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US Investments Commercial Compliance Leader-logo
US Investments Commercial Compliance Leader
Clark InsuranceBoston, MA
Company: MMC Corporate Description: Mercer Investments is recruiting for a US Investments Commercial Compliance Leader who will work three days a week in a local office. This position will be responsible for providing strategic and tactical advice as it relates to broker-dealer and SEC RIA Sales and Marketing requirements, supporting Mercer's investment management and investment consulting businesses in the US and MMC Securities broker-dealer activities. The US Investments Commercial Compliance Leader will be a part of the Legal & Compliance team, and will work closely with other functional teams, and particularly with MMCS leadership and Mercer Investments commercial and sales teams. In this newly created role, you will have the opportunity to add value and make your mark on a fast growing and dynamic business. We will count on you to: Design, execute, document, and report on a robust commercial compliance program focused on addressing and mitigating legal and regulatory risk in our commercial activities, and collaborating with business colleagues to assess and mitigate the firm's risk profile. Maintain relationships with our MMCS regulators, and manage any relevant exams. Be an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing. Assess and recommend process and control enhancements to further mitigate risks and/or support future business objectives. Provide best-in-class advice, appropriate second line challenge, and thought partnership on marketing and sales process and control enhancements to meet business needs and future growth. Establish and oversee a framework of controls and processes. Own and manage the Compliance sales and marketing oversight, testing/monitoring, and governance processes. Monitor and understand regulatory developments for any modifications needed to the Compliance programs and provide guidance to relevant stakeholders, leaders, and governance committee on regulatory change that may impact business activities, operations, or objectives. Collaborate across the Global Investments Legal and Compliance teams, and with global commercial leaders. What you need to have: A Bachelor's Degree from a four-year college or university required (JD preferred) A minimum of 7 years of experience, preferably in the financial services industry, with experience managing SEC and FINRA marketing compliance processes and/or managing a broker-dealer compliance program. Independent strategic thinker with experience balancing commercial objectives against risk mitigation goals. Ability to establish and maintain professional relationships with key stakeholders and service providers. Proactive, capable of multi-tasking, and ability to organize and prioritize deliverables to meet deadlines within a growing business environment. An ability to work independently and own risk, exhibit solid judgement and execute effectively. A positive, can-do attitude and creative problem-solving skills. Strong written and oral communication skills. Ability to communicate succinctly. What makes you stand out: FINRA S7, S24 or FINRA S14 licenses Experience at an SEC registered investment adviser working within a compliance department, managing broker-dealer compliance and marketing and sales compliance programs of advisers and funds. Experience implementing workflows and frameworks to generate efficiency while mitigating risk. (e.g. Seismic, Red Oak, Saifr, etc.) Knowledge of Investment Company Act of 1940; Knowledge of ERISA regulations; Knowledge of NFA Rules. Why join our team: We help you be your best through professional development opportunities, interesting work, and supportive leaders. We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients, and communities. Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being. Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit marshmclennan.com, or follow on LinkedIn and X. Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@mmc.com. Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person. The applicable base salary range for this role is $144,300 to $288,400. The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.

Posted 1 week ago

Academic Compliance Specialist-logo
Academic Compliance Specialist
Herzing UniversityBirmingham, AL
To participate in a remote work arrangement, employees must reside in the United States. No remote work arrangement will be considered for working from outside the United States. If you are a current employee, faculty or adjunct instructor at Herzing University (not a Contractor or temporary employee through a staffing agency), please click here to log in to UKG and then navigate to Menu > Myself > My Company > View Opportunities to apply using the internal application process. We offer a comprehensive medical insurance benefits, excellent education assistance programs, 401K match and employee assistance program. Click Here to learn more about careers at Herzing University. The responsibilities of the Academic Compliance Specialists fall within six categories: State Regulatory Reporting and Compliance State Authorization Academic Operational Audit and Compliance New and Revised Program Applications and Implementation Programmatic Accreditation Reporting and Compliance Compliance Process, Communication and Documentation This role nteracts with constituents at all levels of the University as well as with external regulatory partners to assure ongoing compliance. Develop of standard processes and documentation that supports those processes will be a primary responsibility. The role will be responsible for collaboration with the System Division Chairs on the development of standard regulatory submission templates, working with the Data Analytics/Compliance team to define reporting requirements for third party regulators, and with the Academic Operations Leadership team on the development of audit checklists and timeframes. EXPERIENCE AND EDUCATION REQUIREMENTS: Bachelor's Degree in Education, related field, or equivalent experience, Master's degree preferred Two years of experience working in higher education Prior experience interacting with post-secondary education regulatory bodies Five years of experience engaged post-secondary education compliance preferred Prior experience in the development and submission of applications to post-secondary regulatory bodies preferred Education or experience in report writing preferred RESPONSIBILITIES: State Regulatory Reporting and Compliance State Authorization Academic Operational Audit and Compliance New and Revised Program Applications and Implementation Programmatic Accreditation Reporting and Compliance Compliance Process, Communication and Documentation Physical and Other Requirements Must be able to remain in a stationary position 50% of the time Ability to move about readily and rapidly, if necessary, around campus, classrooms, clinical settings, etc., to access classrooms, desks, students, office machinery, clinics, patients, etc. Constantly communicates using the spoken word with students, faculty, staff and colleagues Visually or otherwise identify, observe and assess Operate equipment specific to programmatic track, personal computer, audio-visual equipment, clinical equipment, etc. Travel to off-site meetings, conferences, or campus visits as needed, up to 30% Herzing University is committed to providing a diverse environment and is dedicated to fostering a culture and atmosphere of mutual respect. It provides an inclusive and collegial community where individuals are valued, heard and empowered to contribute to the effectiveness of the institution. Applicants must be authorized to work for any employer in the U.S. We do not sponsor or take over sponsorship of an employment Visa at this time. It is the university's practice to recruit and hire without discrimination because of skin color, gender, religion, LGBTQi2+ status, disability status, age, national origin, veteran status, or any other status protected by law. https://www.herzing.edu/about/diversity Herzing University prohibits sex-based discrimination in any education program or activity that it operates. Individuals may report concerns or questions to the Title IX Coordinator. The notice of nondiscrimination is located at https://www.herzing.edu/title-ix .

Posted 3 weeks ago

Governance, Risk And Compliance Services Director-logo
Governance, Risk And Compliance Services Director
WeaverNew York, NY
The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to the world of accounting, which includes creating a diverse, collaborative, and entrepreneurial workplace culture. Our leaders truly care about the well-being of all our employees and encourage them to pursue their ambitions. While our business is based in numbers, our success is truly based on people. It's why we commit to supporting our people not just in their professional growth, but also in their ability to lead balanced, integrated lives. At the foundation of that commitment are our core values. Weaver's core values were created specifically to empower our people to deliver extraordinary service and be their best selves. Our goal is to balance high development with high performance in order to meet the long-term goals of each individual, team, and our firm. Learn more about our services, industry experience and culture at weaver.com. Position Profile Weaver is looking for a dynamic Governance, Risk and Compliance Services Director to join our growing firm. The ideal candidate is a strategic advisory professional with an advanced understanding of accounting, audit and business process improvement concepts. This leader will execute client engagement objectives while also building and supervising a team. Client project types will include: Risk-based, value-orientated internal audits, including Sarbanes-Oxley compliance, asset protection, compliance and fraud prevention components Risk and compliance assessments designed to identify, evaluate and mange critical risks and compliance initiatives Business process improvement and reengineering Primary industries served will be Financial Services, Private Equity, Real Estate, Life Science, Technology and Manufacturing & Distribution. In addition to the technical expertise required for client servicing, we are also looking for someone who possesses a strong professional network in NYC and has proven business development skills. This professional will work closely with Firm and local leadership to expand Weaver's Advisory service offerings in the New York metropolitan area. To be successful in this role, the following qualifications are required: Bachelor's degree in Accounting, Finance, or related field CPA or CIA designation 9+ years of public accounting experience or a combination of public accounting and relevant industry experience Comprehensive understanding of financial reporting, transaction cycles, and business processes Thorough understanding of GAAP, GAAS, COSO internal control framework, IIA standards, SOX and Section 404 Excellent business writing and presentation skills Experience with business process improvement procedures Proven ability to manage, mentor and develop a team Strong relationship management and practice development skills Ability to attract and service new clients and expand services to existing clients, including participation in the proposal process Additionally, the following qualifications are preferred: Master's degree in Accounting, Finance, or related field Compensation and Benefits At Weaver, our most valuable resource is our people. We take the time to evaluate our employees' wants and needs and invest our resources accordingly. A reasonable estimate of the compensation range for this position is $155,000 to $300,000. Actual compensation will be based on a variety of factors including but not limited to experience, skills, certifications, and geographical location. In addition to compensation packages, Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan. Further, we support our employees by offering flexible scheduled time off (STO), a minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days! Learn more here - Weaver benefits. We also offer in-house CPE and learning opportunities through our internal Learning and Development department. Our multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth. Our goal is to balance both high development with high performance to meet the long-term goals of each individual, team, and our firm. WeaverLEAD We are committed to investing in the strength of our team. That is why we have created an internal leadership coaching program to train leaders to support other leaders at every level of the organization. The goal of WeaverLEAD is to inspire the growth and development of our leaders by: Leaning into the experience of exploring new ideas for each individual's growth as a leader. Engaging the coaching mindset at work with new ways of thinking about challenges and opportunities. Adapting to the transformation that takes place as a result of participating in the program. Developing yourself and others with coaching competencies to create a firm-wide culture of coaching. People are our formula! At Weaver, we recognize that everyone brings different strengths, backgrounds, and working styles to our team. We cultivate a safe and inclusive work environment that celebrates each individual's unique qualities through visibility, progression, advocacy, and support. We are proudly an equal opportunity employer. What's next? Interested applicants should apply directly to the job posting. You may apply to multiple roles. Be sure to upload your most recent resume and ensure that it is attached to your application. By registering, you are only activating an account and creating a presence. Please apply directly to a position of interest. You will receive a confirmation email after completing an application for a role. After reviewing your application, a friendly Weaver Recruiter will contact you soon and walk you through the hiring process. Thank you for exploring a career with us. We look forward to meeting you! Currently, we are not accepting resume submissions from third-party staffing agencies for this role. This role is Employee Referral Program eligible.

