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Governance, Risk, And Compliance Associate Or Senior Associate-logo
Governance, Risk, And Compliance Associate Or Senior Associate
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's New York City Governance, Risk, and Compliance (GRC) practice is looking for an Associate or a Senior Associate to join our growing firm. This position is responsible for day-to-day project delivery and management of 1-6 concurrent engagements including (but not limited to) internal audits, SOX compliance, Asset Management and process improvement projects serving public and private companies and the public sector. Project management responsibilities include project planning, execution of engagement objectives, daily interaction and communication with client personnel, and potentially performing the initial review of Senior Associate and Associate workpapers. This role requires the ability to supervise teams of 1-4 staff members on multiple concurrent engagements to ensure they receive feedback, direction, and resources in the event engagement issues arise. This requires a thorough understanding of our client industries (namely: Real Estate, Asset Management, Biotech and Government) and the above project types or the ability to quickly learn and adapt to an unfamiliar industry. This position should have an advanced understanding of accounting and audit concepts, including internal control theory, internal control over financial reporting and internal audit standards. Culturally, the Associate or Senior Associate will be leadership driven, motivated to develop their team and cultivate a supportive and energetic environment of community and camaraderie. Weaver employees enjoy flexibility, meaningful and diverse client work, a supportive and innovative work environment, and many more benefits. To be successful in this role, the following qualifications are required: Bachelor's degree in Accounting, Finance, or related field CPA or CPA candidate, CIA, or CIA candidate with 2 - 4+ years of experience in public accounting Thorough understanding of GAAP, GAAS, IIA and GAGAS Proficient with Microsoft Excel, Word, and Visio Excellent written and verbal communication skills Team orientation and strong interpersonal skills Strong project management skills Demonstrate independent thinking and strong decision making Thorough understanding of the COSO internal control framework, Internal Audit Standards, and the Sarbanes Oxley Act Additionally, the following qualifications are preferred: Master's degree in Accounting or related field Experience with Asset Management, Health Care (Life Sciences), Government and Services industries Advanced understanding of financial reporting, control environments, transaction cycles, and business processes Ability to mentor and help develop less experienced staff Location: This role is based in Weaver's New York City office and requires a minimum three (3) days per week in-office. 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 $75,000 to $110,000. 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 & 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. 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

Security Risk And Compliance Lead-logo
Security Risk And Compliance Lead
Rockstar GamesManhattan, NY
At Rockstar Games, we create world-class entertainment experiences. Become part of a team working on some of the most rewarding, large-scale creative projects to be found in any entertainment medium - all within an inclusive, highly-motivated environment where you can learn and collaborate with some of the most talented people in the industry. Rockstar is on the lookout for a talented Security Risk & Compliance Lead to help assess and manage information security risks, and support risk treatment efforts to safeguard employees, information systems, and intellectual property. Leveraging your cross-domain cybersecurity expertise, you will support the identification, tracking, and reporting of risks and remediation efforts, including those related to third parties, to ensure alignment with organizational and industry standards. This is a full-time, in-office position based out of Rockstar's NYC headquarters in Downtown Manhattan. WHAT WE DO The Rockstar Security team is responsible for advancing the state of information security across the company globally by prioritizing and executing security initiatives that drive down risk. We strive to understand the threat landscape affecting our development studios, the gaming industry, and the world at large to define information security policies, standards, and procedures to safeguard our business and protect our players. We lead efforts to build enterprise security controls ranging from endpoint protection technologies to security incident and event monitoring solutions We have a passion for identifying threats and vulnerabilities, and coming up with clever solutions to mitigate or remediate those risks. RESPONSIBILITIES In coordination with relevant stakeholders, perform risk and compliance assessments to identify security risks, control gaps, opportunities for improvement, and compliance with policies and standards. Enhance and maintain information security risk registers, control matrices, and exception process / logs. Triage and assess information security risks (e.g., for impact and likelihood) to determine applicability and severity, in support of prioritization and decision-making. Collaborate with risk and remediation owners to ensure that mitigation plans are developed, tracked, implemented, and control improvements are validated for effectiveness. Develop, prepare, and present regular data-driven reports, metrics, and key indicators of security risks including compliance status and remediation progress to management. Mature and enhance the use of GRC tooling for security risk management and associated workflows. Review and evaluate third-party vendors for compliance with studio security standards and practices. Identify and manage potential gaps by partnering with business and supplier stakeholders toward mitigation. Support the development and iteration of security standards. QUALIFICATIONS Bachelor's degree in Computer Science, Cybersecurity, or related. 6+ years of experience in GRC or related cybersecurity role. A minimum of (3) years of experience in information security risk management, with hands-on experience working on the security risk lifecycle (e.g., managing risk register). Industry-recognized certifications such as CISSP, CISA, CRISC, ISO27001 Lead Implementer / Audit, or other relevant certifications. Strong written and verbal communication skills, with the ability to clearly articulate complex security risks to diverse technical and non-technical audiences including studio management, business operations, product and production teams, engineers, developers, IT, and security teams. SKILLS Strong knowledge and experience across information security domains. Deep familiarity with the performance of security risk management, including knowledge of methodologies, pitfalls, success factors, and the development of associated processes. Strong understanding of security management frameworks such as ISO 27001, SOC 2, and NIST. Experience implementing and improving upon the use of GRC tooling. This includes establishing risk registers, exception logs, controls-library, surveys, dashboards, and reporting. Experience conducting security audits and risk assessments. Hands-on experience performing third-party vendor risk management including supplier assessment through posture and technical reviews. Experience working with Business, Legal, and Privacy teams on vendor contracts a plus. HOW TO APPLY Please apply with a resume and cover letter demonstrating how you meet the skills above. If we would like to move forward with your application, a Rockstar recruiter will reach out to you to explain next steps and guide you through the process. Rockstar is committed to creating a work environment that promotes equal opportunity, dignity and respect. In line with this commitment, Rockstar will provide reasonable accommodations to qualified job applicants with disabilities during the recruitment process in order for such applicants to be considered for the position for which they are applying, as well as to qualified employees to enable them to perform the essential functions of their roles. If you need more information about Rockstar's reasonable accommodation policies or process, or need to request an accommodation, please contact the Human Resources Department. If you've got the right skills for the job, we want to hear from you. We encourage applications from all suitable candidates regardless of age, disability, gender identity, sexual orientation, religion, belief, race, or any other protected category. The pay range for this position in New York State (inclusive of New York City) at the start of employment is expected to be between the range below* per year. However, base pay offered is based on market location, and may vary further depending on individualized factors for job candidates, such as job-related knowledge, skills, experience, and other objective business considerations. Subject to those same considerations, the total compensation package for this position may also include other elements, including a bonus and/or equity awards, in addition to a full range of medical, financial, and/or other benefits. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, employee will be in an "at-will position" and the company reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, company or individual department/team performance, and market factors. NY Base Pay Range $144,600-$180,500 USD

