control partners. > Conduct and support compliance risk assessments and deep-dive reviews of business practices > Develop, review, and enhance policies, procedures, controls, and training to address regulatory requirements and business changes > Coordinate and support reviews of new business initiatives, products, risk assessments, controls, and services, including the NPA process, trader mandates, surveillance and related controls, quarterly business reviews and regulatory inquiries > Prepare compliance related KRIs and dashboards > Collaborate with global and regional colleagues to ensure consistent application of compliance standards. Skills Required: > Bachelor's Degree > 2-5 years of compliance, regulatory, or related experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices > Familiarity with institutional trading and lending products > Knowledge of bank laws and regulations, particularly from the OCC, Federal Reserve, CFPB and FDIC > Organizational skills to manage multiple projects and ability to work independently > Strong relationship-building skills and ability to partner with clients to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations Skills Desired: > Strong analytical and problem-solving abilities, including the ability to explain/support conclusions from analysis > Understanding of trading workflows, front-office systems, and product structures across multiple asset classes > Interest in learning and developing broad-based compliance knowledge and growing within a dynamic team > Ability to build & maintain credible relationships > Ability to identify and escalate issues effectively and appropriately WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Salary range for the position: $83,000 - $115,000/Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posted 1 week ago

Senior Associate - Quality Control & Compliance Manager-logo
Rowan Digital InfrastructureDenver, Colorado
Rowan Digital Infrastructure is redefining how data centers are delivered—faster, smarter, and at scale. We partner with hyperscale customers to provide tailored, high-performance infrastructure with a focus on sustainability, efficiency, and flexibility. Our experienced, end-to-end team delivers custom solutions across a growing portfolio of strategic sites in key markets across the United States. Backed by Quinbrook Infrastructure Partners, Rowan is committed to enabling the next generation of digital infrastructure—and building a more sustainable future in the process. Ready to help transform how the world’s most important technologies are powered? Join us. Role Summary Rowan Digital Infrastructure is looking for a Senior Associate, Quality Control & Compliance Manager to ensure the overall effectiveness of our Quality Program and lease compliance for a set of projects. The successful candidate will have the experience, knowledge and leadership skills to manage the quality program and activities at a hyperscale data center campus to contribute to a safe and successful delivery, with quality, on time and on budget. The successful candidate will also understand all facets of the building process, from initial planning and foundational work to project completion and turnover. Travel: Ability to travel up to 40% for company gatherings or to project sites. Location: Denver, CO (hybrid in-office role) Compensation: $110-$135K - Offers Bonus Essential Responsibilities Responsible for actively monitoring the quality control program from an owner/developer perspective on all site infrastructure, substation and construction Ability to plan and lead quality discussions as needed Work closely with Rowan pre-con, project executive, PM’s, construction, and safety team members Develop trusting relationships with clients, JHA’s, GC’s, sub-contractors to aid in the successful delivery of the project Conduct site surveys to ensure work is installed per contract documents and work with PMs to update schedule with quality control inspection activities Lead closeout efforts as we approach substantial completion to assemble all closeout documents, O&M manuals and warranty, preventive maintenance agreements, -etc. Provide continuous improvement to the Rowan and our partner QA/QC programs Duties to include but not limited to: Actively work in Procore as your primary documentation tool Read and review client-specific requirements and check for compliance Lead Weekly PM Lease Compliance Meetings Participate in weekly GC’s Quality Control meetings and provide input on schedule items as required Review General Contractor’s approve QC Plan Management of compliance of the GC’s QC Plan and other Div 1 compliance plans Track schedule deliverables to ensure the project stays on track with submittals and procurement Update tracking logs for GC deliverables and milestones tracking Review Submittals schedule from GC for completeness Review both GC and Rowan monthly reports for accuracy Observe/Witness Quality Inspections, Tests, and Recording Findings Coordinate Rowan 3rd Party Inspections Document any Deficiencies Lead Project Quality Audits Ensure Materials being installed match Approved Submittals Ensure asset tracking tags are applied to equipment when it arrives Ensure the GC is performing any Preventative Maintenance (PM) on equipment as required Observe that the GCs QM is accurately assessing subcontractor quality and performing 3-Phases of Control for each DFOW; and attend all preparatory meetings Observe that quality standards are achieved before approving the subcontractor or work crew's completion of work Ensure GC is meeting or exceeding all applicable codes, industry standards, and manufacturer specifications as well as meeting or exceeding our customers’ contract and individual requirements Track the number of rework items identified throughout the project and other project-specific metrics for each project Document quality control activities including photos Review and record transmission of items to the client Waste Management and sustainability tracking Participate in design review meetings and quality reviews of drawings for compliance as required Education, Skills, and Experience Relevant college degree or commensurate relevant experience Relevant construction experience (3 years minimum) for a decently sized general contractor or owner developer Previously held site-based QA/QC roles for a minimum of 2 years OSHA training is a plus Background in Data Center development Be familiar with large projects or have a history of multiple projects running at the same time Knowledge of construction worksite safety practices Proficient in Procore and other construction management software Working knowledge of green building practices Excellent communication and collaboration skills Strong organizational skills Strong analytical and problem-solving skills Ability to work effectively in a fast-paced and highly cross-functional environment Fueled by Excellence & Collaboration At Rowan, we are a distributed team united by a common mission to transform data center delivery. Across our two offices, we offer a hybrid work environment supported by the teamwork, technology, and in-office gathering time to help you be successful. We are headquartered in Denver, Colorado and have an office in Seattle, Washington. Our team of talented and passionate individuals is spread out across the U.S. Here to support you At Rowan, we want to make sure you can do great work. We offer competitive benefits focused on helping you be and achieve your best. Hybrid working environment Team building and educational opportunities Generous benefits package including robust health benefits and a 401(k) company contribution Unlimited PTO Competitive compensation and bonus plan Equal Opportunity Employer Rowan Digital is an equal-opportunity employer. We welcome and celebrate diversity in all aspects of our workforce. We do not discriminate based on race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or any other legally protected status. We strive to create an inclusive environment where everyone can thrive.