Posted 30+ days ago

Financial Services Director | Financial Crimes, Risk And Compliance-logo
Financial Services Director | Financial Crimes, Risk And Compliance
GuidehouseMclean, VA
Job Family: Risk & Regulatory Compliance Consulting Travel Required: Up to 50% Clearance Required: None What You Will Do: Guidehouse has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now seeks to expand its leadership team by recruiting a strong business-building executive who will be fundamental to this growth strategy. This new hire will be a senior business builder with a high-profile personal network with Financial Crimes expertise. Responsibilities will include: Oversee delivery of Digital Onboarding, Perpetual KYC, Transaction Monitoring, Sanctions, Trade Surveillance, Anti-Bribery & Corruption and/or Fraud projects Lead independent risk assessment, target state design, functional & technical transformation, and regulatory response management to support our client in their modernization and/or regulatory remediation journeys Develop relationships with current and prospective clients - both externally and internally, establishing credibility with senior Guidehouse colleagues to be recognized as a market leader Spearhead the development and execution of key go-to-market strategies for Financial Crimes practice including new client development and existing client expansion with personal pursuit Manage executive level relationships and ensure there are the optimal range of AML solutions to meet client needs as well as to maximize revenue generation and profitability of the firm Lead the assessment and testing of Financial Crimes compliance programs and implement recommended changes/controls and solutions Collaborate with other leaders to contribute to the development of intellectual property and thought leadership Develop collaborative relationships with the other related specialty practices and non-specialty practices across the firm to cross-sell relevant products and services Lead efforts in identifying and retaining new client relationships through business development and existing or new industry connections Play a vital role in managing and developing team members in the Financial Services practice, as well as recruiting new team members as part of this strategic initiative to aggressively grow the business Evaluate internal control structures to help identify weaknesses and associated risks Develop, perform, and supervise detailed financial, economic, and statistical analysis What You Will Need: Bachelor's degree 10+ years of Financial Crimes experience at regional and national financial institutions, crypto/digital assets exchanges, Securities / Capital Markets institutions, regulatory/government agencies, and/or consulting firms Deep understanding of AML regulations, investigations, and enforcement actions Expertise in OFAC, EDD, KYC, BSA, CDD and/or forensic accounting Deep understanding of Digital Onboarding and perpetual KYC transformation Familiarity with common fraud and money laundering schemes Strong understanding of corporate governance and regulatory issues that could affect an organization Outstanding project management skills in monitoring billing of hours, training, development, and supervision Outstanding communication and public speaking skills Proven track record of successful new business generation, and demonstrable ability (or commercial potential) to sell, deliver and manage highly visible engagements demonstrated by year over year credited sales generation of $2M+ Ability to travel up to 50% What Would Be Nice To Have: Master's Degree Strong preference for candidates local to the New York City and/or Washington, DC, metropolitan areas Desire to collaborate with other related Guidehouse practices as well as across the entire global firm to cross-sell relevant products and services, in addition to being a growth oriented, vertical thinker Intellectually adept with negotiation and influencing skills and ability to relate to range of senior level internal and external stakeholders Elevated level of business acumen and commercial awareness Extremely driven, energetic, and able to thrive in a results-oriented, entrepreneurial, analytical environment The annual salary range for this position is $197,000.00-$328,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs. What We Offer: Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace. Benefits include: Medical, Rx, Dental & Vision Insurance Personal and Family Sick Time & Company Paid Holidays Position may be eligible for a discretionary variable incentive bonus Parental Leave and Adoption Assistance 401(k) Retirement Plan Basic Life & Supplemental Life Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts Short-Term & Long-Term Disability Student Loan PayDown Tuition Reimbursement, Personal Development & Learning Opportunities Skills Development & Certifications Employee Referral Program Corporate Sponsored Events & Community Outreach Emergency Back-Up Childcare Program Mobility Stipend About Guidehouse Guidehouse is an Equal Opportunity Employer-Protected Veterans, Individuals with Disabilities or any other basis protected by law, ordinance, or regulation. Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco. If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation. All communication regarding recruitment for a Guidehouse position will be sent from Guidehouse email domains including @guidehouse.com or guidehouse@myworkday.com. Correspondence received by an applicant from any other domain should be considered unauthorized and will not be honored by Guidehouse. Note that Guidehouse will never charge a fee or require a money transfer at any stage of the recruitment process and does not collect fees from educational institutions for participation in a recruitment event. Never provide your banking information to a third party purporting to need that information to proceed in the hiring process. If any person or organization demands money related to a job opportunity with Guidehouse, please report the matter to Guidehouse's Ethics Hotline. If you want to check the validity of correspondence you have received, please contact recruiting@guidehouse.com. Guidehouse is not responsible for losses incurred (monetary or otherwise) from an applicant's dealings with unauthorized third parties. Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.

Posted 30+ days ago

Svp, Associate General Counsel - Broker-Dealer Regulatory Compliance-logo
Svp, Associate General Counsel - Broker-Dealer Regulatory Compliance
LPL Financial ServicesNew York, NY
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel - Broker-Dealer Regulatory Compliance. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on the LPL's broker-dealer and custodial platform business but also provides support to the investment advisory business. This position entails advising LPL's senior leadership within Compliance Supervision and Risk as well as its Business Development (recruiting) and Corporate Development (M&A) regarding regulatory compliance with said activities. The position will also cover counseling the firm's Product Review group with due diligence requirements, sales practices and controls around alternative investments. The ideal candidate is one who can thrive in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have at least 10 years of relevant experience within a law firm, counseling the financial services industry, specifically the broker-dealer and retail investment advisory business with respect to federal, state and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. In-house experience within a top financial services firm will also be considered. Responsibilities: Day-to-day legal support for LPL's financial services business, including providing legal analysis and advice with respect to compliance with applicable rules, regulations and legal risks relating to the brokerage and investment advisory business. Reviewing, revising and developing internal policies and procedures in response to business initiatives and regulatory developments. Performing legal research and drafting memoranda concerning compliance with applicable laws, rules and regulations. Interacting with other members of the Legal Department as well as other LPL business units including, among other departments, Supervision, Compliance and Risk. Managing a team of experienced attorneys staffed against LPL's brokerage and control-based business lines throughout the organization. Providing strategic counseling with respect to M&A transactions and the regulatory approval process. Counseling on due diligence standards and establishing proper protocols for the onboarding and sale of alternative investments. Requirements: 10+ years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws. A demonstrable record of successful representation of financial services parties in enforcement proceedings, Federal and State Court, SRO arbitrations, and other administrative proceedings strongly preferred. Proficiency in legal writing, performing legal research (LexisNexis preferred) and written communication skills. Strong working knowledge of federal securities laws and rules making process; regulatory notices; interpretive guidance; and agency interpretations. Working understanding of alternative investments, including but not limited to, hedge funds, VC funds, private equity funds, public non-traded products, business development corporations and private placements. Understanding of regulatory landscape applicable to broker-dealers and registered investment advisers, including a familiarity with regulatory processes (SEC and FINRA). Experience drafting, filing and managing continuing membership applications with FINRA. Pay Range: $207,075-$345,125/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947. EAC1.22.25

Posted 30+ days ago

Trade Compliance Analyst - AI Hardware Manufacturing-logo
Trade Compliance Analyst - AI Hardware Manufacturing
ZT SystemsSecaucus, NJ
About the Role The Trade Compliance Analyst role is responsible for supply chain data analysis, with focus on tariffs cost and freight costs. This job plays a critical role in providing insight analysis for our multinational import and export business. In addition, this individual will assist internal controls, and drives improvement in the key processes. What You'll Do Records keeping for import & export day-to-day entry filings and activities. Support classification in Harmonized Tariff Schedule (HTS), Schedule B, Harmonized System Code (HSC) that will result in compliant imports, export, duty savings and ultimately benefit the program. Evaluate documentation associated with imports/export prior to shipment for accuracy for duty drawback opportunities. Support post entry corrections, where necessary, and maintain all records. Create reporting metrics for internal audit, clearance accuracy, duty, tax, and other visibilities. Assist in the implementation of corrective actions resulting from internal audits and compliance issues. Monitor all import and export transactions are in conformance with the laws and regulations of the countries involved. Handle basic issues and problems under supervision, while escalating more complex issues to appropriate staff or team What You'll Bring Bachelor's Degree in International Business, Finance, Accounting (International specialization is a plus) or similar degree programs CCS or CES certifications strongly preferred Minimum of 2+ years of experience experience in freight forwarding, ocean/air logistics, international transportation or E-commerce preferred. Experience with global import and export trade activities and custom compliance is preferred Hands-on experience with SAP is preferred Advanced proficiency in Microsoft Excel (Pivot tables, vlookups) is required and additional experience with Power BI is highly desirable. Demonstrate ability to use critical thinking for problem-solving Detail oriented and Organized Excellent communication, written, and presentation skills Demonstrate willingness to learn new skills and responsibilities Bi/multilingual abilities in addition to English (e.g., Mandarin, Korean, Japanese, Dutch, French, or Spanish) is desirable. Compensation Range: $66,375.00 - $110,625 #LI:SL1 #LI:OnSite About ZT Systems At ZT Systems, you'll get to do work you are proud of alongside smart, passionate people. Every day, there are opportunities to collaborate with the best in the industry to design, build, and deliver impactful solutions to world-class customers. Along the way, you will gain hands-on experience in a face-paced environment that's challenging, rewarding, and career-defining. A culture built around our values we work hard and think fast. We view challenges as opportunities-to do better, push harder, and be faster than we were the day before. When we fail, we learn from it and move on together. And when we succeed, we use the momentum to go even further. We create value with everything we do, building the foundation of today-and transforming the future of tomorrow. Join ZT Systems and help us build technology infrastructure that connects the world. What We Offer When you join ZT, you'll enjoy a range of world-class, inclusive employee benefits designed to grow with you and our company. From competitive compensation to 401K matching to comprehensive health & wellness programs and tuition reimbursement, ZT Systems offers industry leading benefits packages for eligible employees designed to help you get the most out of life. ZT Group Int'l. is an Equal Opportunity Employer and prohibits discrimination and harassment of any kind. ZT Systems provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.

Posted 1 week ago

Sr. Risk And Compliance Associate-logo
Sr. Risk And Compliance Associate
TransunionChicago, IL
TransUnion's Job Applicant Privacy Notice Personal Information We Collect Your Privacy Choices What We'll Bring: At TransUnion, we strive to build an environment where our associates are in the driver's seat of their professional development, while having access to help along the way. We encourage everyone to pursue passions and take ownership of their careers. With the support of colleagues and mentors, our associates are given the tools needed to get where they want to go. Regardless of job titles, our associates have the opportunity to learn new things and be a leader every day. Come be a part of our team - you'll work with great people, pioneering products and cutting-edge technology. This role will act as a key Associate of the Technology Risk and Compliance team and is responsible for supporting and providing advice and consultation to technology and information security teams on risk matters and control effectiveness specifically focused on technology compliance advisory. The role will be performing oversight and assurance activities to validate that relevant technology and information security risks and controls are identified and appropriately managed, bring awareness to risk and control issues, drive development of comprehensive solutions and improvements to controls to mitigate risk, provide subject matter and risk management expertise throughout the risk lifecycle, and ensure risk is managed in conjunction with the Company's risk appetite. This role will assist in providing regulatory compliance support to the Technology and Information Security business areas as deemed appropriate by the Sr. Director of Technology Risk and Compliance. This role will partner and collaborate with stakeholders across multiple areas of the Company such as technology, information security, R&C, legal, privacy, internal audit, procurement, and the business units across multiple solutions and products around the world. You will have the opportunity to partner with stakeholders to perform technology related compliance advisory reviews, risk assessments, and control assurance testing. What You'll Bring: 3+ years of experience in risk management, compliance, audit, and or information security, with specific focus on technology and information security Knowledge of cloud environments, product development, and common security and technology frameworks such as CIS, NIST, SOC2, PCI, and SOX Ability to work in a matrixed organization with excellent analytical and problem-solving abilities, with a keen attention to detail and a results-oriented mindset High level of integrity, do things the right way, and lead by example Comfortable with organizing and managing multiple priorities and deadlines concurrently Proactive, take the initiative, and can work independently with limited supervision Experience working in financial services or other regulated industry Flexibility to attend work related meetings outside of typical working hours Bachelor's degree in a relevant discipline Possess relevant certifications such as CISSP, CGRCP, CISA, CISM, CRISC etc… Impact You'll Make: Perform reviews of technology initiatives and processes to ensure policies, processes, and practices meet requirements and are consistent with industry standards, regulations, and best practices. Assist with risk assessments, performing critical analysis as necessary and monitor data used to identify heightened risk and help develop risk remediation recommendations. Assist with deep dives into technology and security risk events and analyze thematic technology risks to provide appropriate expertise and insight. Analyze and test technology and information security controls and processes to ensure identified risks are effectively mitigated. You will provide assurance and escalate any identified gaps or opportunities for improvement. Assist with the development of technology and information security risk registers for proper assessment of identified risks, including analysis, rating, prioritization, and ownership. Monitor and facilitate periodic reviews of the risk registers to ensure any changes to the control environment has been captured appropriately. Analyze corrective actions and mitigation plans for incidents, identified issues, and findings for comprehensiveness, appropriateness, and timeliness to address the associated risks, and report and escalate any gaps or opportunities for improvement. Collaborate with the 1st line of defense in discussing and resolving control gaps, risk trends, risk issues and incidents while also providing credible challenge of their assertions, assumptions, and conclusions. Partner with the relevant technology, business units and other support functions to develop a perspective on the risk and ensure consideration of evolving regulatory expectations. Participate in technology and information security risk forums, as deemed appropriate, to identify new and emerging risks and provide complementary expertise to foster robust dialog and information sharing about risks and controls. Actively review initiatives and projects to ensure technology and security risks are identified early in the process and drive comprehensive mitigation solutions. Report on oversight and assurance activities to senior management and escalate when necessary to ensure appropriate awareness and action to mitigate risk. Qualified applicants with arrest or conviction records will be considered for employment in accordance with applicable law, including the Los Angeles County Fair Chance Ordinance for Employers, the San Francisco Fair Chance Ordinance, Fair Chance Initiative for Hiring Ordinance, and the California Fair Chance Act. Adherence to Company policies, sound judgment and trustworthiness, working safely, communicating respectfully, and safeguarding business operations, confidential and proprietary information, and the Company's reputation are also essential expectations of this position. This is a hybrid position and involves regular performance of job responsibilities virtually as well as in-person at an assigned TU office location for a minimum of two days a week. Benefits: TransUnion provides flexible benefits including flexible time off for exempt associates, paid time off for non-exempt associates, up to 12 paid holidays per year, health benefits (including medical, dental, and vision plan options and health spending accounts), mental health support, disability benefits, up to 12 weeks of paid parental leave, adoption assistance, fertility planning coverage, legal benefits, long-term care insurance, commuter benefits, tuition reimbursement, charity gift matching, employee stock purchase plan, 401(k) retirement savings with employer match, and access to TransUnion's Employee Resource Groups. Spousal, domestic partner, and other eligible dependent coverage is available on select health and welfare plans. We are committed to being a place where diversity is not only present, it is embraced. As an equal opportunity employer, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, veteran status, genetic information, marital status, citizenship status, sexual orientation, gender identity or any other characteristic protected by law. Pay Scale Information : The U.S. base salary range for this position is $90,000.00 - $150,000 annually. *The salary range for this position reflects a reasonable estimate of the range of compensation for this job. At TransUnion, actual compensation is based on careful consideration of additional factors such as (but not limited to) an individual's education, training, work experience, job-related skill set, location, and industry knowledge, as well as the scope and responsibilities of the position and market considerations. Regular, fulltime non-sales positions may be eligible to participate in TransUnion's annual bonus plan. Certain positions may be also eligible for long-term incentives and other payments based on applicable company guidance and plan documents. TransUnion's Internal Job Title: Sr Consultant, Risk Management