Posted 3 weeks ago

Senior Financial Aid Specialist - Compliance-logo
Senior Financial Aid Specialist - Compliance
Herzing UniversityMilwaukee, WI
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. The Senior Financial Aid Specialist- Compliance supports the Financial Aid function at Herzing University with policy, procedure, technology, and process optimization needs. This role requires high attention to detail and technical proficiency. The Senior Specialist role also requires the ability to generate new and innovative ideas. The Senior Specialist serves on the Financial Aid Compliance Team within the Home Office division of Financial Aid. EDUCATION and EXPERIENCE REQUIREMENTS: Bachelor's degree preferred. High School diploma or equivalent required. 3+ Years of Title IV administration experience preferred. Minium 1 year of experience required. Additional preferred experience includes: Experience with the administration of state and external (non-federal) funding sources highly preferred. Experience with automated systems and processes. Experience with policy, procedure and data system development using automation to accomplish objectives. Knowledge of federal, state and institutional regulations related to financial aid eligibility and processing. PAY: Compensation is determined based on the qualifications, experience, and circumstances of each hire. It is uncommon for new employees to start near the top of the salary range. We offer a comprehensive benefits package, including a tuition waiver and reimbursement program, health insurance, paid time off, and a retirement savings plan. The hourly pay range for this position is $27.80 to $37.61. Click Here to learn more about careers at Herzing University. PRIMARY DUTIES AND RESPONSIBILITIES: Perform regular internal audits of Federal, State, military, and institutional funding programs, and partner with the Director of Training and Development and the Director of Financial Aid- Compliance on training opportunities for staff. Analyze defined Financial Aid processes and provide recommendations to streamline processes by further leveraging technology, systems, and reporting to ultimately improve the efficiency and effectiveness of our business model. Support the UAT (User Acceptance Testing) process for system enhancements and upgrades by designing test plans, documenting test cases, and executing end-user testing that leads to sign off on software releases. Partner with campus Financial Aid leadership on FWS budget utilization, hiring practices, and resource management with focus on full budget utilization and optimal resource allocation to support Financial Aid staffing levels at all campuses and provide gap funding opportunities to students with need. Maintain the FWS Tracker and ensure timely resolution of documented issues. Configure Financial Aid software for Federal award year, fund, and document setup to ensure accurate automation and system functionality. Provide support to Financial Aid staff at all campuses through troubleshooting system issues, reviewing complex student files, and researching Financial Aid policies. 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. PHYSICAL REQUIREMENTS: Must be able to remain in a stationary position most of the time. Must be able to occasionally move around the work location. Constantly operates office and/or teach equipment which may include computers, copiers, fax machines, audio/visuals. Frequently uses voice and hearing to communicate with students, staff or colleagues face-to-face or over the telephone. Visually or otherwise identify, observe and assess. Occasionally move, carry, or lift 10 pounds. 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 1 week ago