Posted 3 weeks ago

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Natixis Investment ManagersBoston, Massachusetts
Description The Vice President, Regulatory Compliance Adviser is responsible for assisting the Head of Compliance and Internal Control, US, with the administration of the Enterprise Compliance and Risk Program (“ECRP”). The ECRP is the Program by which Natixis Investment Managers exercises oversight of internal control, compliance and risk management activities at its investment adviser, broker-dealer and distribution affiliates. This is a hybrid position located in Boston, MA. What you will do: Enterprise Compliance and Risk Program (ECRP) Providing oversight and advice on regulatory compliance issues. Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and non-US regulations. Preparing summaries of the Affiliate Compliance, Risk and Internal Control Committee meeting materials and briefing notes for the chair of the committee. Analyzing the results of the various elements of the ECRP in order to identify areas of future oversight focus. Responsible for the facilitation of Monthly Meetings with Affiliate CCOs. Responsible for overseeing the implementation of regulatory changes impactful to NIM and its Affiliates. Update NIM level policies and as appropriate develop new policies as regulatory updates/changes are adopted by relevant regulatory bodies. Developing new global compliance programs, including responsibility for program design, policy drafting and oversight of implementation. Conducting special projects/analyses on an as needed basis. Affiliate Oversight: Develop subject matter expertise on an assigned group of NIM Affiliates and provide guidance and support on compliance related issues, regulatory changes and the launching of new products and new activities. Review and challenge monthly and quarterly reporting provided by NIM Affiliates. Participate in annual risk assessment exercises across a variety of compliance topics (Non-Compliance Risk, Financial Crimes, Technology Risk Management). Together with outside counsel, as appropriate, draft and deliver compliance trainings to Affiliates. Holding Company Compliance Matters: Supporting the administration of the holding company compliance programs. Serving as the point person for and handling regulatory inquiries or exams (e.g. Federal Reserve Bank of New York) and internal audits of the holding company. Assisting with compliance due diligence for potential acquisitions. What you will bring: Juris Doctorate preferred. Minimum 7+ years of relevant experience in compliance and/or operations at an investment management firm or the US Securities and Exchange Commission. Knowledge of the Investment Adviser, Investment Company Act, and FINRA and CFTC rules and regulations. Strong communication and interpersonal skills. Ability to communicate effectively with both holding company and affiliate senior management. Self-starter and highly organized individual able to work well in a deadline driven environment. Digital literacy (Microsoft Office Suite). Who we are: We put the best interests of our clients, employees, communities, and environment first in everything we do. We’re dedicated to fostering a culture of collaboration, diversity, and inclusion that supports employee growth. We believe this creates equal opportunities for our employees — and better outcomes for our clients and communities. We offer a robust benefits package designed to integrate life and work and to support our employees. Benefits include, but are not limited to; comprehensive medical, dental and vision insurance, paid time off, 401k plan, tuition reimbursement, student loan repayment program, wellness benefits and volunteer program Additional insight on working at Natixis, please visit: https://www.im.natixis.com/us/working-at-natixis #NatixisIMCulture Natixis Investment Managers is an equal opportunity employer and does not discriminate in recruiting, hiring, training, promotion or other terms, conditions and privileges of employment on the basis of race, color, age, national origin, ancestry, religion, sex (including pregnancy), sexual orientation, gender identity, genetic information, military or veteran status, physical or mental disability, or any other status protected by law. Natixis Investment Managers does not charge fees to participate in the interview process or for employment equipment and does not send employment offers through social media channels. We take security and privacy seriously. If you have been contacted by someone claiming to represent Natixis Investment Managers and are unsure about the legitimacy of the communication, please verify the contact details with Natixis Investment Managers directly. *Benefits eligibility is for permanent employees of Natixis Investment Managers. Interns, contractors and temporary workers are not eligible for benefits

Posted 30+ days ago

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Aristocrat TechnologiesTulsa, Oklahoma
At Aristocrat, we bring happiness to life through the power of play! As we continue to lead the way in gaming innovation, we are seeking an exceptionally motivated Compliance Support Specialist to join our team in Tulsa. This role plays a vital part in ensuring our products meet regulatory standards, allowing us to deliver world-class gaming experiences. If you are ambitious, diligent, and eager to contribute to a collaborative environment, this could be the perfect opportunity for you! We pride ourselves on our inclusive culture that fosters collaboration and growth. As a Compliance Support Specialist, you will be part of a dedicated team that strictly adheres to regulatory requirements, ensuring flawless execution of our business targets. Join us and be a part of an inspiring mission that brings happiness to millions! What You'll Do Supervise the day-to-day shipping and notification process, ensuring all orders and machine notifications to Regulatory Authorities are reviewed and processed. Verify that games and software are approved for the respective jurisdictions. Ensure compliance with all shipping requirements, including providing certification reports and PAR sheets to regulators as needed. Prepare machine and software notifications for submissions to the relevant Gaming Regulatory Agency and the receiving casino. Complete reports for various jurisdictions as required by Regulatory Agencies. Address issues, assess the level of compliance risk, and advance when needed. Attend relevant partner meetings to ensure compliance goals are met. Collaborate with internal departments to facilitate strict delivery requirements and customer timelines. Coordinate with Regulatory Agencies to acquire and maintain up-to-date contact information and shipping notification requirements. Respond to requests from casinos, regulators, and internal departments regarding order-related inquiries and compliance documents. Build and maintain strong teamwork with other departments to gather information necessary for completing notifications. Keep department management informed about notification timelines and ongoing activities, including critical regulatory compliance matters. Perform other duties as assigned to support the team's objectives. What We're Looking For 2+ years of experience in the Gaming Industry or an equivalent combination of experience and education. Proficiency in Microsoft Office Suite, particularly Outlook, Excel, Word, and Adobe Acrobat. Ability to think creatively, solve problems, streamline processes, and maintain a “can-do” attitude. Strong communication skills and the ability to work independently and as part of a team. Knowledge of gaming regulations, technical standards (for Class II), and internal controls is preferred. Ability to work in a fast-paced environment and resolve complex tasks efficiently. Outstanding attention to detail, accuracy, and organizational skills. Proficiency in reading, writing, speaking, and understanding English. Ability to acquire a gaming license. Customer-focused with a dedication to providing outstanding service. Physical, Mental, and Environmental Demands: Assigned duties are accomplished primarily in an office setting with remote work as a secondary possibility. Must be able to operate a computer and other necessary office equipment. May be required to bend, reach, and lift 25 lbs. Why Aristocrat? Aristocrat is a world leader in gaming content and technology, and a top-tier publisher of free-to-play mobile games. We deliver great performance for our B2B customers and bring joy to the lives of the millions of people who love to play our casino and mobile games. And while we focus on fun, we never forget our responsibilities. We strive to lead the way in responsible gameplay, and to lift the bar in company governance, employee wellbeing and sustainability. We’re a diverse business united by shared values and an inspiring mission to bring joy to life through the power of play. We aim to create an environment where individual differences are valued, and all employees have the opportunity to realize their potential. We welcome and encourage applications from all people regardless of age, gender, race, ethnicity, cultural background, disability status or LGBTQ+ identity. EEO M/F/D/V World Leader in Gaming Entertainment Robust benefits package Global career opportunities Our Values All about the Player Talent Unleashed Collective Brilliance Good Business Good Citizen Travel Expectations None Pay Range $21.47 - $39.88 per hour Our goal is to pay a market competitive salary focusing near the median of our pay ranges. However, final offers for all positions will be based on several factors such as experience level, education, skills, work location, and internal pay equity. This position offers a comprehensive benefits package, including health, dental, and vision insurance, paid time off, and a 401(k) plan with employer matching, more details available at https://atibenefits.com/ . Additional Information: Depending on the nature of your role, you may be required to register with the Nevada Gaming Control Board (NGCB) and/or other gaming jurisdictions in which we operate. At this time, we are unable to sponsor work visas for this position. Candidates must be authorized to work in the job posting location for this position on a full-time basis without the need for current or future visa sponsorship.