Posted 2 weeks ago

Director, Clinical Compliance And Documentation-logo
Director, Clinical Compliance And Documentation
Olema PharmaceuticalsBoston, MA
About the Role >>> Director, Clinical Compliance Operations As the Director of Clinical Compliance and Documentation, reporting to the VP of Clinical Development Operations, you will partner with the clinical and quality assurance (QA) departments to ensure that Olema's clinical trials, processes, and oversight are compliant with global regulatory standards (e.g. FDA, EMA, and other international regulatory authorities) and GCP. This position will support the company's business goals and objectives while building and maintaining a strong culture of compliance throughout the Clinical Department. This role is based out of our Cambridge or San Francisco office and will require 15% travel. Your work will primarily encompass: Provide strategy and oversight of clinical trial compliance in support of clinical study teams across different stages of development. Leadership of risk and issue management process for CDO focusing on clinical study delivery. Oversight and Management of Process improvements within the Clinical Department including providing trends and other relevant reporting to Process Owners and Clinical Department Leadership Team (CDLT) and help translate trends to enable smart risk taking and process improvement. Lead the development of Clinical SOPs, work instructions, process flows, forms, and storyboards through partnership with Clinical Department Heads and QA. Collaborate with QA in the response and completion of clinical audits and inspections. Develop and manage Clinical and CRO Key Performance Indicators (KPIs) in order to provide oversight of our vendors and mitigate study operational risk. Partner with QA to define strategy and methodology for Clinical risk/issue management; create annual risk management plan to ensure inspection readiness, review periodically the outcomes of risk management/ management monitoring; escalate to appropriate governance and adapt accordingly. Oversight for completion of Root Cause Analysis of Issues and Clinical CAPAs and provide CDLT with reports of CAPA completion data (late, near due, due later). Management and oversight of internal Clinical Systems (ex. eTMF) to ensure efficiency and standards of excellence. Oversight of the Clinical Documentation and Trial Master File Team. Onboarding of clinical department staff. Protocol/Informed Consent/Manual Review and QC. Ideal Candidate Profile >>> A love of challenging, important work. We are a pragmatic team, driven to imagine and develop meaningful therapies for improving lives. All employees within our company play a unique and crucial role in our success, both in accomplishing our mission and building a positive company culture. As such, we are looking for someone with the right combination of knowledge, experience, and attributes for this role. Knowledge: Bachelor's degree is required, Master's degree is preferred. Extensive understanding of GCPs, FDA, EU and ICH regulatory standards/guidance documents. Experience: 12+ (BS) or 10+ (MS) years of experience working in clinical research, biotech, and/or pharmaceutical company, with 5 years of specific experience working in clinical compliance and TMF management roles. 5+ years of people management experience. Late-stage clinical trial experience required. Extensive process and storyboard writing experience. Strong experience of ICH GCP guidelines, DIA TMF reference model, and FDA regulations. Experience in inspection readiness and conducting FDA inspections. Experience in building risk-based quality systems. Experience in analyzing data, detecting and presenting trends/patterns related to auditing, monitoring and investigation findings. Oncology experience is highly preferred. Attributes: Proactive mindset. Strong communication skills and the ability to effectively collaborate with key stakeholders. Strong project management and time management skills. Ability to mentor others. Ability to execute on day-to-day responsibilities with minimal supervision. The base pay range for this position is expected to be $230,000- $245,000 annually, however the base pay offered may vary depending on location, market, job related knowledge, skills and capabilities, and experience. The total compensation package for this position also includes equity, bonus, and benefits. #LI-CK1

Posted 30+ days ago

Financial Services Associate Director | Financial Crimes, Risk And Compliance-logo
Financial Services Associate Director | Financial Crimes, Risk And Compliance
GuidehouseArlington, VA
Job Family: Risk & Regulatory Compliance Consulting Travel Required: Up to 50% Clearance Required: None What You Will Do: Guidehouse has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now seeks to expand its team by recruiting an Associate Director who will be fundamental to this growth strategy. This new hire will have Financial Crimes expertise, a business builder mindset and ambition, and the ability to successfully leverage their professional network. Responsibilities will include: Oversee delivery of Digital Onboarding, Perpetual KYC, Transaction Monitoring, Sanctions, Trade Surveillance, Anti-Bribery & Corruption and/or Fraud projects. Lead independent risk assessment, target state design, functional & technical transformation, and regulatory response management to support our client in their modernization and/or regulatory remediation journeys. Develop relationships with current and prospective clients - both externally and internally, establishing credibility with senior Guidehouse colleagues to be recognized as a market leader. Spearhead the development and execution of key go-to-market strategies for Financial Crimes practice including new client development and existing client expansion with personal pursuit. Manage executive level relationships and ensure there are the optimal range of AML solutions to meet client needs as well as to maximize revenue generation and profitability of the firm. Lead the assessment and testing of Financial Crimes compliance programs and implement recommended changes/controls and solutions. Collaborate with other leaders to contribute to the development of intellectual property and thought leadership. Develop collaborative relationships with the other related specialty practices and non-specialty practices across the firm to cross-sell relevant products and services. Lead efforts in identifying and retaining new client relationships through business development and existing or new industry connections. Play a vital role in managing and developing team members in the Financial Services practice, as well as recruiting new team members as part of this strategic initiative to aggressively grow the business. Evaluate internal control structures to help identify weaknesses and associated risks. Develop, perform, and supervise detailed financial, economic, and statistical analysis. What You Will Need: Bachelor's degree. 7-10+ years of Financial Crimes experience at regional and national financial institutions, crypto/digital assets exchanges, Securities / Capital Markets institutions, regulatory/government agencies, and/or consulting firms. Deep understanding of AML regulations, investigations, and enforcement actions. Expertise in OFAC, EDD, KYC, BSA, CDD and/or forensic accounting. Deep understanding of Digital Onboarding and perpetual KYC transformation. Familiarity with common fraud and money laundering schemes Strong understanding of corporate governance and regulatory issues that could affect an organization. Outstanding project management skills in monitoring billing of hours, training, development, and supervision. Outstanding communication and public speaking skills. Ability to travel up to 50%. What Would Be Nice To Have: Master's Degree. Strong preference for candidates local to the New York City or DMV area. Desire to collaborate with other related Guidehouse practices as well as across the entire global firm to cross-sell relevant products and services, in addition to being a growth oriented, vertical thinker. Intellectually adept with negotiation and influencing skills and ability to relate to range of senior level internal and external stakeholders. Elevated level of business acumen and commercial awareness. Extremely driven, energetic, and able to thrive in a results-oriented, entrepreneurial, analytical environment. The annual salary range for this position is $149,000.00-$248,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs. What We Offer: Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace. Benefits include: Medical, Rx, Dental & Vision Insurance Personal and Family Sick Time & Company Paid Holidays Position may be eligible for a discretionary variable incentive bonus Parental Leave and Adoption Assistance 401(k) Retirement Plan Basic Life & Supplemental Life Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts Short-Term & Long-Term Disability Student Loan PayDown Tuition Reimbursement, Personal Development & Learning Opportunities Skills Development & Certifications Employee Referral Program Corporate Sponsored Events & Community Outreach Emergency Back-Up Childcare Program Mobility Stipend About Guidehouse Guidehouse is an Equal Opportunity Employer-Protected Veterans, Individuals with Disabilities or any other basis protected by law, ordinance, or regulation. Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco. If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation. All communication regarding recruitment for a Guidehouse position will be sent from Guidehouse email domains including @guidehouse.com or guidehouse@myworkday.com. Correspondence received by an applicant from any other domain should be considered unauthorized and will not be honored by Guidehouse. Note that Guidehouse will never charge a fee or require a money transfer at any stage of the recruitment process and does not collect fees from educational institutions for participation in a recruitment event. Never provide your banking information to a third party purporting to need that information to proceed in the hiring process. If any person or organization demands money related to a job opportunity with Guidehouse, please report the matter to Guidehouse's Ethics Hotline. If you want to check the validity of correspondence you have received, please contact recruiting@guidehouse.com. Guidehouse is not responsible for losses incurred (monetary or otherwise) from an applicant's dealings with unauthorized third parties. Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.