Vice President Of Risk & Compliance-logo
Vice President Of Risk & Compliance
Circle MedicalManhattan, NY
Circle Medical is the fastest-growing telemedicine provider in the US and has seen incredible growth of over 100% per year over the past three years. Circle Medical is a venture-backed Y-Combinator healthcare startup on a mission to bring quality, delightful primary care to everyone on the planet. Built by top-tier physicians, engineers, and designers, our medical practice and underlying technology have pioneered how people find and receive care. More about us can be found on our website. DESCRIPTION The VP, Legal, Risk & Compliance is a key member of the Executive Team, responsible for building and maintaining a robust risk and compliance infrastructure tailored to the unique demands of a virtual healthcare company. This role ensures adherence to federal and state telehealth regulations, digital privacy laws, and evolving reimbursement policies. The Executive leads enterprise risk, legal compliance, privacy, and security efforts while fostering a culture of ethical decision-making, transparency, and operational accountability in a distributed, technology-driven care model. WHAT YOU'LL DO STRATEGIC LEADERSHIP Lead the development and integration of a comprehensive enterprise risk and compliance strategy aligned with the organization's mission, legal obligations, and industry best practices Advise executive leadership and board committees on emerging risks, legal requirements, and ethical considerations Build and lead high-performing teams responsible for legal, compliance, audit, privacy, ethics, and enterprise risk VIRTUAL CARE COMPLIANCE Ensure compliance with federal and state laws governing telehealth delivery, including: State-by-state telemedicine licensure requirementsRemote prescribing regulations (Ryan Haight Act, DEA guidelines) CMS telehealth billing and reimbursement rules Office of Civil Rights (OCR) guidance for virtual care under HIPAA Maintain policies and procedures aligned with the rapidly evolving virtual care regulatory landscape Partner with legal and clinical leadership to ensure virtual clinical workflows meet standard-of-care requirements PRIVACY AND DATA PROTECTION Oversee compliance with HIPAA, HITECH, and state-specific privacy laws such as the California Consumer Privacy Act (CCPA) Lead incident response planning for privacy breaches, including patient notification and regulatory reporting Collaborate with IT and cybersecurity teams to ensure secure data storage, access controls, encryption, and third-party vendor compliance Monitor risks associated with cloud-based platforms, mobile apps, wearables, and remote patient monitoring technologies ENTERPRISE RISK MANAGEMENT Identify and assess clinical, reputational, legal, and technological risks unique to virtual care delivery Implement risk mitigation strategies across the organization, including provider performance, data integrity, platform reliability, and patient safety Ensure scalable risk practices across all service lines, geographic locations, and vendor networks REGULATORY AND CLINICAL AUDIT OVERSIGHT Establish audit procedures for virtual care delivery, clinical documentation, billing accuracy, and digital prescribing Ensure compliance with payer and CMS standards to minimize denial and audit risk Report key risks and compliance trends to executive leadership and board committees ETHICS AND ORGANIZATIONAL CULTURE Promote an ethical, inclusive, and compliant culture across a remote and geographically dispersed workforce Maintain a confidential reporting mechanism for compliance concerns Lead ongoing education and training programs around ethics, virtual care regulations, and patient safety BUSINESS CONTINUITY AND TECHNOLOGY RISK Develop business continuity and cyber incident response plans tailored to digital operations Ensure continuity of care and secure communications in the event of platform downtime or security breach Review third-party vendor and software risks related to video, chat, and remote care platforms WHAT YOU'LL BRING Graduate degree in Law (JD), Healthcare Administration (MHA), Public Health, or a related field required Minimum of 10 years of progressive experience in healthcare compliance or enterprise risk, with at least 3 to 5 years in digital health or virtual care Strong understanding of U.S. telehealth regulations, payer billing rules, data privacy laws, and clinical operations Demonstrated leadership in a dynamic, fast-paced, and compliance-sensitive environment Experience working in a public or venture/private equity-backed company PREFERRED QUALIFICATIONS Certified in Healthcare Compliance (CHC) Certified Information Privacy Professional - United States (CIPP/US) Certified Professional in Healthcare Risk Management (CPHRM) Certified Information Systems Auditor (CISA) Telehealth Certification or relevant continuing education in digital health law Familiarity with technology and cloud-based systems used in virtual care, including EHR integration and digital prescribing platforms PERSONAL ATTRIBUTES Deep integrity and high ethical standards Strong communication and collaboration skills, especially across remote teams Strategic thinker who can adapt compliance frameworks to a rapidly evolving digital care model Calm, decisive, and confident in high-stakes or crisis situations COMPENSATION In alignment with our values, Circle Medical has transparent salaries based on output levels, and options to trade cash for stock. This is a full-time, salaried position with an annual salary range of $250,000 to $475,000 USD, plus generous vacation, full health benefits, and 401k matching. Benefit Overview Flexible vacation, eligibility after 90-days 10 annual paid Holidays and 9 paid sick days $500 annual education and development reimbursement Medical, Dental, Vision benefits, Life & additional supplemental coverage options Wellness perks, including discounts for mental health programs and online wellness courses 401K + Company Matching Program Circle Medical is an equal opportunity employer and affirmatively seeks diversity in its workforce. Circle Medical recruits qualified applicants and advances in the employment of its employees without regard to race, color, religion, gender, sex, sexual orientation, gender identity, gender expression, age, disability, genetic information, ethnic or national origin, marital status, veteran status, or any other status protected by law.