Posted 1 week ago

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MS Services GroupBaltimore, Maryland
We're seeking someone to join our team as a Wealth Management Compliance Officer in Non-Financial Risk to analyze and determine the relevance of new and updated laws and regulations to the Wealth Management business, develop and draft compliance policies and procedures, respond to document production requests, assist in the publication of a monthly policy bulletin, and handle special projects. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Wealth Management Compliance Policies and Procedures Group, which is responsible for updating and maintaining Compliance policies and procedures, tracking and analyzing regulatory developments. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. What you'll do in the role: > Analyzing new and updated federal and state laws, regulations, guidance and enforcement actions and determining relevance to the Firm's Wealth Management business > Developing and drafting of Compliance policies and procedures through collaboration with the business, Risk, Legal, Compliance, and other stakeholders > Responding to document production and related requests from Litigation and Regulatory Relations > Assisting in the development and publication of the monthly Wealth Management Non-Financial Risk Policy Bulletin that informs affected stakeholders of new and updated Compliance policies and procedures. > Special projects identified by the Manager of the Policies and Procedures Group. What you'll bring to the role:? > Familiarity with, and ability to analyze and assess relevant regulatory developments impacting wealth management, including FINRA, SEC, NYSE, and NYSE MKT rules and regulations, and applicable states laws and regulations > Ability to analyze and assess new rules and regulations > Strong verbal and written communications skills > Ability to bring a group with varied interests to consensus > Strong organizational skills > Ability to work independently with minimal supervision > Critical thinking and analysis > JD and/or 5+ years financial industry experience preferred > Project management experience preferred > Proficient with Microsoft Office products At least 6 years' relevant experience would generally be expected to find the skills required for this role WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Salary range for the position: $70,000 and $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posted 1 week ago

Compliance Supervision Specialist-logo
Renaissance FinancialPhoenix, Arizona
About Renaissance Financial Renaissance Financial is a comprehensive financial services firm with locations in St. Louis, Overland Park, Omaha, Phoenix, and Salt Lake City. Our Mission: Using creative business and personal planning, we help our clients achieve financial freedom… one relationship at a time. Our true team approach and entrepreneurial atmosphere set us apart from other firms in our industry. Joining our close-knit team at Renaissance Financial will inspire professional growth through numerous opportunities while creating a lasting impact on our organization and community. We support and reward our staff through team outings and industry leading benefits because we sincerely care about the well-being of our team members. We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. The mission of this full-time position is to support our Registered Investment Advisors (RIA). This role will support internal personnel operations within the framework of firm policies and regulatory requirements. This includes proactive monitoring, issue tracking, and communication with advisors to maintain compliance requirements to mitigate financial risks, and support a culture of transparency, trust, and ethical excellence. Primary Responsibilities Policy & Procedures Testing: establish and test policies and procedures in accordance with SEC rule 206(4)-7. Email Surveillance: Review advisor email communications for compliance with firm policies, SEC/FINRA guidelines, and industry best practices. Escalate red flags or concerns as needed. Surveillance Monitoring: Monitor for Risk Variance, High Cash, Concentration, Low Volume Trading, and other RIA policy compliance. Communicate internally for surveillance findings, policy violations, and corrective plans. Maintain documentation of interactions. Issue & Escalation Tracking: Maintain a log of escalated compliance issues, timely resolution, and proper documentation. Disciplinary Tracking: Monitor disciplinary actions related to advisor conduct, including policy breaches, corrective plans or regulatory trainings. Policy Enforcement: Enforce the firm’s compliance policies and procedures. Serve as a resource to advisors for interpreting and understanding firm policies and regulatory obligations. Ongoing Reporting: Generate regular reports summarizing surveillance activity, trends, and resolution statuses to support the compliance department’s regulatory duties. Social Media Supervision: Monitor Advisor social media profiles to ensure proper connection to the supervision tool. Assist with branch audits and remediation of items discovered. Educate Effectively: Help create and present ongoing education to the firm about key findings or deficiencies with the goal of reducing flagged items on surveillance reports. Essential Characteristics Strong analytical and investigative skills Excellent verbal and written communication Meticulous attention to detail and documentation Ability to manage multiple priorities in a deadline-driven environment Strong interpersonal skills with the ability to interact and communicate with individuals at all levels of the organization. Knowledge of data gathering and reporting procedures for industry compliance. Ability to review and analyze complex information, and then present complex material in a simple, easy to understand way. Education, Training & Experience Bachelor’s degree in finance, business, or a related field 2+ years of relevant experience in the Financial Services Industry Understanding of client communications, account management, and regulatory filings. Regulatory Knowledge: Familiarity with SEC regulations applicable to RIAs, including knowledge of best interest obligations. Licensing: Active FINRA Series 7 and Series 63+65 or Series 66 licenses Experience with Compliance monitoring tools (e.g., SMARSH, Global Relay, etc.) preferred. Computer Equipment and Software Proficiency with Microsoft Office Suite Salesforce (preferred) Orion (preferred) Compliance monitoring tools (preferred) SMARSH Global Relay Working Conditions Business professional office environment. This position may exceed a 40-hour work week. Some Travel Required We are committed to providing an accessible work environment. If you need accommodations during the application or employment process, please let us know. Benefits and Incentives Employer Paid Medical Insurance. Employer provided 401k contribution (up to 10% based on team member eligible compensation annually). Potential for Annual Variable Compensation and Bonuses. Employer Licensing Coverage and Growth Opportunities.