Posted 5 days ago

Technical Program Manager, Technical Compliance-logo
Technical Program Manager, Technical Compliance
DeepMindLos Angeles, CA
Snapshot The role of the Program Management Team is to shape and accelerate the delivery of GDM's highest priority programs to make fast-paced progress towards our mission. We continually pursue scalable and sustainable ways to optimise our work, striving to ensure we cultivate an environment where people can be both highly collaborative and deeply creative, making progress at pace. We build positive relationships with teams, bringing clarity to ambiguity and providing stability during change. We are active, curious and thoughtful about deepening our understanding of people and driving successful outcomes on programs.. We continually deepen our domain knowledge to ensure all our work is advancing towards our mission. About Us Artificial Intelligence could be one of humanity's most useful inventions. At Google DeepMind, we're a team of scientists, engineers, machine learning experts and more, working together to advance the state of the art in artificial intelligence. We use our technologies for widespread public benefit and scientific discovery, and collaborate with others on critical challenges, ensuring safety and ethics are the highest priority. The role This role is part of the GDM CORE Programs team, supporting the newly formed GDM Technical Compliance team, situated within the GDM Privacy & Security organization. The team's mission is to enable GDM to innovate responsibly by establishing and overseeing an effective, scalable, and robust technical compliance framework. The team provides critical oversight, validation, and guidance on compliance matters across GDM and its applications to ensure alignment with internal standards and the rapidly evolving global regulatory landscape. In this role you will lead and coordinate high-priority, GDM-wide, cross-functional technical compliance programs, such as regulatory readiness efforts, risk management and assurance, responding to regulatory requests for information, and establishing effective data governance and policy adherence frameworks. You will be key in ensuring that GDM addresses, with the appropriate level of precision and nuance, the breadth and depth of the regulatory scrutiny it faces today and in the future. This role requires an experienced TPgM who can build structure amidst complex and rapidly evolving requirements and needs, craft innovative solutions to simplify and scale technical compliance, and develop strong partnerships with an array of senior stakeholders across GDM Legal, Engineering, RCI, Regulatory Affairs, and other critical functions to anticipate and manage risk while enabling the development of world-class AI. Strong communication skills - translating needs across functions, influencing in cross-functional spades, and gaining trust as an advocate for compliance matters across a range of stakeholders - are essential to the successful candidate. Key Responsibilities: Program Delivery & Stakeholder Management Manage large-scale, high-priority, cross-functional technical compliance programs, including readiness initiatives for critical regulations. Oversee the intake, scoping, and coordination of responses to regulatory requests for information in partnership with senior xGoogle stakeholders. Partner effectively with senior stakeholders across GDM Legal, Engineering, RCI, and Regulatory Affairs. Develop and leverage a deep technical understanding of GDM's models, products, and systems to drive effective progress on technical compliance initiatives. Translate complex regulatory and policy requirements into actionable guidance for GDM teams. Risk Management & Reporting Own the tracking, reporting, and validation, in partnership with the GDM Compliance Lead, of technical remediation for findings relevant to GDM. Drive the development and operationalization of a GDM-specific risk management program, ensuring timely and accurate reporting of risks to leadership. Create and maintain a comprehensive portfolio view of all technical compliance programs, ensuring we have a comprehensive set of controls, dynamically tracking their status, resource allocations, and surfacing risks whenever necessary to ensure timely progress and execution. Operational Excellence & Strategy Collaborate with cross-functional senior leadership to translate compliance requirements and obligations into actionable roadmaps, with clear objectives, proactively managing risks and anticipating issues. Partner effectively with the GDM Compliance Lead and the engineering team to design scalable infrastructure and unified monitoring tools needed to continually increase the efficiency of our compliance efforts. Develop an effective strategy to strengthen knowledge management and institutional memory across compliance and regulation throughout GDM, including leveraging GenAI tools where beneficial. About you In order to set you up for success as a Technical Program Manager at Google DeepMind, we look for the following skills and experience: Extensive experience in managing sizable technical compliance programs in a fast-paced and evolving environment, with proven skill to navigate through ambiguity and adjust and adapt program strategies as conditions change. Experience of operational improvement programs, including process, policy, systems, and operating model change. Proven ability to manage complex, cross-organizational programs and drive meaningful organizational change, particularly in response to regulation and standards. A background that intersects with both legal/policy and technical domain, allowing you to translate between legal requirements and engineering realities. Significant experience partnering with and influencing senior stakeholders across legal, policy, compliance, and engineering organizations to navigate conflicting priorities, and drive aligned interpretations and outcomes. Proven experience managing responses to regulatory requests for information, including the coordination, scoping, and right-sizing of such requests. An understanding of the technologies that underpin large-scale AI model development and product deployment. Strong communicator with an ability to quickly develop meaningful relationships with key partners and use them to influence action. The US base salary range for this full-time position is between $156,000 - $229,000 + bonus + equity + benefits. Your recruiter can share more about the specific salary range for your targeted location during the hiring process. Note: In the event your application is successful and an offer of employment is made to you, any offer of employment will be conditional on the results of a background check, performed by a third party acting on our behalf. For more information on how we handle your data, please see our Applicant and Candidate Privacy Policy At Google DeepMind, we value diversity of experience, knowledge, backgrounds and perspectives and harness these qualities to create extraordinary impact. We are committed to equal employment opportunity regardless of sex, race, religion or belief, ethnic or national origin, disability, age, citizenship, marital, domestic or civil partnership status, sexual orientation, gender identity, pregnancy, or related condition (including breastfeeding) or any other basis as protected by applicable law. If you have a disability or additional need that requires accommodation, please do not hesitate to let us know.

Posted 1 week ago

Regulatory Compliance Analyst-logo
Regulatory Compliance Analyst
U-HaulPhoenix, AZ
Return to Job Search Regulatory Compliance Analyst he Regulatory Compliance Analyst supports the Compliance, Actuarial, and Finance teams in the administration of Med Supp rate filings, regulatory tracking, and policyholder communications. This position assists in ensuring compliance with Medicare Supplement regulations, coordinating with internal teams on state filings, and maintaining documentation for regulatory approvals. Key Responsibilities: Regulatory Filings & Compliance Support Assist in the preparation and submission of Med Supp rate filings with state regulators. Monitor and track filing deadlines, approvals, and required documentation. Research and summarize regulatory requirements related to Med Supp pricing and policyholder notifications. Support Compliance leadership in responding to regulatory requests or objections. Cross-Department Coordination Work closely with Actuarial and Finance to collect data needed for rate filings. Assist in reviewing and drafting policyholder notices related to rate changes. Support Operations and Customer Service in implementing and explaining rate updates. Track and document changes in compliance policies affecting Med Supp products. Regulatory Monitoring & Reporting Monitor changes in Med Supp regulations at both state and federal levels. Prepare summaries and compliance updates for internal stakeholders. Assist in compliance audits to ensure adherence to regulatory filings and approved rates. Maintain organized records of all filings, approvals, and correspondence with regulators. Qualifications: Education: Bachelor's degree in Business, Finance, Insurance, Risk Management, related field or related educational experience. Experience: 1-2 years of experience in insurance compliance, regulatory affairs, actuarial support, or operations (Med Supp experience preferred but not required). Skills: Basic understanding of insurance compliance and state filing processes. Strong organizational skills and attention to detail. Ability to analyze regulatory documents and summarize key points. Good communication and teamwork skills. Proficiency in Microsoft Excel and compliance tracking systems. Growth Path: This role provides an opportunity to grow into a Regulatory Compliance Manager or Senior Compliance Analyst with additional experience and regulatory knowledge. Task Breakdown (Daily, Weekly, Monthly) Daily Tasks: Track and update filing deadlines and status. Assist in preparing filing documentation and policyholder notices. Research regulatory changes and summarize findings. Communicate with internal teams about compliance requirements. Weekly Tasks: Support Med Supp Rate Committee meetings by preparing compliance updates. Work with Actuarial and Finance teams to ensure accurate filing submissions. Monitor regulatory agency websites for any changes affecting Med Supp rates. Monthly Tasks: Help draft compliance reports for internal stakeholders. Assist in responding to regulatory inquiries or objections. Maintain an organized filing system for regulatory approvals. This role is ideal for an entry-level to early-career professional looking to gain experience in Med Supp compliance and eventually grow into a leadership position. U-Haul Offers: Full Medical coverage Prescription plans Dental & Vision Plans New indoor fitness gym Gym Reimbursement Program Registered Dietitian Program Weight Watchers Onsite medical clinic for you and your family Career stability Opportunities for advancement Valuable on-the-job training Tuition reimbursement program Free online courses for personal and professional development at U-Haul University Business and travel insurance You Matter Employee Assistance Program Paid holidays, vacation, and sick days Employee Stock Ownership Plan (ESOP) 401(k) Savings Plan Life insurance Critical Illness/Group Accident 24-hour physician available for kids Subsidized gym/ membership MetLaw Legal program MetLife auto and home insurance Mindset App Program Discounts on cell phone plans, hotels, and more LifeLock identity Theft Savvy consumer wellness programs- from health care tips to financial wellness Dave Ramsey's SmartDollar Program U-Haul federal credit union Wellness Program U-Haul is an equal opportunity employer. All applications for employment will be considered without regard to race, color, religion, sex, national origin, physical or mental disability, veteran status, or any other basis protected by applicable federal, provincial, state, or local law. Individual accommodations are available on requests for applicants taking part in all aspects of the selection process. Information obtained during this process will only be shared on a need to know basis.

Posted 30+ days ago

Cybersecurity Risk & Compliance Manager-logo
Cybersecurity Risk & Compliance Manager
MarvellSanta Clara, CA
About Marvell Marvell's semiconductor solutions are the essential building blocks of the data infrastructure that connects our world. Across enterprise, cloud and AI, automotive, and carrier architectures, our innovative technology is enabling new possibilities. At Marvell, you can affect the arc of individual lives, lift the trajectory of entire industries, and fuel the transformative potential of tomorrow. For those looking to make their mark on purposeful and enduring innovation, above and beyond fleeting trends, Marvell is a place to thrive, learn, and lead. Your Team, Your Impact As a Cybersecurity Risk and Compliance Manager at Marvell Technology, you will lead our cybersecurity team in ensuring the organization's adherence to industry regulations, standards, and internal policies. Your role is pivotal in safeguarding our data infrastructure, protecting both company and customer information from potential threats. What You Can Expect Leadership: Supervise and mentor a team of cybersecurity professionals, fostering a culture of security awareness and continuous improvement. Policy Development: Create, implement, and maintain comprehensive security policies, standards, and procedures in line with industry regulations and best practices. Risk Assessment: Conduct regular risk assessments and vulnerability analyses to identify potential threats and implement mitigation strategies. Compliance Management: Ensure compliance with regulations and relevant frameworks such as NIST 800-53, NIST 800-171, ISO 27001, and others pertinent to our industry. Audit Coordination: Prepare for and coordinate internal and external audits, addressing findings and implementing corrective actions as necessary. Incident Response: Lead the development and execution of incident response plans, ensuring swift and effective action during security events. Training and Awareness: Develop and deliver cybersecurity training programs to enhance organizational awareness and adherence to security protocols. What We're Looking For Educational Background: Bachelor's degree in Information Technology, Cybersecurity, or a related field. Experience: A minimum of 13 years in progressive cybersecurity roles, with significant experience in risk management and compliance. Certifications: Relevant certifications such as CISSP, CISM, CRISC, or ISO 27001 Lead Implementer/Auditor are highly desirable. Technical Proficiency: Strong understanding of cybersecurity frameworks, risk assessment methodologies, and compliance requirements. Leadership Skills: Proven ability to lead and develop high-performing teams, manage complex projects, and drive organizational change. Communication: Excellent verbal and written communication skills, with the ability to effectively convey complex security concepts to diverse audiences. Problem-Solving: Strong analytical and problem-solving abilities, with a proactive approach to identifying and mitigating risks. Expected Base Pay Range (USD) 124,870 - 187,000, $ per annum The successful candidate's starting base pay will be determined based on job-related skills, experience, qualifications, work location and market conditions. The expected base pay range for this role may be modified based on market conditions. Additional Compensation and Benefit Elements At Marvell, we offer a total compensation package with a base, bonus and equity.Health and financial wellbeing are part of the package. That means flexible time off, 401k, plus a year-end shutdown, floating holidays, paid time off to volunteer. Have a question about our benefits packages - health or financial? Ask your recruiter during the interview process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Any applicant who requires a reasonable accommodation during the selection process should contact Marvell HR Helpdesk at TAOps@marvell.com. #LI-JS22