Posted 30+ days ago

Director, Corporate Compliance Counsel-logo
Director, Corporate Compliance Counsel
FlexAustin, TX
Job Posting Start Date 06-02-2025 Job Posting End Date 08-29-2025 Flex is the diversified manufacturing partner of choice that helps market-leading brands design, build and deliver innovative products that improve the world. A career at Flex offers the opportunity to make a difference and invest in your growth in a respectful, inclusive, and collaborative environment. If you are excited about a role but don't meet every bullet point, we encourage you to apply and join us to create the extraordinary. Job Summary To support our extraordinary teams who build great products and contribute to our growth, we're looking to add a Director, Corporate Compliance Counsel located in Austin, TX or San Jose, CA. Reporting to the VP, Global Compliance, the Director, Corporate Compliance Counsel will be a key contributor to the global compliance team and the primary compliance resource supporting Flex's Americas operations, including leading ethics investigations in the region. We expect this team member to be a leader working collaboratively with regional legal and business partners to provide compliance guidance companywide, including to Flex's corporate and site executive leadership team. What a typical day looks like: Be an active contributor to the global compliance team in developing and supporting programs, training and regular communications with senior executives Provide substantive management of matrixed teams investigating allegations of violations of Flex's code of conduct and other corporate policies Exercise ownership of investigation findings and reports Communicate with senior executives on investigation results and advise on disciplinary actions and remediation Partner with local, regional and global HR resources to drive compliance goals Maintain expertise in regulatory compliance matters, with an emphasis on optimal compliance program management to mitigate risk Implement the global corporate compliance program in the region and beyond, including partnering with corporate headquarters and business clients on effective policies, training, and communication Manage Flex's global anticorruption and antibribery program, including due diligence and gift and entertainment systems Apprise company executives at regional and global level of legal and risk management issues and propose appropriate strategies for addressing them Develop strategies and ensure adequate implementation to respond to audits, subpoenas, and ethics investigations Manage internal client relationships and assist in the resolution of competing interests amongst stakeholders. The experience we're looking to add to our team: JD from an accredited institution and bar certification or the ability to obtain an in-house license in the appropriate jurisdiction 10 years post-qualification experience Expertise in areas of investigation and compliance Experience with anticorruption laws Ability to interact with business clients at senior levels of management Self-motivated, team player with proven ability to identify legal issues, manage priorities in a fast-paced environment Fluent (written and spoken) English; Spanish and/or Portuguese language is desired Willing to travel #LI-EA1 EA42 What you'll receive for the great work you provide: Full range of medical, dental, and vision plans Life Insurance Short-term and Long-term Disability Matching 401(k) Contributions Vacation and Paid Sick Time Tuition Reimbursement Job Category Legal Is Sponsorship Available? No Flex is an Equal Opportunity Employer and employment selection decisions are based on merit, qualifications, and abilities. We do not discriminate based on: age, race, religion, color, sex, national origin, marital status, sexual orientation, gender identity, veteran status, disability, pregnancy status, or any other status protected by law. We're happy to provide reasonable accommodations to those with a disability for assistance in the application process. Please email accessibility@flex.com and we'll discuss your specific situation and next steps (NOTE: this email does not accept or consider resumes or applications. This is only for disability assistance. To be considered for a position at Flex, you must complete the application process first).

Posted 1 week ago

Assistant Vice President, Compliance-logo
Assistant Vice President, Compliance
Brookfield Corp.New York, NY
Location Brookfield Place New York- 225 Liberty Street, Suite 3501 Business- Brookfield Oaktree Wealth Solutions Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield acquired a majority interest in Oaktree Capital, a leader among global investment managers specializing in credit and other alternative investments. Together, Brookfield and Oaktree share a long-term, value-driven, contrarian investment style, focusing on sectors in which their in-depth operating experience and market knowledge provide a competitive advantage. Brookfield Oaktree Wealth Solutions is a dedicated business delivering the unparalleled alternative investment expertise of Brookfield and Oaktree to private wealth investors, in partnership with their financial advisors. The business unit is dedicated to effectively supporting the financial intermediary community and bringing timely & unique solutions to market with the individual investor in mind. Brookfield Culture Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses. Job Description The Position: AVP, BOWS Compliance The Firm is seeking to add a Compliance resource to the BOWS Legal and Regulatory Team in its New York office. The position offers a great opportunity for an individual with a "hands-on" approach to become an integral part of the BOWS Legal and Regulatory Team. The candidate will be responsible for supporting the compliance program focused on the marketing and wholesale distribution of our products on a global basis. The role will have responsibility for a range of work, including key responsibilities of a broker dealer. The candidate will collaborate with legal and regulatory personnel at BOWS and across the broader Brookfield and Oaktree Legal and Regulatory organizations. Key Responsibilities Review and approve personal trading, outside business activities, gifts & entertainment requests via ComplySci Policy violation management - investigate and manage potential violations of the Code of Ethics program, ensuring proper documentation and resolution Political contributions compliance - utilize illumis to conduct surveillance reviews and escalate concerns for resolution Conduct electronic communications monitoring Assist with reporting/filing requirements on the FINRA Gateway as needed: processing the firm and personnel registrations, filing of marketing materials, review of regulatory inquiries and examinations. Assist with maintenance and update rosters (ex: employee list, branch list and supervisor designation) as needed Maintain and update policies and procedures Assist with testing of the Compliance Program and maintain appropriate backups of respective reviews. Assist with training of BOWS personnel as needed Assist with responding to regulatory questions from the business as needed Assist with compliance projects and initiatives as needed Effectively communicate and escalate compliance matters to the CCO and other senior legal and compliance team members as appropriate Maintenance of appropriate books and records for the broker-dealer Candidate Qualifications and Requirements 5-7 years of compliance-related experience at a broker-dealer, investment adviser, FINRA, or a law firm is preferred Bachelor's degree required Experience working in a broker dealer, asset management, capital markets, securities or financial services industry is preferred Proficient knowledge of SEC, FINRA, state and other regulatory requirements applicable to a broker dealer's activities Experience with various compliance applications and systems such as Global Relay, ComplySci and illumis Working knowledge of, and experience working with and applying, the regulatory requirements and restrictions that apply to the marketing and wholesale distribution of private funds and semi-liquid offerings on a global basis High degree of self-motivation and professionalism, with a confident, assertive style and tenacity to deliver results Strong relationship building and conflict resolution skills Strong interpersonal and verbal communication skills Strong analytical and problem-solving skills combined with attention to detail and thoroughness Desire to work in a team‐based entrepreneurial environment with an ability to collaborate and respond to business needs Able to establish priorities, work on multiple assignments, meet competing deadlines and work in a dynamic, fast-paced global environment Salary Range: $105,000 - $150,000 Our compensation structure is comprised of a base salary and a short-term incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive. Compensation decisions are based on a number of factors including relative experience, overall years of experience, industry experience, education, and designations. Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment. We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position, however, only candidates selected for pre-screening will be contacted.