Posted 2 weeks ago

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WMC Wellington Management Company LLPBoston, Massachusetts
About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role Position overview The Senior Compliance Analyst will support Wellington Management’s global investment & trading compliance program, focusing primarily on compliance support to trading professionals in equity, fixed income and derivatives markets. The individual will also support elements of the compliance program related to material non-public information, market manipulation, conflicts of interest, and regulatory change. As the firm expands the asset classes, products and geographical footprint of its businesses, as well as its technological capabilities, a key responsibility of the role will be supporting the firm’s compliance procedures and controls in new and evolving areas and implementing enhancements where necessary. The Senior Compliance Analyst will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as investment and trading personnel. Responsibilities The Senior Compliance Analyst’s primary responsibilities will include the following Providing real-time compliance advice and support to trading personnel with respect to policies & procedures, controls, regulatory rules, MNPI, supervision, position limits, etc. Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes Driving the continued evolution of firm’s policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives Collaborating with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers Providing regulatory risk management advice and support to projects and strategic initiatives Reviewing regulatory developments and assisting with the evaluation of their impact on our firm Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings Responding to regulatory inquiries and examinations Developing and conducting regulatory training, where appropriate Qualifications 5+ years of compliance or asset management experience (experience supporting and/or working with capital markets and/or trading processes is preferred) Familiarity with US regulatory landscape and rules applicable to the capital markets activities of US investment advisers Ability to self-start and think creatively Strong business judgment and comfort working in a fast-paced environment Ability to apply analytical and decision-making skills in a collaborative and growth-oriented business Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms Strong interpersonal skills and ability to influence outcomes through collaboration Strong written and oral communication skills Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously Prior success identifying, developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows Experience using data analysis tools and/or other technology solutions to strengthen internal controls is a plus JOB TITLE Senior Compliance Analyst JOB FAMILY LOCATION 280 Congress Not sure you meet 100% of our qualifications? That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com . At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 80,000 - 180,000 This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families , and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time). We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.

Posted 2 weeks ago

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True EnvironmentalGuilford, Connecticut
Triton Environmental, a part of True Environmental and its partner firms, have united their strengths to establish the nation's premier environmental and engineering services consulting firm. This powerhouse organization offers an extensive range of services aimed at revolutionizing the built environment and preserving the natural one. Its diverse expertise encompasses environmental remediation, urban planning, engineering iconic coastal and marine structures, developing sustainable energy sources, and pioneering resource extraction methods. With a workforce of over 450 dedicated professionals, including environmental experts, engineers, technicians, scientists, planners, surveyors, and construction management professionals, this dynamic organization operates in more than 20 offices across the U.S. Explore further at TritonEnvironmental.com and True-Environmental.com to discover the full scope of our capabilities. Triton Environmental, LLC, a True Environmental firm, is actively searching for a Specialist to join our Regulatory Compliance team in Guilford, Connecticut. Triton is a full-service environmental consulting and engineering services firm and a wholly owned subsidiary of True Environmental (“True”). At True, we are building a diversified environmental services organization focused on consulting and engineering, water/wastewater management, testing/analytical services, and value-added remediation services. This is a great opportunity to join our growing team! What you'll do Collaborate with other regulatory compliance team members to review and revise written work products. Complete field work to gather necessary information to develop inspection reports, permit applications, or compliance plans. Coordinate scheduling to meet client’s regulatory compliance deadlines. Analyze data, prepare client reports, and upload results into state and federal online reporting systems. Review and interpret federal, state, and local regulations to apply to a range of client’s operations, equipment, and circumstances. Respond to requests from clients or regulators on data or information provided in communications, reports, etc. Minimum Qualifications B.S. in Biology, Chemistry, Environmental Engineering or other related fields 1-3 years of experience working in EHS Consulting or similar field Project management experience including deliverables, schedules, and budgets Preferred Qualification Certified Hazardous Materials Manager (CHMM) Familiarity with environmental laws and associated regulatory programs, such as: CAA, CWA, RCRA, TRI, TSCA Familiarity with health and safety (OSHA) programs Strong attention to detail Excellent verbal and written communication skills All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status.

Posted 30+ days ago

Senior Director, GxP Vendor Management and Compliance-logo
Revolution MedicinesRedwood City, California
Revolution Medicines is a clinical-stage precision oncology company focused on developing novel targeted therapies to inhibit frontier targets in RAS-addicted cancers. The company’s R&D pipeline comprises RAS(ON) Inhibitors designed to suppress diverse oncogenic variants of RAS proteins, and RAS Companion Inhibitors for use in combination treatment strategies. As a new member of the Revolution Medicines team, you will join other outstanding quality professionals in a tireless commitment to patients with cancers harboring mutations in the RAS signaling pathway. Opportunity: This is a leadership role responsible for overseeing compliance of GxP vendors providing regulated services and products to RevMed. This role will serve as the Compliance Supplier Quality Lead for RevMed GxP vendor management. This role is responsible for ensuring compliance with global regulatory requirements, industry standards, and company policies related to clinical trials. The candidate will lead a team of QA professionals, provide strategic leadership, drive continuous improvement initiatives, accountable for quality oversight of GxP contract organizations, and ensure the highest standards of quality. This position will report to the Vice President, Global Quality. Key Responsibilities: Design, develop and implement a global compliance strategy to manage GxP vendors aligned with corporate objectives, and global regulatory requirements. Establish a risk-based process/framework to plan, select vendors, conduct audits, qualifications, and oversight based on business impact and regulatory requirements. Work with RevMed GxP Quality Heads to oversee the development, implementation, and management of GxP vendors, quality systems procedures, and audits. Serve as the Quality lead for Quality Agreements. Draft, review and approve Technical Quality Agreement including negotiation of agreements with all major GxP vendors. Compile and track quality and compliance metrics (KPI) for GxP vendors and report to management on a quarterly basis. Lead and manage RevMed GxP audits program; develop audits schedule (annually) and conduct internal and external audits. Conduct quality audits of GMP vendors (clinical and commercial) to ensure compliance with RevMed procedures, Quality Agreements, and global regulations. Manage a team of GxP auditors (internal) and external contractors to support RevMed vendor management program. Prepare supplier quality audit budget annually and present to quality management. Support partner audits, due diligence activities and regulatory inspections at RevMed including RevMed GxP Vendors, ensuring inspection readiness and timely resolution of findings. Identify, assess, and mitigate GxP compliance risks including escalation of critical vendor quality events and performance to Sr. management. Collaborate with PDM, Clinical Operations/Development, Regulatory Affairs, GPS and other stakeholders to address GxP vendor quality events, ensure alignment on quality and compliance objectives and drive continuous improvement. Partner with PDM and Clinical Operations in selection of GMP and GCP vendors including managing the routine qualification activities and monitoring key KPI’s. Hire and manage a team of GCP and GMP auditors. Build, mentor, and lead a high-performing team of auditors. Provide training and development opportunities to enhance team capabilities. Foster a culture of quality, accountability, and collaboration within the team and across the organization. Stay current with global regulations and provide guidance to quality professional and cross functional teams, and to senior management, as needed. Required Skills, Experience and Education: Advanced degree in life sciences, pharmacy, chemistry, or a related field (PhD, MS, or equivalent preferred). Minimum of 15+ years of experience in the pharmaceutical or biotechnology industry, with at least 10 years’ experience conducting supplier audits across clinical and commercial vendors. Minimum of 5+ years’ experience hosting/supporting regulatory inspections (e.g., FDA, EMA, PMDA) in support of BIMO/PAI including conducting mock inspections at GMP establishments. Certified Quality Auditor, CQA (ASQ), ISO lead auditor or equivalent. Proven track record and relevant industry experience in leading supplier quality responsibilities within a global quality organization. Strong understanding and knowledge of global regulations (FDA, EU, ICH Q7), and other applicable regulatory guidelines. Excellent leadership, communication, team building and people skills, with the ability to influence stakeholders at all levels. Analytical thinker with a focus on continuous improvement and innovation. This role may require occasional travel (up to 20%) for quality audits, inspections, and vendor meetings. Flexibility to work in a fast-paced, dynamic environment with evolving priorities. Preferred Skills: Experience managing/auditing commercial GMP vendors (DS, SDD, DP and Finished Packaging) Regulatory Inspection experience (host/SME) The base salary range for this full-time position is $236,000 to $295,000 for candidates working onsite at our headquarters in Redwood City, CA. The range displayed on each job posting is intended to be the salary for an individual working onsite in Redwood City and will be adjusted for the local market a candidate is based in. Our salary ranges are determined by role, level, and location. Individual pay is determined by multiple factors, including job-related skills, experience, market dynamics, and relevant education or training. Please note that base salary is one part of the overall total rewards program at RevMed, which includes competitive cash compensation, robust equity awards, strong benefits, and significant learning and development opportunities. Revolution Medicines is an equal opportunity employer and prohibits unlawful discrimination based on race, color, religion, gender, sexual orientation, gender identity/expression, national origin/ancestry, age, disability, marital status, medical condition, and veteran status. Revolution Medicines takes protection and security of personal data very seriously and respects your right to privacy while using our website and when contacting us by email or phone. We will only collect, process and use any personal data that you provide to us in accordance with our CCPA Notice and . For additional information, please contact privacy@revmed.com #LI-Hybrid #LI-SH1