Posted 30+ days ago

Clinical Compliance Project Manager-logo
Clinical Compliance Project Manager
Artivion, Inc.Kennesaw, GA
Company Overview: Headquartered in suburban Atlanta, Georgia, Artivion, Inc. is a medical device company focused on developing simple, elegant solutions that address cardiac and vascular surgeons' most difficult challenges in treating patients with aortic diseases. Artivion has over 1,400 employees worldwide with sales representation in over 100 countries. The Company has manufacturing facilities located in Atlanta, Georgia, Austin, Texas and Hechingen, Germany. Additionally, it has sales and distribution offices in various countries throughout Europe, Asia, and South America. For additional information about Artivion, visit our website, www.artivion.com. Position Objective: To assist in the implementation of compliance and quality within the Clinical Research Department by supporting the management of clinical investigations, audits, vendor qualifications and helping establish department metrics. This role may also assist with ensuring company compliance to GCP regulations, internal procedures, and policies in cooperation with peers. Responsibilities: Collaborate with stakeholders in conducting ongoing risk assessment of clinical trial/activity to identify compliance metrics for tracking and monitoring high-risk vendors. Review and evaluate updates to standards including but not limited to ICH, GCP, and ISO to conduct gap assessments to internal SOPs and procedures. Act as point of contact for internal clinical mock and external audits, as well as notified body communications. Participate as a member of governance teams for assigned product specific studies. Assist in setting annual audit schedules for active studies and vendors, in addition to reviewing budgets. Manage and/or conduct clinical research external site, vendor audits, vendor qualification, and commercial partner audits in conjunction with QA personnel according to Federal, State, and local regulations, Develop audit management plans and audit strategy with clients for ongoing clinical trials. Management includes reviewing audit reports and supporting documents from Clinical Research Organizations (CROs) and independent auditors, as applicable. Assist in the development of & implementation of new clinical trial quality/compliance/risk Standard Operating Procedures (SOPs) and systems. Drafting and improving work instructions, forms, and templates. Perform document record review including protocols, general study files, clinical study reports, monitoring plans, and site-specific study files across product lines. Analyze trends, thresholds, and risk impact of quality events. Review and approve audit response, evaluate adequacy of corrective and/or preventative actions, and ensure corrective actions are implemented in a timely manner. Develop strong relationships with personnel across product lines to provide compliance guidance as needed. Identify and escalate significant compliance issues and company risks to leadership. Maintain a high level of expertise in applicable regulations and government, industry, and company GCP standards. Present GCP, compliance, and FDA BIMO inspection readiness proficiency training on an as needed basis. Support global inspection readiness and make recommendations for its improvement. Support CAPA and NC owners with appropriate resolutions and quality checks. Lead in developing study specific risk mitigation plans and corresponding metrics. Assist in the development and management of TMF system Ensure compliance with all Federal, State, local, and company regulations, policies, and procedures. Ensure a culture of clinical quality compliance Use risk-based strategy to prioritize and support clinical trial activities and identify and escalate compliance issues. Assist in the development of metrics identifying performance improvements initiatives with clinical trial sites and vendors. Qualifications: BS or MS degree in biological science, epidemiology, engineering, statistics, or other science related field. 3-4 years of experience within the medical/biomedical industry OR 5-7 years of relevant medical device and/or quality compliance experience within the medical/biomedical industry. Ability to work independently and think outside the box to support a variety of company products. Previous experience managing quality and GCP compliance issues preferred. Previous experience with vendor audits and vendor qualifications preferred. Previous experience with site monitoring and site compliance preferred. Previous experience with electronic TMF systems preferred. Expert knowledge of international GCP regulations is a plus (FDA, MHRA, PMDA, and ICH). Excellent written and oral communication and presentation skills. Strong personal leadership skills, as well as strong analytical and critical thinking skills. Excellent interpersonal skills and ability to work in a team-based, collaborative environment. Demonstrate strength in analytical and strategic assessment of regulatory compliance risks and the ability to articulate potential business impact. Ability to independently plan, organize, coordinate, manage and execute assigned tasks and multiple projects. Willingness to travel. Good understanding of applicable regulations.

Posted 3 days ago

Director, Compliance-logo
Director, Compliance
First Western Trust BankDenver, CO
Director, Compliance Location: Denver, CO (In-Office) Job Type: Full-Time Exempt Salary: $121,000 - $194,000/YR Actual offer will be based on experience, location, education, and/or skills Applications should be submitted for consideration no later 07/02/2025 Who We're Looking For You're a strategic compliance leader with deep experience navigating complex regulatory environments. You bring a strong understanding of consumer, commercial, and fiduciary regulations, and you know how to translate legal requirements into practical, bank-wide policies. You thrive in collaborative environments, excel at preparing for regulatory exams, and are comfortable advising senior leadership and boards. If you're passionate about building scalable compliance frameworks and leading a high-performing team, this role is for you. About the Role As Director of Compliance at First Western Trust Bank, you'll oversee the Compliance Management Program, ensuring adherence to state and federal laws across banking operations-including Deposit, Lending, Mortgage, and Trust. You'll manage regulatory audits and examinations, implement proactive policies, advise executive leadership, and help foster a culture of integrity and accountability. This is a highly visible, strategic role reporting directly to the CRO. What You'll Do Lead the development, implementation, and enforcement of compliance policies across all bank departments. Manage the day-to-day administration of compliance activities and oversee the compliance management system. Direct regulatory audit and exam preparation, including interfacing with FDIC and State examiners. Serve as a trusted advisor to senior management on regulatory trends and policy changes. Review and approve compliance-related materials, including Board submissions and marketing content. Provide compliance consulting to internal teams and help build departmental risk mitigation plans. Oversee new hire, annual, and Board of Directors compliance training. Manage key regulatory programs including HMDA, CRA, Fair Lending, FCRA, and FACTA. Lead vendor compliance reviews and ensure all third-party partners adhere to regulatory standards. What You Bring Bachelor's degree in Finance, Law, or a related field (Master's preferred). 7-10 years of direct banking compliance experience with expertise across regulatory frameworks (consumer, mortgage, commercial). 5+ years in a leadership or management role. Strong proficiency with Microsoft Office and compliance-related tools. CRCM certification preferred. Exceptional analytical, problem-solving, and communication skills. Proven experience presenting to executive teams and boards. A collaborative mindset and comfort working across departments and external regulators. What We Offer Competitive base salary: $121,000 - $194,000/YR, plus bonus eligibility. 401(k) with employer match. Paid parking or transportation benefits. Comprehensive health benefits, including: Medical, dental, and vision coverage HSA and FSA options Generous PTO and bank holidays. Professional development and certification support. A culture committed to integrity, collaboration, and client-first solutions. Who We Are At First Western Trust, we're more than just a financial institution-we're a team of forward-thinkers committed to excellence, innovation, and impact. Our culture thrives on teamwork and mutual respect, grounded in the belief that diverse perspectives fuel creativity and help us tackle challenges in fresh, effective ways. We celebrate each other's successes, welcome new ideas, and take personal ownership in everything we do. A genuine desire to positively impact our clients, communities, and one another drives our work. We meet challenges with a growth mindset, act with urgency and accountability, and constantly strive to raise the bar for ourselves and our clients. Leadership at First Western means setting an example and fostering a culture of trust, transparency, and respect. Whether you're just beginning your journey or bringing years of experience, you'll find a welcoming community where your contributions are valued and your potential is boundless. We expect our people to: Demand and reward excellence. Take action and responsibility. Collaborate, communicate openly, and give/receive feedback with trust. Go above and beyond to do what's right-always. If that sounds like you, you'll fit right in. Learn more at myfw.com or email Talent.Management@myfw.com. Equal Opportunity Employer First Western Trust is proud to be an Equal Opportunity Employer. We are committed to creating a diverse, inclusive, and respectful workplace where every team member is valued and given the opportunity to thrive. We welcome applicants of all backgrounds and experiences and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected status. For accommodation requests, please contact Talent.Management@myfw.com.

Posted 6 days ago

Senior Quality Compliance Specialist - Training-logo
Senior Quality Compliance Specialist - Training
Integra Lifesciences Holdings Corp.Boston, MA
Changing lives. Building Careers. Joining us is a chance to do important work that creates change and shapes the future of healthcare. Thinking differently is what we do best. To us, change equals opportunity. Every day, our colleagues are challenging what's possible and making headway to innovate new treatment pathways to advance patient outcomes and set new standards of care. The Senior Quality Compliance Specialist- Training will create and conduct training programs to enhance the skills and competencies of employees in a medical device-regulated environment. The Senior Training Specialist will assess training needs, develop curriculum, and deliver training sessions to improve workplace performance and align with Integra's core values. The Senior Training Specialist will collaborate with various stakeholders to identify training gaps and develop targeted solutions to address them. They will also be responsible for evaluating the effectiveness of training programs and make necessary adjustments to ensure continuous improvement. Additionally, the Senior Training Specialist will create and maintain standard on-boarding protocols for new hires to streamline the process. ESSENTIAL DUTIES AND RESPONSIBILITIES To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Primary responsibilities are to: Building annual, biannual, quarterly, etc. training programs and preparing training plans, with subject matter experts, that adhere to GDP and GMP standards. Identifying training needs by periodically evaluating ongoing programs to ensure that they reflect any changes or have opportunities to be improved. Translating requirements into training plans and maintaining training matrices with each of the groups to ensure both compliance and business needs can be met, including appropriate levels of cross-training. Creating and maintaining standard onboarding protocols for new hires to streamline the process and ensure consistency across Operations and the greater site. This would include but is not limited to GMP 101 training, site tours and overviews, and ensuring new hires are set up for success. Acclimating new hires to the business and conducting orientation sessions in partnership with Quality and Environment Health & Safety. Assessing training effectiveness to ensure incorporation of taught skills and techniques into employees work behavior. Working with Document Control and platform leads to review document curriculums and ensure they are mapped to the appropriate associate. Working with Document Control Team, Quality, and Manufacturing Engineering to ensure awareness of procedural changes and when they are released. Responsible for effectively interacting with all levels of associates and all functional departments within the organization. Develop and provide site training metrics to Monthly Metrics Review Boards, Quarterly Management Reviews and Site Leadership. This role may be audit facing for training. Effectively works in a team setting, supports team goals and objectives. Delivering training courses as necessary and coaching others in delivering training courses. Use tools to create professional audio-visual course trainings. Other activities as assigned. DESIRED MINIMUM QUALIFICATIONS The requirements listed below are representative of the knowledge, skill, and/or ability required for this position. Bachelor's degree in Engineering, Life Science, or a related field with 5+ years' experience in QA/Compliance within the medical device or similar industry or equivalent education and years of experience On-site position in Boston, MA with transition to a brand-new state of the art facility in Braintree, MA in 2025. Adequate knowledge of learning management software. Experience in GMP and quality systems regulations (FDA QSRs, ISO 13485:2016, CFR 820). Proven experience in designing multiple training events in a manufacturing setting. Knowledge of Microsoft Office software applications including Microsoft Excel. Ability to develop charts and trend data. Knowledge of instructional design theory and learning principles. Effective communication skills, both written and verbal. Superior organizational skills and demonstrated ability to perform multiple tasks. Ability to work independently with minimal supervision. Ability to present complex information to a variety of audiences. Experience with FDA and/or Notified Body audits/inspections preferred. Ability to communicate effectively (both written and oral) using English. Demonstrated ability to work cross-functionally in a team environment . Proficient with the MS Office Suite. Must be able to observe company policies and safety procedures at all times. TOOLS AND EQUIPMENT USED Ability to utilize a computer, telephone, smart phone as well as other general office equipment. Strong computer skills are required including software applications such as Agile, Oracle and Learning Management Systems. PHYSICAL REQUIREMENTS The physical requirements listed in this section include, but are not limited to, the motor/physical abilities and skills required of position in order to successfully undertake the essential duties and responsibilities of this position. In accordance with the Americans with Disabilities Act (ADA), reasonable accommodations may be made to empower individuals with disabilities to undertake the essential duties and responsibilities of the position. While undertaking the essential duties and responsibilities of the position, the employee must repeatedly sit, listen, and speak. The employee is required to go to all areas of the company. The employee may be required to periodically lift and/or move up to 50 pounds. Integra LifeSciences is an equal opportunity employer, and is committed to providing equal employment opportunities to all qualified applicants and employees regardless of race, marital status, color, religion, sex, age, national origin, sexual orientation, physical or mental disability, or protected veteran status. This site is governed solely by applicable U.S. laws and governmental regulations. If you'd like more information on your rights under the law, please see the following notices: EEO Is the Law | EOE including Disability/Protected Veterans Integra LifeSciences is committed to provide qualified applicants and employees who are disabled veterans or individuals with disabilities with needed reasonable accommodations in accordance with the ADA. If you have difficulty using our online system due to a disability and need an accommodation, please email us at careers@integralife.com or call us at 855-936-2666. Integra- Employer Branding from Integra LifeSciences on Vimeo