Posted 4 days ago

Compliance Consultant-logo
Compliance Consultant
MassMutual Financial GroupBoston, MA
Compliance Consultant Relationship and Strategic Project Management team Full-Time Springfield, MA or Boston, MA The Opportunity As a Relationship Manager, you are critical to delivering a positive business partner experience by providing holistic and creative compliance solutions. The candidate must be able to detect and assess compliance risk and identify emerging trends that may impact multiple business lines. Relationship Managers must understand the business areas that they support including product offerings, distribution models, operations and technology. The ideal candidate will be a strong communicator with the ability to work collaboratively and influence at all levels of the organization. The Team As a member of the Relationship and Strategic Project Management team, you will support one or more of our business partners including Third Party Distribution and New Markets (e.g., Worksite, MMSD, etc.), Institutional Solutions, Operations and MMFA Brokerage. You will also support the activities of our wholesale broker/dealers, MMLD and MSD. The Impact Provide day-to-day consulting and project support for business partners to ensure compliance with regulations and MassMutual policies Design, document and maintain risk-based, data driven and sustainable compliance programs for specific business lines Identify business partner and Compliance & Ethics training gaps/opportunities Educate Compliance & Ethics team members on business unit function, priorities and initiatives to build business acumen and improve business partner experience Share information between Relationship Managers and Compliance & Ethics team members to identify and address common risks and business trends Support and influence the development of data-based visual reporting for business leaders The Minimum Qualifications Bachelor's Degree or equivalent experience FINRA Series 6 obtained within 12 months of start date 10+ years of experience in compliance/risk/audit and/or subject matter expertise in one or more of the following areas: life insurance, annuities, group voluntary benefits/Worksite, Institutional Solutions (e.g., Pension Risk Transfer, Corporate/Bank Owned Life Insurance, etc.) The Ideal Qualifications Solid understanding of the insurance industry and distribution models (e.g., career agency, third party, direct to consumer, etc.) Excellent interpersonal and communication skills that drive partnership and allow Compliance to have a seat at the table for day-to-day issues, projects and strategic initiatives Business and compliance acumen that build the credibility necessary to influence business partner decision-making Willingness to challenge the status quo and find innovative solutions to meet business partner needs Intellectual curiosity and courage to ask the questions necessary to build knowledge and understanding Comfort interacting at all levels of the organization Courage to have crucial conversations with external and internal partners on challenging issues Excellent written and verbal communication skills Ability to analyze data to detect trends and identify potential compliance concerns Agile mindset allowing for quick reprioritization in response to business partner needs and objectives Resilience to adapt and thrive in complex, uncertain and changing situations What to Expect as Part of MassMutual and the Team Regular meetings with the Relationship and Strategic Project team Focused one-on-one meetings with your manager Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups Access to learning content on Degreed and other informational platforms Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits #LI-FT1 Salary Range: $113,100.00-$148,400.00 At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. Why Join Us. We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard. We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual. MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.