Posted 1 week ago

Senior Privacy Engineer and Compliance Manager-logo
Abbott LaboratoriesAlameda, California
Abbott is a global healthcare leader that helps people live more fully at all stages of life. Our portfolio of life-changing technologies spans the spectrum of healthcare, with leading businesses and products in diagnostics, medical devices, nutritionals and branded generic medicines. Our 114,000 colleagues serve people in more than 160 countries. JOB DESCRIPTION: Working at Abbott At Abbott, you can do work that matters, grow, and learn, care for yourself and your family, be your true self, and live a full life. You’ll also have access to: Career development with an international company where you can grow the career you dream of. Employees can qualify for free medical coverage in our Health Investment Plan (HIP) PPO medical plan in the next calendar year. An excellent retirement savings plan with a high employer contribution Tuition reimbursement, the Freedom 2 Save student debt program, and FreeU education benefit - an affordable and convenient path to getting a bachelor’s degree. A company recognized as a great place to work in dozens of countries worldwide and named one of the most admired companies in the world by Fortune. A company that is recognized as one of the best big companies to work for as well as the best place to work for diversity, working mothers, female executives, and scientists. The Opportunity This position works out of our Alameda CA facility. What You’ll Work On Abbott, a leading global healthcare company for over 130 years, seeks an experienced Senior Manager, Data Privacy Engineer and Compliance Manager to support the Diabetes Care Division (“ADC”). Preference for location is San Francisco / Bay Area, CA. Reporting to the Global Privacy Officer for ADC, this role is responsible for supporting the review and design of privacy and compliance controls, mechanisms and protocols across the organization and product line, and will support an important global digital transformation initiative. This team member will work cross-functionally with the Privacy, Legal, Compliance, Engineering, and Product Teams. The ideal candidate will have a clear ability to coordinate with application and system owners to help them understand and implement privacy by design and compliance obligations and solutions for the full lifecycle of applications and systems, from proof of concept, business analysis and financial modeling, architecture design, user acceptance testing to solution deployment. This person will assist their leadership with ensuring engineering and data privacy solutions and technologies are properly supported, implemented, and sufficiently meets the needs for which they are deployed to protect confidential and proprietary data. This individual will assist in the planning, design, implementation and ongoing support of engineering privacy control systems, compliance and processes to fulfill commercial needs. Senior Privacy Engineer Responsibilities: Develop and implement standards, processes and technical solutions to ensure privacy policies are correctly implemented. The implementations should advance compliance with legal and business forms of data processing. Work to align advanced technologies and Privacy by Design principles from the first stages of development and collaborate with legal and privacy colleagues to ensure that the data processing meets established regulatory compliance needs. Collaborate with product and system development teams creating new data processing that employ privacy features. Analyze and provide design requirements for processing for personal information with a goal of implementing technical solutions to help mitigate privacy vulnerabilities and prevent potential future privacy risks. Interact with users to define system requirements and/or necessary modifications to new or existing software. Guide the development of new privacy products and features, as well as the review of in place products and technology to ensure persistence of privacy controls. Identify areas of improvement in local practices relative to managing data privacy. Assist with regular privacy assessments of operational processes, identifying, and mitigating risks through effective tools, training, and guidance. Assist with tracking categories of privacy threats and vulnerabilities to proactively address potential future variances Communicate program progress, escalations, and issue analysis to key stakeholders. Increase privacy maturity in the technical and compliance teams by providing privacy education, training, and mentoring Closely interact with local teams in case of regulator inquiries or addressing data subject rights and drive for delivering system related / technical information and analysis needed to work up the cases and draft responses Advise on technical features of systems and applications for Data Protection Impact Assessments. Identify and recommend technical solutions to manage privacy risks. Collaborate with privacy, legal, IT, and business colleagues to ensure compliance with applicable privacy laws and requirements. Conduct technical and quantitative analysis to drive scalable, efficient, and data-driven privacy decision-making. Design, architect, and lead implementation of privacy-enhancing solutions alongside Engineering teams including privacy design and strategy across ADC. Conduct privacy impact assessments of multiple product components, and determine how to bridge between data regulations, governance, practical engineering practices, and policy practices. Develop, maintain, and publish design or technical documentation to drive consistency in privacy decisions and practices. Drive and develop executive-level briefings on progress across major privacy control development frameworks. Ability to manage risk in ambiguous and complex situations. Compliance Manager Responsibilities: Partners with all levels of key divisional business functions to provide moderately complex OEC and divisional policy interpretation and requirements, compliance risk assessment, trend analysis and best practice recommendations. Assist on compliance audits, oversees the fulfillment of auditors requests, acts as liaison between business and auditors during on site activities, evaluates and responds to preliminary findings and recommendations, guides the business in preparing corrective action to address moderately complex findings and recommendations, and ensures timely completion. Participate in Compliance Review Committee meetings and provides input on violation process. Assists with the tracking and trending and proposes recommendations for corrective actions. Provide guidance on proposed commercial programs, identifies moderately complex legal and regulatory issues, analyzes alternatives and works with legal, as appropriate, to propose solutions to the business. Required Qualifications Bachelor’s degree in Computer Science, Privacy Engineering, Information Technology, or a related technical field 5 + years of experience with privacy in an engineering and or technical implementation context. 7+ years of progressive privacy program management, compliance, and or program management experience (healthcare or tech preferred). Fluency and proficiency in privacy preserving methods and technology Strong verbal and presentation skills to facilitate communicating complex topics with diverse stakeholders during trainings or meetings. Be detail-oriented, highly organized and independent; capable of managing a wide range of diverse projects with minimal supervision. Experience implementing and managing applicable regulatory frameworks (e.g., GDPR, HIPAA, CPRA and other U.S. state laws). Professional certification in privacy (e.g., CIPP, CIPM, CIPT, CDPSE) Preferred Qualifications: Experience driving changes across multiple business units with competing priorities. Experience supporting product launches or familiarity with product launch lifecycle. Experience scaling out privacy controls and capabilities Experience in program management, consulting, or internal regulatory compliance. Experience and understanding of compliance practices related to data security and privacy including common risks and controls. OneTrust expertise. Familiarity with information governance standards, such as the National Institute of Standards and Technology (NIST) Privacy and Cybersecurity Frameworks. Experience with privacy-enhancing technologies (PETs). Ability to identify stakeholders and points of view, bringing people together to agree on and execute a strategy. Prior exposure to regulated healthcare and life sciences companies a plus. Learn more about our health and wellness benefits, which provide the security to help you and your family live full lives: www.abbottbenefits.com Follow your career aspirations to Abbott for diverse opportunities with a company that can help you build your future and live your best life. Abbott is an Equal Opportunity Employer, committed to employee diversity. Connect with us at www.abbott.com , on Facebook at www.facebook.com/Abbott , and on Twitter @AbbottNews. The base pay for this position is $128,000.00 – $256,000.00 In specific locations, the pay range may vary from the range posted. JOB FAMILY: Ethics & Compliance DIVISION: OEC Office of Ethics and Compliance LOCATION: United States > Alameda : 1360-1380 South Loop Road ADDITIONAL LOCATIONS: WORK SHIFT: Standard TRAVEL: No MEDICAL SURVEILLANCE: No SIGNIFICANT WORK ACTIVITIES: Continuous sitting for prolonged periods (more than 2 consecutive hours in an 8 hour day), Keyboard use (greater or equal to 50% of the workday) Abbott is an Equal Opportunity Employer of Minorities/Women/Individuals with Disabilities/Protected Veterans. EEO is the Law link - English: http://webstorage.abbott.com/common/External/EEO_English.pdf EEO is the Law link - Espanol: http://webstorage.abbott.com/common/External/EEO_Spanish.pdf