Posted 30+ days ago

Safety & Compliance Director-logo
Safety & Compliance Director
Airgas IncDundalk, MD
R10063587 Safety & Compliance Director (Open) Location: Horsham, PA (Regional Office) - ManagementCherry Hill, NJ - Filling industrial, Dundalk, MD - Filling industrial, Harrisburg, PA (Plant) - Filling industrial, Hyattsville, MD - Retail shop, Islandia, NY (Plant) - Filling industrial, South Plainfield, NJ (Plant) - Filling industrial How will you CONTRIBUTE and GROW? The Director of Safety is responsible for developing, implementing, and/or managing safety programs, claims management, and compliance with government regulatory agencies and corporate operating procedures. Directs and coordinates the execution of safety and corporate loss control initiatives at multi-site locations. Champions and promotes a strong safety and compliance culture implementing programs to ensure associate safety and company regulatory compliance. Designs, directs, and conducts training and audits on Airgas Standard Operating Procedures (SOP) including the Safety Manual, Medical Gas Manual, Transportation Manual, Food Gas Manual, Board of Pharmacy Manual, Industrial Gas Manual, Crisis Management Manual, Bulletins Manual, PSM/RMP Manuals and other Airgas Standard Operating Procedures (SOPs) as they are disseminated. Represents Airgas on regional regulatory issues and audits/inspections by government entities. Provides leadership and guidance on Airgas's Incident Review Committee. Provides analysis of significant risk data to management by evaluating the effectiveness of initiatives through safety assessments and compiling and interpreting data to identify gaps. Develops and implements action plans as necessary to mitigate risks. Work with the Training department to develop innovative, impactful and meaningful safety training programs Conducts accident investigations and partners with insurance carriers to manage claims. Partners with Senior Management on all potential acquisitions from the perspective of Safety & Compliance issues prior to the acquisition, all the way through integration. Work closely with Human Resources on all EHS and Risk Management issues. Initiates activities designed to empower location managers and employees to lead safety efforts within the organization. Participates in a leadership capacity on the AERO (the Airgas Emergency Response Operations) Team. Leads offsite customer safety training. Special projects and other duties as assigned. ____ Are you a MATCH? Bachelor's Degree. In lieu of degree requirement, may accept an equivalent level of education and experience. A minimum of 8 years of related safety experience within a production and distribution environment. Must have excellent organizational, written and oral communication, listening and presentation skills including the ability to effectively present and discuss technical information and respond to questions from employees, government agency representatives, and customers. Computer literate with Intermediate knowledge of MS Office applications including Word, Excel, PowerPoint and Outlook. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form. Ability to define and solve problems dealing with a variety of both abstract and concrete variables. Ability to calculate figures and amounts such as proportions, percentages, area, circumference and volume. Ability to apply basic algebra and geometry. Reliable transportation, current driver's license, minimum liability insurance as required by state of vehicle registration. Pay Rate: 130-140k + Bonus ____ We care about and support our Airgas Families. This is evident not only through our competitive compensation but also through a comprehensive benefits package that includes medical, dental, and vision plans, vacation, sick time, floating holidays, and paid holidays for full-time employees. We provide a progressive parental leave package for our eligible Airgas parents, offering generous paid time off for the birth or placement of children, including 14 weeks of paid child birth benefit for birth mothers on leave, as well as paid parental leave benefits for other associates. Additionally, we offer our employees a 401k plan with company matching funds, tuition reimbursement, discounted college tuition for employees' dependents, and an Airgas Scholarship Program for dependent children. _ ____ Your differences enhance our performance At Airgas, we are committed to building a diverse and inclusive workplace that embraces the diversity of our employees, our customers, patients, community stakeholders and cultures across the world. We welcome and consider applications from all qualified applicants, regardless of their race, gender, sexual orientation, religion, disability or any other protected characteristic. We strongly believe a diverse organization opens up opportunities for people to express their talent, both individually and collectively and it helps foster our ability to innovate by living our fundamentals, acting for our success and creating an engaging environment in a changing world. _ ____ Equal Employment Opportunity Information We are an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic. Please click here to view the EEO Know Your Rights poster and here to view the Pay Transparency Nondiscrimination poster. Airgas, an Air Liquide Company invites any applicant and/or employee to review the Company's written Affirmative Action Plan or Policy Statement. This plan or policy statement is available for inspection upon request. Airgas, an Air Liquide Company and its group of companies does not discriminate against qualified applicants with disabilities and is committed to providing reasonable accommodations to the known disabilities of such individuals so as to ensure equal access to benefits and privileges of employment. If you are an individual with a disability and would like to request a reasonable accommodation as part of the employment selection process, please contact us by email at us-accommodationrequest@airgas.com. _ ____ California Privacy Notice

Posted 30+ days ago

Quality Specialist, DI & Gxp Systems Compliance-logo
Quality Specialist, DI & Gxp Systems Compliance
Catalent Pharma Solutions, Inc.Saint Petersburg, FL
Quality Specialist, Data Integrity & GxP Systems Compliance Position Summary Catalent, Inc. is a leading global contract development and manufacturing organization (CDMO) whose mission is to develop, manufacture, and supply products that help people live better and healthier lives. Catalent is dedicated to delivering unparalleled service to pharma, biotech, and consumer health customers, supporting product development, launch, and full life-cycle supply. With time-tested experience in development sciences, delivery technologies, and multi-modality manufacturing, Catalent supports the acceleration of development programs and the launch of more than a hundred new products every year. Powered by thousands of scientists and technicians and the latest technology platforms at more than 40 global sites, Catalent supplies billions of doses of life-enhancing and life-saving treatments for patients annually. St. Petersburg is our primary softgel development and manufacturing facility in North America with a capacity of 18 billion capsules per year. The featured RP Scherer softgel technology is a proven oral drug delivery solution to enhance bioavailability of poorly soluble Rx and OTC drug candidates. Non-gelatin based OptiShell and Vegicaps capsules expand the range of molecules into softgel, ideal for challenging fill formulation. Within the Catalent network, we offer a broad range of integrated formulation and analytical services to solve your most difficult development and manufacturing challenges. The Quality Specialist, Data Integrity & GxP Systems Compliance will support the CSV and Data Governance/Integrity programs as prescribed in corporate policies and site procedures across product lifecycles for assurance with regulatory and compliance requirements with GMP, Electronic Records and Electronic Signatures (ERES), and Data Integrity. The Quality Specialist, DI & GxP Systems Compliance will provide oversight for the governance; management and coordination of activities related to the Data Integrity Governance Program include directing, developing, and maintaining Data Integrity compliance across the site and internal functions in alignment with global GMP and ERES (FDA 21 CFR Part 11 and EMA Annex 11). Additionally, this position will ensure up to date application of modern CSV and compliance requirements applicable to computerized systems supporting Catalent GMP operations. Your talents, ideas, and passion are essential to our mission: to help people live better, healthier lives. Catalent is committed to a Patient First culture through excellence in quality and compliance, and to the safety of every patient, consumer and Catalent employee. The Role Enforce Computerized System Validation (CSV) guidelines, policies, and procedures for control systems, automation, analytical equipment, and IT applications. Ensuring that GxP systems comply with all applicable GxP, legal, and fiduciary policies, practices, and requirements. Collaborate with manufacturing, engineering, validation, information systems, QA, QC, and training to provide training and coaching on CSV projects and data integrity initiatives. Develop and execute plans, procedures, and requirements to address data integrity gaps for GxP systems and assuring compliance for the site. Identify data integrity risks and propose improvement plans. This includes identifying data and systems issues, defining requirements, and recommending enhancements for system features and related processes. Assist in the development of site related data integrity training materials to provide guidance, training, and support to site personnel. Participate as DI SME in deviation management investigations, CAPA, and effectiveness check processes for continuous improvement and inspection readiness. Assess changes to GxP systems and data integrity regulatory requirements and communicate requirements to site leadership. Review and approve change controls related to local GxP systems. Review and approve periodic reviews of local GxP systems. Collaborate on the maintenance of local policies and procedures. Perform other duties as assigned. The Candidate Bachelor's degree is required, preferred in Computer Science, other STEM related field. 7+ years total relevant experience with 5+ years of Quality or IT role supporting GxP systems required. Pharmaceutical and/or life sciences experience including Computer System Validation, 21 CFR Part 11 and general GxP experience preferred. Demonstrated experience and excellent knowledge of applicable CSV and IT regulations including the US FDA CFR's, EU, ICH, as well as the GAMP guidance. Working knowledge of Project Management and Software Development Life Cycles. Familiarity with computer infrastructure, servers, workstations, Operating Systems and database management systems. Familiarity with computerized pharmaceutical GMP systems such as LIMS, CDS, BMS, JDE, SAP, Analytical Instrumentation, Manufacturing and Packaging systems, Quality Management Systems, and their associated vendors. Why You Should Join Catalent Tuition Reimbursement - Let us help you finish your degree or earn a new one! WellHub program to promote overall physical wellness. 152 hours of PTO + 8 paid holidays. Medical, dental and vision benefits effective day one of employment. Defined career path and annual performance review and feedback process. Diverse, inclusive culture. Several Employee Resource Groups focusing on D&I. Community engagement and green initiatives. Dynamic, fast-paced work environment. Positive working environment focusing on continually improving processes to remain innovative. Potential for career growth on an expanding team within an organization dedicated to preserving and bettering lives. Perkspot - offers exclusive or private discounts from approximately 900+ merchants in a wide array of categories. Catalent offers rewarding opportunities to further your career! Join the global drug development and delivery leader and help us bring over 7,000 life-saving and life-enhancing products to patients around the world. Catalent is an exciting and growing international company where employees work directly with pharma, biopharma and consumer health companies of all sizes to advance new medicines from early development to clinical trials and to the market. Catalent produces more than 70 billion doses per year, and each one will be used by someone who is counting on us. Join us in making a difference. personal initiative. dynamic pace. meaningful work. Visit Catalent Careers to explore career opportunities. Catalent is an Equal Opportunity Employer, including disability and veterans. If you require reasonable accommodation for any part of the application or hiring process due to a disability, you may submit your request by sending an email, and confirming your request for an accommodation and include the job number, title and location to DisabilityAccommodations@catalent.com. This option is reserved for individuals who require accommodation due to a disability. Information received will be processed by a U.S. Catalent employee and then routed to a local recruiter who will provide assistance to ensure appropriate consideration in the application or hiring process. Notice to Agency and Search Firm Representatives: Catalent Pharma Solutions (Catalent) is not accepting unsolicited resumes from agencies and/or search firms for this job posting. Resumes submitted to any Catalent employee by a third party agency and/or search firm without a valid written & signed search agreement, will become the sole property of Catalent. No fee will be paid if a candidate is hired for this position as a result of an unsolicited agency or search firm referral. Thank you. Important Security Notice to U.S. Job Seekers: Catalent NEVER asks candidates to provide any type of payment, bank details, photocopies of identification, social security number or other highly sensitive personal information during the offer process, and we NEVER do so via email or social media. If you receive any such request, DO NOT respond- it is a fraudulent request. Please forward such requests to spam@catalent.com for us to investigate with local authorities. California Job Seekers can find our California Job Applicant Notice HERE.