Posted 1 week ago

Human Resources Compliance Specialist-logo
Human Resources Compliance Specialist
Loews HotelsOrlando, FL
At Loews Hotels at Universal Orlando, our team members get to make a difference and have fun every day. Our world-class team brings to life the incredible, award-winning hotels located at Universal Orlando Resort. Named one of Central Florida's Top Workplaces and one of America's Best-in-State Employers by Forbes, we are committed to our "power of we" culture. Are you looking for a place where you can bring your authentic self to work every day and be able to connect, engage and delight? We offer excellent benefits and perks including one free meal per shift and free theme park access. We have a dynamic culture that makes every day interesting, challenging, fulfilling and fun. We embrace diversity at our core and offer the opportunity for all team members to reach their potential. We invest in training and development opportunities for all team members. We promote social responsibility by being a good neighbor in the community. We care for you, just as we care for others. About Lakewood Regional Support Our regional support center provides resources to our hotels for multiple areas including Human Resources, Engineering, Purchasing, Accounting, Security, Group Reservations, Guest Contact Center, Information Technology, Laundry and Communications. Reports To: Director of Compensation and Compliance Who We Are: Founded in 1960, Loews Hotels & Co operates iconic hotels and resorts across the U.S. and Canada. Together, our diverse and welcoming teams craft exceptional experiences in iconic destinations. Growth and belonging start here; you'll be valued for who you are and the goals you have. Whether your next career chapter involves making memories for guests or supporting our properties in our Corporate Office, every role-from Guest Services to Finance, Culinary to IT-offers opportunities to grow and make a meaningful impact. Creating a Team Member experience where you belong no matter what race, color, religion, sex, sexual orientation, gender identity, national origin, veteran, or disability status that makes you, you is a daily focus for us. What We Offer: Competitive health & wellness benefits, 401(k) & company match Paid Sick Days, Vacation, and Holidays, Paid Bereavement Pet Insurance and Paid Pet Bereavement Training & Development opportunities, career growth Tuition Reimbursement Team Member Hotel Rates, other discounts, perks, and more Many of our Leadership positions are bonus eligible What We're Looking For: We are seeking an organized and detail-oriented Human Resources Compliance Specialist to ensure our HR practices are aligned with federal, state, and local employment laws and regulations. In this role, you will be responsible for managing compliance-related documentation, overseeing the orientation process, handling I-9 and work authorization processing, and conducting various audits to ensure compliance. You'll play a key role in maintaining the integrity of our HR data and supporting compliance initiatives across the HR department. Who You Are: Service-oriented team player with strong communication skills Detail-driven with excellent organizational abilities Have the aptitude to learn HR related software Ability to handle confidential information with discretion Self-starter with a strong ability to prioritize tasks effectively What You Will Do: Monitor and ensure compliance with federal, state, and local employment laws and regulations Manage documentation related to employee records, training logs, and policy updates Participate in the orientation process for new hires, ensuring they receive necessary information about company policies, procedures, and compliance requirements. Oversee the I-9 employment eligibility verification process Audit, track and review expiring work authorizations to ensure legal work eligibility Assist in the processing and administration of J-1 visas, ensuring compliance with program requirements Conduct regular audits to ensure adherence to child labor laws and wage & hour regulations Identify and track overdue employee training requirements, assisting in scheduling and completion Perform weekly audits of HR processes, records, and data for ongoing compliance Review HRIS data regularly for accuracy and integrity Assist in maintaining compliance with internal policies related to job classifications, pay rates, and job roles Prepare compliance reports and assist with external audits when necessary Your Experience Includes: Required: High School Diploma Minimum of 3 years of experience in HR, with working knowledge of employment related compliance and regulations Proficient in Microsoft Office Suite, with advanced knowledge of Excel (VLOOKUP, Pivot Tables) Strong understanding of employment regulations (e.g., I-9, work authorizations, child labor laws, wage & hour laws) Excellent written and verbal communication skills Strong analytical skills with attention to detail Ability to maintain confidentiality and exercise discretion in sensitive matters Who You'll Supervise: This position does not directly supervise any staff.

Posted 2 weeks ago

Compliance Engineer 2-logo
Compliance Engineer 2
IlluminaSan Diego, CA
What if the work you did every day could impact the lives of people you know? Or all of humanity? At Illumina, we are expanding access to genomic technology to realize health equity for billions of people around the world. Our efforts enable life-changing discoveries that are transforming human health through the early detection and diagnosis of diseases and new treatment options for patients. Working at Illumina means being part of something bigger than yourself. Every person, in every role, has the opportunity to make a difference. Surrounded by extraordinary people, inspiring leaders, and world changing projects, you will do more and become more than you ever thought possible. The Compliance Engineer will be involved in projects that require obtaining agency approvals for both new and existing products. This role requires experience in securing certifications from agencies such as the FCC, CE, EMC/RED, IC, and safety organizations. Familiarity with relevant standards and directives from UL, CSA, FCC, IEC, and EN is essential. Additionally, experience with environmental regulations such as RoHS, WEEE, REACH, and Proposition 65 is a valuable asset. The Compliance Engineer will create and execute a compliance test plan addressing EMC, EMI, safety, environmental, and other product compliance requirements. Key Responsibilities: Read, interpret, and communicate changes in technical regulations, directives, and standards. Review new and existing designs to ensure compliance with the latest directives and standards. Manage projects with testing laboratories, which may require some local travel. Coordinate necessary changes with mechanical, electrical, and software engineers. Drive product certification processes across development teams, testing labs, suppliers, and manufacturing partners. Compile data and write reports on existing and potential engineering studies and projects. Prepare and/or edit test procedures used during design and manufacturing processes that impact safety and compliance testing. Facilitate safety reviews of products, systems, and components as part of new product development and update existing products as necessary. Participate in and/or lead cross-functional teams to address product compliance-related issues. Define and oversee hardware certification test requirements and validate testing reports for accuracy and completeness. Support environmental compliance for regulations such as RoHS, WEEE, REACH, and Proposition 65. Qualifications: Bachelor's degree in Engineering or a related field from an accredited university or college A minimum of 4 years of experience in compliance engineering (safety or EMC) Experience working with testing laboratories, updating technical files, and obtaining agency approvals Experience in a regulated industry, preferably with FDA knowledge Experience certifying WiFi or wireless products is a plus Hands-on testing experience for EMC/EMI/RF exposure regulatory compliance for FCC/ISED Strong attention to detail and excellent organizational skills Ability to work proactively and independently Exceptional verbal communication and interpersonal skills, with the ability to collaborate effectively in a team environment Proven track record of quickly developing new skills and applying learnings across different areas Willingness to take ownership of issues, dig deeper into problems, and contribute meaningfully to their investigation and resolution. The estimated base salary range for the Compliance Engineer 2 role based in the United States of America is: $73,400 - $110,200. Should the level or location of the role change during the hiring process, the applicable base pay range may be updated accordingly. Compensation decisions are dependent on several factors including, but not limited to, an individual's qualifications, location where the role is to be performed, internal equity, and alignment with market data. Additionally, all employees are eligible for one of our variable cash programs (bonus or commission) and eligible roles may receive equity as part of the compensation package. We offer a wide range of benefits as innovative as our work, including access to genomics sequencing, family planning, health/dental/vision, retirement benefits, and paid time off. We are a company deeply rooted in belonging, promoting an inclusive environment where employees feel valued and empowered to contribute to our mission. Built on a strong foundation, Illumina has always prioritized openness, collaboration, and seeking alternative perspectives to propel innovation in genomics. We are proud to confirm a zero-net gap in pay, regardless of gender, ethnicity, or race. We also have several Employee Resource Groups (ERG) that deliver career development experiences, increase cultural awareness, and offer opportunities to engage in social responsibility. We are proud to be an equal opportunity employer committed to providing employment opportunity regardless of sex, race, creed, color, gender, religion, marital status, domestic partner status, age, national origin or ancestry, physical or mental disability, medical condition, sexual orientation, pregnancy, military or veteran status, citizenship status, and genetic information. Illumina conducts background checks on applicants for whom a conditional offer of employment has been made. Qualified applicants with arrest or conviction records will be considered for employment in accordance with applicable local, state, and federal laws. Background check results may potentially result in the withdrawal of a conditional offer of employment. The background check process and any decisions made as a result shall be made in accordance with all applicable local, state, and federal laws. Illumina prohibits the use of generative artificial intelligence (AI) in the application and interview process. If you require accommodation to complete the application or interview process, please contact accommodations@illumina.com. To learn more, visit: https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf . The position will be posted until a final candidate is selected or the requisition has a sufficient number of qualified applicants. This role is not eligible for visa sponsorship.