Posted 1 week ago

Compliance Manager-logo
LendableNew York, New York
About Lendable Lendable is on a mission to make consumer finance amazing: faster, cheaper, and friendlier. We're building one of the world’s leading fintech companies and are off to a strong start: One of the UK’s newest unicorns with a team of just over 600 people Among the fastest-growing tech companies in the UK Profitable since 2017 Backed by top investors including Balderton Capital and Goldman Sachs Loved by customers with the best reviews in the market (4.9 across 10,000s of reviews on Trustpilot ) So far, we’ve rebuilt the Big Three consumer finance products from scratch: loans, credit cards and car finance . We get money into our customers’ hands in minutes instead of days. We’re growing fast, and there’s a lot more to do: we’re going after the two biggest Western markets (UK and US) where trillions worth of financial products are held by big banks with dated systems and painful processes. Join us if you want to Take ownership across a broad remit. You are trusted to make decisions that drive a material impact on the direction and success of Lendable from day 1 Work in small teams of exceptional people, who are relentlessly resourceful to solve problems and find smarter solutions than the status quo Build the best technology in-house , using new data sources, machine learning and AI to make machines do the heavy lifting About the role We’re excited for a Compliance Manager to join our US Compliance team. In this key role, you’ll help drive the success of our compliance program by working closely with both US product team - Loans and Credit Cards ( Zable ). You’ll be responsible for ensuring our Monitoring and Testing activities are completed on schedule and that any identified issues are followed through to verified resolution. This role reports directly to our Head of US Compliance and will begin with one direct report. We’re looking for someone who thrives in both independent and collaborative environments, and who’s energized by problem-solving and cross-functional teamwork. We’re growing fast — and so is the scope of our work. Our Compliance team plays a critical role in helping the company meet regulatory requirements while also identifying and addressing emerging risks. As part of the second line of defence, you will be a proactive partner to the business, supporting new products, initiatives, change management, issue identification, corrective actions, and third-party risk management. What you’ll be doing: Design and lead a risk-based annual schedule of compliance monitoring and testing focused on regulatory requirements for personal loans and credit cards — ensuring we stay one step ahead of risk. Own the lifecycle of identified issues by tracking them through to full remediation, with clear documentation every step of the way. Drive innovation by developing and enhancing procedures related to this role — including smart solutions that leverage automation and AI where appropriate. Collaborate across teams — including Product, Tech, Operations, and Growth — to conduct thorough reviews that strengthen our compliance posture and support business goals. Pitch in where it matters most , supporting other high-impact compliance and risk initiatives as our business evolves. What we’re looking for 3-5 years of experience in Monitoring, Testing, and/or Issue Management within consumer finance — you know what great looks like when it comes to building and sustaining strong compliance practices. A solid understanding of key regulations that shape our industry — including lending, AML, and privacy laws such as BSA, OFAC, GLBA, TILA, FCRA, UDAAP, FDCPA, ECOA, E-Sign, EFTA, and NACHA. Exceptional communication skills — you're able to clearly convey complex information, whether you're writing an internal memo or presenting to stakeholders. A curious, proactive mindset — you're someone who digs into problems, brings creative and effective solutions to the table, and thrives in a fast-moving, ever-evolving environment. Strong project management and critical thinking abilities , with a keen analytical lens to identify trends, spot risks, and ensure work gets done efficiently and effectively. Detail-oriented and highly organized — you're someone who can manage multiple priorities across global teams without missing a beat. A bachelor’s degree is required ; a JD is a plus but not required — we value formal education as well as the practical experience and insight you bring to the table. Interview process A quick phone call with one of the team An interview with the Head of US Compliance Interview with senior stakeholders Final culture-add interview Life at Lendable The opportunity to scale up one of the world’s most successful fintech companies . Best-in-class compensation , including equity. You can work from home every Monday and Friday if you wish - on the other days, those based in the UK come together IRL at our Shoreditch office in London to be together, build and exchange ideas. Enjoy a fully stocked kitchen with everything you need to whip up breakfast, lunch, snacks, and drinks in the office every Tuesday-Thursday. We care for our Lendies’ well-being both physically and mentally, so we offer coverage when it comes to private health insurance We're an equal-opportunity employer and are looking to make Lendable the most inclusive and open workspace in London Check out our blog !