Posted 3 weeks ago

Program Manager- Product Regulatory Compliance V (E5)-logo
Program Manager- Product Regulatory Compliance V (E5)
Applied MaterialsSanta Clara, CA
Who We Are Applied Materials is the global leader in materials engineering solutions used to produce virtually every new chip and advanced display in the world. We design, build and service cutting-edge equipment that helps our customers manufacture display and semiconductor chips - the brains of devices we use every day. As the foundation of the global electronics industry, Applied enables the exciting technologies that literally connect our world - like AI and IoT. If you want to work beyond the cutting-edge, continuously pushing the boundaries of science and engineering to make possible the next generations of technology, join us to Make Possible a Better Future. What We Offer Salary: $144,000.00 - $198,000.00 Location: Austin,TX, Santa Clara,CA At Applied, we prioritize the well-being of you and your family and encourage you to bring your best self to work. Your happiness, health, and resiliency are at the core of our benefits and wellness programs. Our robust total rewards package makes it easier to take care of your whole self and your whole family. We're committed to providing programs and support that encourage personal and professional growth and care for you at work, at home, or wherever you may go. Learn more about our benefits. You'll also benefit from a supportive work culture that encourages you to learn, develop and grow your career as you take on challenges and drive innovative solutions for our customers. We empower our team to push the boundaries of what is possible-while learning every day in a supportive leading global company. Visit our Careers website to learn more about careers at Applied. Role Summary Applied Materials has an exciting opportunity for an experienced program management professional to join a growing team. We are a leading semiconductor manufacturing equipment supplier, renowned for our cutting-edge technology and commitment to excellence. As we continue to expand our operations, we are seeking a highly skilled and experienced PMO Professional to support our Product Regulatory Compliance program. This critical role ensures our products meet all applicable regulatory requirements and industry standards, enabling us to maintain our reputation as a trusted provider of high-quality equipment. This position requires excellent organizational skills, PowerPoint skills, communication skills, attention to detail, and keen judgment for prioritization and execution in a fast-paced environment. This role will be based out of Applied Materials' office in Austin, TX. Key Responsibilities Support and oversee the overall Product Regulatory Compliance program, ensuring alignment with organizational goals and objectives. Develop and implement a comprehensive compliance strategy and roadmap, including goals, objectives, timelines, and resource allocation. Stay up to date with evolving global regulatory requirements and industry standards, ensuring compliance across all relevant areas. Collaborate with Subject Matter Experts (SMEs) to conduct thorough risk assessments to identify potential compliance risks and develop effective mitigation strategies. Establish and maintain a centralized repository for compliance-related documentation, ensuring accuracy, accessibility, and adherence to document control processes. Lead the preparation and presentation of compliance reports, status updates, and progress documentation to executive leadership and stakeholders. Collaborate closely with cross-functional teams, including product development, engineering, legal, and regulatory affairs, to ensure compliance requirements are integrated into product design and development processes. Implement and continuously improve compliance processes, procedures, and tools to enhance efficiency and effectiveness. Provide leadership and mentorship to the compliance team, overseeing their work and ensuring their professional development. Collaborate with Subject Matter Experts (SME's) to provide oversight and ensure the implementation of necessary changes to comply with new or updated regulations, standards, and industry best practices. Collaborate with internal teams to assess and address product compliance-related issues in the supply chain, including trade and finance considerations. Functional Knowledge Broad understanding of risk management principles and practices related to compliance. In-depth knowledge of global regulatory requirements, such as RoHS, REACH, WEEE, and other relevant product compliance regulations. Extensive knowledge of legal and compliance frameworks applicable to manufacturing and the semiconductor industry. A strong foundation in semiconductor technology, including knowledge of semiconductor manufacturing equipment. Familiarity with quality management systems (e.g., ISO 9001) and their associated compliance requirements. Project Management Proven experience in leading teams in complex projects, preferably in the field of product regulatory compliance. Strong project planning, execution, and resource management skills. Proficient in project management methodologies (Six Sigma, Agile, Scrum) and tools (MS Project, JIRA) to effectively manage complex projects . Leadership Demonstrated ability to lead and inspire cross-functional teams to achieve compliance goals. Excellent decision-making and problem-solving capabilities. Strong ability to influence and drive change at all levels of the organization. Problem Solving Experienced analytical mindset with the ability to identify compliance-related issues and develop effective solutions. Proficient in conducting risk assessments and developing risk mitigation strategies. Change Management Proven ability to lead organizational change initiatives related to compliance requirements. In-depth experience in developing and leading teams through implementation of change management strategies. Interpersonal Skills Excellent communication and presentation skills, with the ability to effectively communicate complex compliance concepts to diverse stakeholders. Proven negotiation and conflict resolution skills. Solid ability to build and maintain strong relationships with internal teams and external partners. Legal/Compliance/Trade Strong understanding of legal and compliance frameworks relevant to the semiconductor industry. In-depth knowledge of trade regulations and requirements applicable to manufacturing industries. Supply Chain Extensive experience of supply chain management principles and practices, with a focus on compliance considerations. Finance Proven ability to analyze and interpret financial implications of compliance requirements. Education Bachelor's Degree required (Engineering/Manufacturing/Business) Master's Degree preferred. Additional Qualifications Professional certifications such as Project Management Professional (PMP), Program Management Professional (PgMP), and Certified Regulatory Compliance Manager (CRCM) are highly desirable. Years of Experience 15+ Years professional experience required. 10+ Years of experience in project management, compliance, or a related field, with a focus on product regulatory compliance within the semiconductor or manufacturing industry. Additional Information Time Type: Full time Employee Type: Assignee / Regular Travel: Yes, 10% of the Time Relocation Eligible: Yes The salary offered to a selected candidate will be based on multiple factors including location, hire grade, job-related knowledge, skills, experience, and with consideration of internal equity of our current team members. In addition to a comprehensive benefits package, candidates may be eligible for other forms of compensation such as participation in a bonus and a stock award program, as applicable. For all sales roles, the posted salary range is the Target Total Cash (TTC) range for the role, which is the sum of base salary and target bonus amount at 100% goal achievement. Applied Materials is an Equal Opportunity Employer. Qualified applicants will receive consideration for employment without regard to race, color, national origin, citizenship, ancestry, religion, creed, sex, sexual orientation, gender identity, age, disability, veteran or military status, or any other basis prohibited by law. In addition, Applied endeavors to make our careers site accessible to all users. If you would like to contact us regarding accessibility of our website or need assistance completing the application process, please contact us via e-mail at Accommodations_Program@amat.com, or by calling our HR Direct Help Line at 877-612-7547, option 1, and following the prompts to speak to an HR Advisor. This contact is for accommodation requests only and cannot be used to inquire about the status of applications.

Posted 4 days ago

Regulatory Compliance Associate-logo
Regulatory Compliance Associate
Elliot DavisColumbia, SC
WHO WE ARE Elliott Davis pairs forward-thinking tax, assurance and consulting services with industry-leading workplace culture. Our nine offices - located in the fastest growing cities in the US - are built on a foundation of inclusivity, collaboration, and collective growth. We work daily to provide exceptional service to our people, customers, and our communities. The Regulatory Compliance Associate will support the audit teams within our Financial Services Group (FSG). This role focuses on delivering value-added services to banking clients through regulatory compliance audits and process reviews. The associate will demonstrate a foundational knowledge of banking regulations and a desire to contribute to impactful client outcomes. #LI-DL1 Responsibilities: Support the execution of audits focused on regulatory compliance programs and practices across client financial institutions. Assist with evaluating adherence to federal and state regulations such as the Truth in Lending Act (TILA), Equal Credit Opportunity Act (ECOA), Home Mortgage Disclosure Act (HMDA), and Truth in Savings Act (TISA). Assist with evaluating client Fair Lending programs including comparative file analysis, redlining, peer analysis, and matched pair testing. Help document audit findings and ensure timely, accurate reporting to audit leadership and clients. Collaborate with audit team members to assess risk areas and evaluate policy and procedural alignment with compliance requirements. Contribute to compliance risk assessments and provide research on new or evolving regulations. Other duties as assigned within the scope of the practice. Requirements: Bachelor's degree in Finance, Accounting, Business Administration, or a related field. 2-5 years of experience in a regulatory compliance role within a bank or financial institution. Strong understanding of core consumer compliance regulations. Excellent written and verbal communication skills. Proficiency in Microsoft Office Suite and familiarity with audit or compliance software. Certifications such as CRCM (Certified Regulatory Compliance Manager) are a plus. WHY YOU SHOULD JOIN US We believe that when our employees are able to thrive in all facets of life, their work and impact are that much greater. That's right - all aspects of life, not just your life as an employee, because we understand that there's life beyond your job. Here are some of the ways our work works for your life, your growth, and your well-being: generous time away and paid firm holidays, including the week between Christmas and New Year's flexible work schedules 16 weeks of paid maternity and adoption leave, 8 weeks of paid parental leave, 4 weeks of paid and caregiver leave (once eligible) first-class health and wellness benefits, including wellness coaching and mental health counseling one-on-one professional coaching Leadership and career development programs access to Beyond: a one-of-a kind program with experiences that help you expand your life, personally and professionally NOTICE TO 3RD PARTY RECRUITERS Notice to Recruiters and Agencies regarding unsolicited resumes or candidate submissions without prior express written approval. Resumes submitted or candidates referred to any employee of Elliott Davis by any external recruiter or recruitment agency by any means (including but not limited to via Internet, e-mail, fax, U.S. mail, and/or verbal communications) without a properly executed written contract for a specified position by an authorized member of the Talent Acquisition team become the property of Elliott Davis. Elliott Davis will not be responsible for, or owe any fees associated with, referrals of those candidates and/or for submission of any information, including resumes, associated with individuals. ADA REQUIREMENTS The physical and cognitive/mental requirements and the work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Physical Requirements While performing the duties of this job, the employee is: Regularly required to remain in a stationary position; use hands repetitively to operate standard office equipment; and to talk or hear, both in person and by telephone Required to have specific vision abilities which include close vision, distance vision, color vision, peripheral vision, depth perception, and the ability to adjust focus Cognitive/Mental Requirements While performing the duties of this job, the employee is regularly required to: Use written and oral communication skills. Read and interpret data, information, and documents. Observe and interpret situations. Work under deadlines with frequent interruptions; and Interact with internal and external customers and others in the course of work.