Posted 2 weeks ago

Senior Compliance Specialist- Controls And Testing-logo
Senior Compliance Specialist- Controls And Testing
OctusNew York, NY
Octus Octus is a leading global provider of credit intelligence, data, and analytics. Since 2013, tens of thousands of professionals across hedge fund, investment banking, management consulting, and law firm verticals have come to rely on Octus to make better, faster, and more confident decisions in pace with the fast-moving credit markets. For more information, visit: https://octus.com/ Working at Octus Octus hires growth-minded innovators and trailblazers across the globe to drive our business and culture. Our core values- Action Oriented, Customer First Mindset, Effective Team Players, and Driven to Excel - define an organizational ethos that's as high-performing as it is human. Among other perks, Octus employees enjoy competitive health benefits, matched 401k and pension plans, PTO, generous parental leave, gym subsidies, educational reimbursements for career development, recognition programs, pet-friendly offices (US only), and much more. Role As a Senior Compliance Specialist- Controls and Testing at Octus, you will develop, implement, and maintain compliance controls policies and procedures to ensure adherence to regulatory requirements and mitigate risk across Reorg's products, services, and business practices. You will partner with cross-functional teams including Legal, Product, Technology, and Business to provide subject matter expertise and advise on control design. You will also partner with VP to design testing programs and perform testing to ensure ongoing compliance control effectiveness and identify opportunities for enhancement. Responsibilities: Draft policies and playbooks documenting internal controls and requirements for data access, system permissions, information barriers, data retention, vendor oversight, etc. Collaborate with other compliance team members to research regulations and translate requirements into practical, risk-based controls. Perform periodic control testing through review of permissions, system logs, sample testing, and other methods. Analyze results, identify gaps, and develop remediation plans. Clearly document and report the status of key controls to leadership. Advise product, engineering, and commercial teams on building compliant and ethical data products. Requirements: 5+ years in compliance, internal audit, risk management or related field Strong understanding of applicable regulations (GLBA, SOX, etc.) Established working knowledge of internal control concepts and testing methodology Prior experience in data/information services or financial sector (Compliance, Control Room) and exposure to tech/software industry and Agile development environment is a bonus Credential such as CPA, CIA is a plus At Octus, we consider a range of factors in connection with compensation decisions, including experience, skills, location, and our business needs and limitations. As a result, compensation may vary within and across similar roles and positions. Please note that the salary range information below is a good faith estimate for this position and actual compensation for any individual may fall outside this range if warranted by the circumstances applicable to that individual. If we identify a role that would be suitable for a broader range of skills and experience such that we would consider hiring at multiple levels then the range listed below may reflect that breadth. The salary range estimate for this position is $90,000-$95,000. The actual compensation will be at Octus' sole discretion and will be determined by the aforementioned and other relevant factors. This position is eligible for a performance-based annual bonus. Equal Employment Opportunity Octus is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, marital status, pregnancy, veteran status, or any other legally protected status. We strive to create an inclusive and diverse work environment where all individuals are valued, respected, and treated fairly. We believe that diversity enriches our workplace and enhances our ability to innovate and succeed.