Posted 2 weeks ago

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

Posted 30+ days ago

Construction Labor Compliance Administrator-logo
JLM Strategic Talent PartnersLong Beach, California
Benefits: 401(k) matching Opportunity for advancement Paid time off WHO IS JLM STRATEGIC TALENT PARTNERS & WHAT IS OUR ROLE We partner with National & International prime contractors to provide them with qualified talent they can trust. We accomplish this by sourcing & vetting high level career seeking candidates in the industry and match them with our partners current open roles. Our objective is to help our general contractor partners build out project teams for high level infrastructure projects across the US. We aspire to partner with candidates who are eager to learn, grow, and progress in their career path while deepening their knowledge in their given field. We deeply value our partnerships and place great emphasis on maintaining strong relationships and long term hires.This is reflective in our competitive offerings to our hires including: Ongoing HR support Competitive benefits packages including- Health, Dental, Vision & Life insurance Our very own JLM Rewards incentive program THE IDEAL CANDIDATE The ideal candidate has a proven track record of working in construction and/or transportation. They thrive in a fast paced and a team oriented environment. They get excited about construction projects as well as completing assignments on time. An individual who will do well in this position is self oriented, organized, a great communicator, and approachable. Comfortable working within a team environment at the project site. KEY RESPONSIBILITIES/SKILLS provide general compliance support to construction projects requiring prevailing wage and other specific contracted labor requirements. Track and review certified payroll for internal self-performing labor and external subcontractors on projects. Evaluate all public contracts (and any private that have special requirements) for labor requirements (certified payroll, skilled labor, local hire, diversity, and other such labor related requirements), and work with the project teams and appropriate departments to ensure appropriate plan in place to monitor and report, as well as to ensure proper submissions to agencies Complete periodic audits on projects to verify compliance Participate in risk assessment on the Compliance Programs and communicate to project teams Monitor and stay up to date of labor and compliance laws and regulations that might affect the company policies and procedures Participate in external party and government reviews, audits and inquiries, working in conjunction with necessary district teams Other duties as assigned PERKS OF JOINING JLM We offer a competitive compensation package as well as benefits including Health Insurance, Vision, Dental, Life, and Paid Time Off! Compensation: $28.00 - $38.00 per hour JLM is a DBE-accredited agency specializing in finding world-class talent and managing infrastructure project staffing needs. As the industry leader in staffing for architecture, engineering, and construction projects, JLM has 18,500+ pre-vetted, highly-skilled, and available people ready to power your project within 7 days.

Posted 30+ days ago

Enterprise Compliance Analyst III-logo
Global Payments Inc.Jeffersonville, IN
Summary of This Role Performs and assists in development of enterprise-level risk management and operational compliance functions. Assists in establishing and maintaining risk policies and programs to ensure organizational compliance. Reviews and sets business, operational, and credit risk criteria across the range of segments and products. Ensures performance tracking and evaluation. Responsible for data gathering or manipulation, report creation, system or process creation and implementation. Mitigation can be defined as adapting and enforcing sound credit card policy criteria, maintaining adherence to all operating regulations and strategies published by the card brands and other legal/ regulatory bodies, training and engaging team members and leaders and developing strong data delivery and reporting in support of all contractual obligations. What Part Will You Play? Administers and completes complex tasks such as data gathering or manipulation, system or process creation and implementation. Using Governance, Risk and Compliance (GRC) tools, assists business units across the organization with identification, evaluation and management of risks in accordance with internal policies. May provide mentoring for other team members. Performs analysis and reviews risk data providing insightful recommendations and opinions. Ensures the resolution of escalated issues or further escalates as needed by making complex and quick decisions. Compiles information and presents lessons learned from various Risk and Compliance activities. Supports implementation of processes to satisfy internal and regulatory requirements. Creates complex reports for meeting with Federal Examiners, internal and external auditors, and with clients. Creates presentations and reports for Governance/Executive/BOD committee review so that information for proper oversight is available. Participates and may lead training and the work of complex projects. Makes project decisions and recommendations of critical importance within established guidelines. What Are We Looking For in This Role? Minimum Qualifications Bachelor's Degree Relevant Experience or Degree in: Major in Business, Criminal Justice or MIS preferred, other majors considered. Willing to accept additional experience in lieu of a degree. Typically Minimum 4 Years Relevant Exp Preferred Qualifications Business, Criminal Justice, Information Security, Risk Management or MIS Certified Compliance & Ethics Professional (CCEP) Certified Anti-Money Laundering Specialist (CAMS) What Are Our Desired Skills and Capabilities? Skills / Knowledge- A seasoned, experienced professional with a full understanding of area of specialization; resolves a wide range of issues in creative ways. This job is the fully qualified, career-oriented, journey-level position. Job Complexity- Works on problems of diverse scope where analysis of data requires evaluation of identifiable factors. Demonstrates good judgment in selecting methods and techniques for obtaining solutions. Networks with senior internal and external personnel in own area of expertise. Supervision- Normally receives little instruction on day-to-day work, general instructions on new assignments. Experience with surcharge and other POS Violations, merchant registrations with payment networks, compliance portfolio management, and data analysis. Technical- Microsoft Office The position listed in this requisition is ineligible for the referral bonus award program. This job description may not be inclusive of all assigned duties, responsibilities, or aspects of the job described, and may be amended at any time at the discretion of the Global Payments/TSYS. Global Payments Inc. is an equal opportunity employer. Global Payments provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including pregnancy), national origin, ancestry, age, marital status, sexual orientation, gender identity or expression, disability, veteran status, genetic information or any other basis protected by law. Those applicants requiring reasonable accommodation to the application and/or interview process should notify a representative of the Human Resources Department Benefits Global Payments offers a comprehensive benefits package to all of our team members, including medical, dental and vision care, EAP programs, paid time off, recognition programs, retirement and investment options, charitable gift matching programs, and worldwide days of service. To learn more, review our Benefits page at: https://jobs.globalpayments.com/en/why-global-payments/benefits/ Pay Range is 55,000 -66,000 The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. "Candidates and applicants are advised they may redact age information from requested items like transcripts, resumes, and certificates attached to their application for positions that can be performed in Colorado."