Posted 5 days ago

Compliance Analyst - Alternative Risk (Remote Or Eatontown, NJ)-logo
Compliance Analyst - Alternative Risk (Remote Or Eatontown, NJ)
Crum & Forster Holdings Corp.Eatontown, NJ
Crum & Forster Company Overview Crum & Forster (C&F), with a proud history dating to 1822, provides specialty and standard commercial lines insurance products through our admitted and surplus lines insurance companies. C&F enjoys a financial strength rating of "A" (Excellent) by AM Best and is proud of our superior customer service platform. Our claims and risk engineering services are recognized as among the best in the industry. Our most valuable asset is our people: more than 2000 employees in locations throughout the United States. The company is increasingly winning recognition as a great place to work, earning several workplace and wellness awards, including the 2024 Great Place to Work Award for our employee-first focus and our steadfast commitment to diversity, equity and Inclusion. C&F is part of Fairfax Financial Holdings, a global, billion dollar organization. For more information about Crum & Forster, please visit our website: www.cfins.com. Job Description Compliance Analyst, Alternative Risk Since 2000, Crum & Forster's Accident & Health division (A&H) has offered a diverse portfolio of specialty insurance and reinsurance products nationwide. We place a strong focus on product development and creative distribution methods, along with excellent client service and support. In addition to our robust domestic portfolio, which spans both special risk and medical solutions, A&H works on an international basis through various partnerships. Our global capabilities provide our partners with even broader flexibility in underwriting solutions. The qualities and capabilities of Crum & Forster Accident & Health demonstrate our philosophy of building meaningful, long-term partnerships and our dedication to providing alternative strategies in an ever-changing insurance market. Information about the Role, Line of Business and Team: This position is in the Compliance Department, which is responsible for (i) Proficiency in both admitted and non-admitted policy and endorsement creation (ii) reviewing prospective programs and coverages for adherence to the various state required guidelines; (iii) working with underwriting, legal, regulatory, actuarial, and claims areas, ensuring that policies and/or certificates are drafted and issued compliantly; (iv) and for conducting audits to further ensure that all policies, certificates and advertising have been properly issued. The Compliance Analyst operates under the direction of the Compliance Director and is responsible for the maintenance and regulatory compliance of assigned P&C products offered by Crum & Forster A&H Division. Products include Alternative Risk: General Liability, Commercial Auto, Contingent Liability, Contractual Liability, and Professional Liability. What you will do: Independently draft product policy forms primarily for non-admitted Property & Casualty (P&C). Review prospective P&C program structure, policies and forms for compliance. Proficiency in both admitted and non-admitted policy and endorsement creation. Research of non-admitted compliance issues and provide responses to business areas. Assist in creating policies or endorsements based on Legal and Underwriting guidance. Review integrity of policy issue documents and facilitate resolution with inconsistencies in the information. Conduct compliance audits as assigned by manager. File via SERFF, Product Forms, Rates, and Rate Rules (where required) and communicate with regulators to secure approval in the required jurisdictions. Communicate with state insurance departments and other regulatory agencies as required. Review advertising material including websites to ensure compliance with internal and state regulatory guidelines. Respond to routine compliance-related requests and inquiries from the various business areas. Assist in reviewing and assessing regulatory changes in state insurance department statutes, regulations, bulletins, etc. along with general industry trends to determine filing and regulatory requirements. Stay current on changes and developments that impact insurance design, development and filing requirements. Assist in research and communication of the compliance implications of new products and enhancements as well as other corporate strategic initiatives. Facilitating underwriting training on industry trends and sharing lessons learned from significant losses. Establish relationships with business units to foster teamwork. Participate in documenting procedure manuals and processes as needed. Ensure Products Status Charts are up to date in real time for assigned products. Develop and maintain required statutory interest rate charts by state for P&C products. Perform other related duties, including short or long-term projects, as assigned by Management. What YOU will bring to C&F: Bachelor's or associate degree preferred 3+ years of equivalent work experience in the insurance industry, with product filing experience, including drafting P&C coverage forms for commercial lines insurance. Working knowledge of P&C Non-Admitted or Alternative Risk type products offerings required. Knowledge of regulatory and compliance aspects of the insurance industry. Demonstrated knowledge of compliance laws and regulations. Awareness of emerging risks and industry trends. Excellent organizational, verbal, and written communication as well as interpersonal skills. Flexible and open to an ever changing, fast paced environment. Meticulous with a high degree of accuracy and ability to multitask. Strong research, decision-making, reporting and analytical skills. Ability to understand, synthesize and convey complex data. Ability to work independently, prioritize and organize own work to meet deadlines. Solid judgment and discretion required to interpret and apply regulatory guidelines, company policies and procedures. Proficient in Microsoft Office software, including Microsoft Word, Outlook, and Excel #LI-MS #LI-REMOTE What C&F will bring to you Competitive compensation package Generous 401K employer match Employee Stock Purchase plan with employer matching Generous Paid Time Off Excellent benefits that go beyond health, dental & vision. Our programs are focused on your whole family's wellness, including your physical, mental and financial wellbeing A core C&F tenet is owning your career development, so we provide a wealth of ways for you to keep learning, including tuition reimbursement, industry-related certifications and professional training to keep you progressing on your chosen path A dynamic, ambitious, fun and exciting work environment We believe you do well by doing good and want to encourage a spirit of social and community responsibility, matching donation program, volunteer opportunities, and an employee-driven corporate giving program that lets you participate and support your community At C&F you will BELONG If you require special accommodations, please let us know. We value inclusivity and diversity. We are committed to equal employment opportunity and welcome everyone regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. If you require special accommodations, please let us know For California Residents Only: Information collected and processed as part of your career profile and any job applications you choose to submit are subject to our privacy notices and policies, visit https://www.cfins.com/onlineprivacypolicy/ca/noticeatcollection/ for more information. Crum & Forster is committed to ensuring a workplace free from discriminatory pay disparities and complying with applicable pay equity laws. Salary ranges are available for all positions at this location, taking into account roles with a comparable level of responsibility and impact in the relevant labor market and these salary ranges are regularly reviewed and adjusted in accordance with prevailing market conditions. The annualized base pay for the advertised position, located in the specified area, ranges from a minimum of $65,000 to a maximum of $95,300. The actual compensation is determined by various factors, including but not limited to the market pay for the jobs at each level, the responsibilities and skills required for each job, and the employee's contribution (performance) in that role. To be considered within market range, a salary is at or above the minimum of the range. You may also have the opportunity to participate in discretionary equity (stock) based compensation and/or performance-based variable pay programs. Responsibilities Compliance Analyst, Alternative Risk Since 2000, Crum & Forster's Accident & Health division (A&H) has offered a diverse portfolio of specialty insurance and reinsurance products nationwide. We place a strong focus on product development and creative distribution methods, along with excellent client service and support. In addition to our robust domestic portfolio, which spans both special risk and medical solutions, A&H works on an international basis through various partnerships. Our global capabilities provide our partners with even broader flexibility in underwriting solutions. The qualities and capabilities of Crum & Forster Accident & Health demonstrate our philosophy of building meaningful, long-term partnerships and our dedication to providing alternative strategies in an ever-changing insurance market. Information about the Role, Line of Business and Team: This position is in the Compliance Department, which is responsible for (i) Proficiency in both admitted and non-admitted policy and endorsement creation (ii) reviewing prospective programs and coverages for adherence to the various state required guidelines; (iii) working with underwriting, legal, regulatory, actuarial, and claims areas, ensuring that policies and/or certificates are drafted and issued compliantly; (iv) and for conducting audits to further ensure that all policies, certificates and advertising have been properly issued. The Compliance Analyst operates under the direction of the Compliance Director and is responsible for the maintenance and regulatory compliance of assigned P&C products offered by Crum & Forster A&H Division.- Products include Alternative Risk: General Liability, Commercial Auto, Contingent Liability, Contractual Liability, and Professional Liability. What you will do: - Independently draft product policy forms primarily for non-admitted Property & Casualty (P&C).- Review prospective P&C program structure, policies and forms for compliance.- Proficiency in both admitted and non-admitted policy and endorsement creation.- Research of non-admitted compliance issues and provide responses to business areas.- Assist in creating policies or endorsements based on Legal and Underwriting guidance.- Review integrity of policy issue documents and facilitate resolution with inconsistencies in the information.- Conduct compliance audits as assigned by manager.- File via SERFF, Product Forms, Rates, and Rate Rules (where required) and communicate with regulators to secure approval in the required jurisdictions.- Communicate with state insurance departments and other regulatory agencies as required.- Review advertising material including websites to ensure compliance with internal and state regulatory guidelines.- Respond to routine compliance-related requests and inquiries from the various business areas.- Assist in reviewing and assessing regulatory changes in state insurance department statutes, regulations, bulletins, etc. along with general industry trends to determine filing and regulatory requirements. Stay current on changes and developments that impact insurance design, development and filing requirements.- Assist in research and communication of the compliance implications of new products and enhancements as well as other corporate strategic initiatives.- Facilitating underwriting training on industry trends and sharing lessons learned from significant losses.- Establish relationships with business units to foster teamwork.- Participate in documenting procedure manuals and processes as needed.- Ensure Products Status Charts are up to date in real time for assigned products.- Develop and maintain required statutory interest rate charts by state for P&C products.- Perform other related duties, including short or long-term projects, as assigned by Management. What YOU will bring to C&F: - Bachelor's or associate degree preferred- 3+ years of equivalent work experience in the insurance industry, with product filing experience, including drafting P&C coverage forms for commercial lines insurance.- Working knowledge of P&C Non-Admitted or Alternative Risk type products offerings required.- Knowledge of regulatory and compliance aspects of the insurance industry.- Demonstrated knowledge of compliance laws and regulations.- Awareness of emerging risks and industry trends.- Excellent organizational, verbal, and written communication as well as interpersonal skills.- Flexible and open to an ever changing, fast paced environment.- Meticulous with a high degree of accuracy and ability to multitask.- Strong research, decision-making, reporting and analytical skills.- Ability to understand, synthesize and convey complex data.- Ability to work independently, prioritize and organize own work to meet deadlines.- Solid judgment and discretion required to interpret and apply regulatory guidelines, company policies and procedures.- Proficient in Microsoft Office software, including Microsoft Word, Outlook, and Excel #LI-MS #LI-REMOTE

Posted 30+ days ago

Clark Insurance logo
US Investments Commercial Compliance Leader
Clark InsuranceBoston, MA
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Job Description

Company:

MMC Corporate

Description:

Mercer Investments is recruiting for a US Investments Commercial Compliance Leader who will work three days a week in a local office.

This position will be responsible for providing strategic and tactical advice as it relates to broker-dealer and SEC RIA Sales and Marketing requirements, supporting Mercer's investment management and investment consulting businesses in the US and MMC Securities broker-dealer activities.

The US Investments Commercial Compliance Leader will be a part of the Legal & Compliance team, and will work closely with other functional teams, and particularly with MMCS leadership and Mercer Investments commercial and sales teams.

In this newly created role, you will have the opportunity to add value and make your mark on a fast growing and dynamic business.

We will count on you to:

  • Design, execute, document, and report on a robust commercial compliance program focused on addressing and mitigating legal and regulatory risk in our commercial activities, and collaborating with business colleagues to assess and mitigate the firm's risk profile.
  • Maintain relationships with our MMCS regulators, and manage any relevant exams.
  • Be an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing.
  • Assess and recommend process and control enhancements to further mitigate risks and/or support future business objectives.
  • Provide best-in-class advice, appropriate second line challenge, and thought partnership on marketing and sales process and control enhancements to meet business needs and future growth.
  • Establish and oversee a framework of controls and processes.
  • Own and manage the Compliance sales and marketing oversight, testing/monitoring, and governance processes.
  • Monitor and understand regulatory developments for any modifications needed to the Compliance programs and provide guidance to relevant stakeholders, leaders, and governance committee on regulatory change that may impact business activities, operations, or objectives.
  • Collaborate across the Global Investments Legal and Compliance teams, and with global commercial leaders.

What you need to have:

  • A Bachelor's Degree from a four-year college or university required (JD preferred)
  • A minimum of 7 years of experience, preferably in the financial services industry, with experience managing SEC and FINRA marketing compliance processes and/or managing a broker-dealer compliance program.
  • Independent strategic thinker with experience balancing commercial objectives against risk mitigation goals.
  • Ability to establish and maintain professional relationships with key stakeholders and service providers.
  • Proactive, capable of multi-tasking, and ability to organize and prioritize deliverables to meet deadlines within a growing business environment.
  • An ability to work independently and own risk, exhibit solid judgement and execute effectively.
  • A positive, can-do attitude and creative problem-solving skills.
  • Strong written and oral communication skills. Ability to communicate succinctly.

What makes you stand out:

  • FINRA S7, S24 or FINRA S14 licenses
  • Experience at an SEC registered investment adviser working within a compliance department, managing broker-dealer compliance and marketing and sales compliance programs of advisers and funds.
  • Experience implementing workflows and frameworks to generate efficiency while mitigating risk. (e.g. Seismic, Red Oak, Saifr, etc.)
  • Knowledge of Investment Company Act of 1940; Knowledge of ERISA regulations; Knowledge of NFA Rules.

Why join our team:

  • We help you be your best through professional development opportunities, interesting work, and supportive leaders.
  • We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients, and communities.
  • Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being.

Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit marshmclennan.com, or follow on LinkedIn and X.

Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@mmc.com.

Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person.

The applicable base salary range for this role is $144,300 to $288,400.

The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.