Posted 3 weeks ago

Assistant Director Of Compliance-logo
Lynn UniversityBoca Raton, FL
Summary: The Assistant Director of Compliance serves as a member of the athletics compliance team that is responsible for ensuring that Lynn's 19 varsity sports programs, athletics department staff, and individuals and groups representing the university's athletic program comply with all institutional, Sunshine State Conference, and NCAA regulations. Job Description: Essential duties and responsibilities Assist the Assistant Athletics Director for Compliance with the institution's overall athletic compliance program, consistent with all institution, Sunshine State Conference, and NCAA regulations. Assist with the management of all NCAA Applications, including but not limited to the Eligibility Center, Compliance Assistant, NLI Portal, Transfer Portal, and Division II Learning Portal. Responsible for the development of a monthly educational program for student-athletes. Responsible for monitoring playing and practice season information related to CARA, playing and practice season declarations, and dates of competition for all 19 sports teams. Responsible for tracking initial eligibility statuses of all incoming student-athletes, communicating with coaches to ensure proper certification, and tracking any temporary practice period windows. Responsible for the processing of transfer releases and for requesting transfer tracers from outside institutions. Responsible for maintaining accurate roster lists and for coordinating communication of any roster changes to various departments on campus. Serves as a staff representative for the Student-Athlete Advisory Committee. Assist with the maintenance of the university's compliance software, ARMS. Assist with the processing of NCAA and SSC waivers and interpretation requests. Assist with all compliance education for athletics department staff and required institutional staff. Other duties as assigned. Required knowledge, skills, and abilities Demonstrated ability to collaborate, inspire and lead others. Demonstrated professional judgment and discretion. Demonstrated flexibility, time management, initiative, organizational skills, and daily multi-tasking. Must possess the personal attributes of innovation, adaptability, and effective communication with coaches and university administration. Minimum qualifications Bachelor's degree from a four-year College or University. Master's degree preferred. At least one year of experience in NCAA compliance or academics with demonstrated comprehensive knowledge of NCAA regulations. DII experience preferred. Accreditation and equal opportunity Lynn University does not discriminate on the basis of race, color, gender, religion, sexual orientation, national origin, disability, genetic information, age, pregnancy, parenting status, veteran status or retirement status in its activities and programs. In accordance with Title IX of the Education Amendments of 1972, Lynn University does not discriminate on the basis of sex. Inquiries concerning the application of the non-discrimination policy may be directed to the Lynn University Compliance Officer/Title IX Coordinator at 3601 N. Military Trail, Boca Raton, FL 33431, titleixcoordinator@lynn.edu, or +1 561-237-7727; or to the U.S. Department of Education Office for Civil Rights. Lynn University is accredited by the Southern Association of Colleges and Schools Commission on Colleges to award baccalaureate, master's and doctoral degrees. Contact the Commission on Colleges at 1866 Southern Lane, Decatur, Georgia 30033-4097 or call +1 404-679-4500 for questions about the accreditation of Lynn University. 2020 Lynn University Americans with Disabilities Act Please notify us at least five days in advance if a reasonable accommodation for a disability is needed by calling +1 561-237-7639. The Annual Security and Fire Safety Report In compliance with the Clery Act, the University annually provides a report to each student and current employee, as well as to prospective employees and students, that provides a detailed disclosure of information regarding campus security practices (including Emergency Response Plan, Timely Warnings, Emergency Warnings, Missing Persons, fire safety policies, fire prevention data, and Crime Log policies), as well as crime and fire-related incident statistics for the preceding year. The Annual Security and Fire Safety Report is available online at lynn.edu/securityreport For your health, Lynn University is smoke- and tobacco-free.

Posted 1 week ago

IMC logo

Compliance Officer – Delta1 Specialist

IMCChicago, Illinois

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Job Description

The Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC’s US operations. The role requires a specialized understanding of US regulatory frameworks regarding Delta1 products.  This role will report directly to IMC’s US Chief Compliance Officer.  The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.

Your Core Responsibilities:

  • Partner with Compliance team to drive IMC’s regulatory vision and compliance efforts.
  • Promote the Firm’s Compliance culture, awareness of regulatory requirements, and best practices.
  • Act as the primary liaison between US Compliance team and the Firm.
  • Monitor trading activity using the Firm’s in-house surveillance systems.
  • Maintain detailed, accurate, and organized documentation of the execution of the Firm’s processes and procedures.
  • Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.
  • Assist in onboarding new personnel and managing various SRO registration processes.
  • Provide specialized training for employees on US regulatory standards.
  • Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.
  • Advise trading and technology personnel on potential US compliance risks.
  • Monitor for and assess new or proposed changes in US regulations and enforcement actions.
  • Collaborate with compliance teams in other regions where applicable.

Your Skills and Experience: 

  • Bachelor’s degree; Advanced degree preferred.
  • Proven experience (5+ years) in US regulatory compliance, with experience working at a proprietary trading firm or market maker strongly preferred.
  • FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
  • Strong interpersonal, organizational, problem-solving, and time-management skills.
  • Sophisticated analytical skills and ability to interpret complex regulatory frameworks.
  • High level of integrity and discretion when handling sensitive and confidential information.
  • US financial industry business knowledge and interest in the US regulatory environment.
  • Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.
  • Strong attention to detail; Eager to learn, ask questions, and admit mistakes.
  • Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers. e., RegSHO, RegNMS
  • Familiarity with regulatory reporting including Trace, CAT, TRF, or other regulatory audit trails.
  • Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.
  • Proactive and reliable, with the ability to work independently as well as with others in a small team.

Please note that immigration sponsorship is not offered for this specific opening.

The Base Salary range for the role is included below. Base salary is only one component of total compensation; all full-time, permanent positions are eligible for a discretionary bonus and benefits, including paid leave and insurance. Please visit Benefits - US | IMC Trading for more comprehensive information.

Salary Range
$145,000$185,000 USD

About Us

IMC is a global trading firm powered by a cutting-edge research environment and a world-class technology backbone. Since 1989, we’ve been a stabilizing force in financial markets, providing essential liquidity upon which market participants depend. Across our offices in the US, Europe, Asia Pacific, and India, our talented quant researchers, engineers, traders, and business operations professionals are united by our uniquely collaborative, high-performance culture, and our commitment to giving back. From entering dynamic new markets to embracing disruptive technologies, and from developing an innovative research environment to diversifying our trading strategies, we dare to continuously innovate and collaborate to succeed.

 

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