Posted 30+ days ago

Compliance Team Lead- CRB-logo
Compliance Team Lead- CRB
Huntington Bancshares IncColumbus, OH
Description Compliance Team Lead - CRB The Risks & Controls Compliance Team Lead is an exciting opportunity to join a great team at an organization that prioritizes culture and professional growth. Compliance at Huntington works with colleagues across the bank to help them meet their business goals while maintaining a strong culture of compliance. In this role you will be presented with opportunities to develop your skillset and the compliance expertise necessary to support the bank. In this role, you will be responsible for helping the Consumer and Regional Bank (CRB) Compliance Team support Huntington's CRB banking channels. In this role, you will be responsible for helping the second line of defense. Consumer and Regional Bank (CRB) Compliance Team support Huntington's CRB banking channels. The Lead will ensure the development of a strong compliance culture by utilizing Huntington's Enterprise Risk Management System and Issue Management System of record, Archer, as the foundation for monitoring and reporting compliance activities. The Lead will report to the CRB Compliance Group Manager (CGM) and support the CRB Compliance Section Managers (CSM) while still acting as an important individual contributor. The Lead will collaborate with Compliance colleagues and their Risk business partners. Your day-to-day responsibilities will include: Monitor and manage compliance risks, controls, findings, action plans, and metrics in Archer Analyze and report on Archer information as directed by the CGM Independently evaluate existing control design and testing to proactively identify opportunities for improvement Evaluate results of key control testing to ensure tests are executed as designed, conclusions drawn are relevant and appropriate, and any exceptions or issues identified are escalated to the CGM/CSMs in a timely manner Assist CRB Compliance in maintaining proper risk and control documentation in Archer Assist CGM/CSMs and business partners in determining the root cause of issue(s) identified during testing, developing appropriate corrective action plans and documenting in Archer Monitor progress against action plans and perform validation exercises to ensure issues are appropriately resolved prior to closure in Archer Manage the implementation of applicable regulatory changes, compliance testing and audit findings/results, and training completion rates Assist with quarterly risk assessment preparation, including pulling and analyzing finding, testing, complaint and regulatory changes and other applicable data points Assist with the completion of periodic regulatory (horizontal) risk assessments Assist with the review of escalated written complaint response received through various channels (e.g. regulatory agencies, third-party service providers, Customer Solution Center) Working in conjunction with Customer Advocacy, review complaint data in Tableau in order to analyze trends, root cause and escalate issues, as necessary Monitor training completion rates for Compliance-owned courses - establish an escalation plan to address incomplete training prior to the quarterly Training Escalation Process (TEP) due date Partner with the Compliance Program Office, participate in Compliance projects and support other areas, as requested Complete assignments as assigned by the CGM that are designed to provide experience in new areas, exposure to different parts of the bank, and professional growth Basic Qualifications Bachelor's degree. Four additional years of segment-specific or risk experience may be considered in lieu of Bachelor's Degree 5 or more years of risk and/or compliance experience with financial institution 2 or more years of compiling, analyzing, creating and reporting of data Preferred qualifications Experience with FFIEC, OCC, and/or CFPB guidance and rules 2 or more years of experience with GRC system (e.g. Archer) Fluent in Excel and Tableau Excellent written and verbal communication skills Ability to thrive in team-oriented, fast-paced environment Ability to efficiently manage multiple pieces of work simultaneously, proactively manage issues and assignments, while keeping manager informed of issues and progress in a timely manner Well-developed analytical capabilities and critical thinking skills, including ability to summarize complex business problems and detailed analysis with clarity and brevity Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team. Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis. Huntington is an Equal Opportunity Employer. Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Note to Agency Recruiters: Huntington will not pay a fee for any placement resulting from the receipt of an unsolicited resume. All unsolicited resumes sent to any Huntington colleagues, directly or indirectly, will be considered Huntington property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration.

Posted 30+ days ago

Compliance Manager-logo
Compliance Manager
Ameriprise FinancialCharlotte, NC
We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who will manage aspects of, and complete, document management activities for supervisory procedures in CompliSource. Conduct testing of written supervisory procedures (WSP, IA P&P, BUSP, etc.) to evaluate if they are reasonably designed and executed to achieve compliance with regulatory requirements. Support the execution of team processes such as the Annual Review, document management (CompliSource) and Monthly Reporting. Provide training, coaching and mentoring to compliance and business partners. Responsibilities Administer individual and team document management activities for supervisory procedures in CompliSource. Conduct testing of procedures, controls, and supervision of business unit activities. Support the execution of team processes such as the Annual Review and Monthly Reporting. Research and follow Industry rules and activities in order to help incorporate effective controls for business policies and procedures. Provide training, coaching and mentoring to team members and business partners. Maintain current knowledge of industry practices and developments. Required Qualifications Bachelor's degree or equivalent experience. 5-7 years of experience. Series 7 and Series 24. Strong knowledge of the financial services industry activities and regulations, including broker-dealer functions, products and services. Excellent communication, presentation and organizational skills. Ability to plan and manage multiple competing priorities. Ability to work independently, meet deadlines and be a team player. Preferred Qualifications Prior operational experience in client service or clearing functions at a broker-dealer or insurance company. Prior experience testing broker-dealer controls or similar internal or external audit functions. High proficiency with Microsoft Word, Access and Excel. Document management skills. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $77,100 / $120,100 year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization

Posted 1 week ago

Export Sr. Trade Compliance Analyst-logo
Export Sr. Trade Compliance Analyst
Teledyne TechnologiesHudson, NH
Be visionary Teledyne Technologies Incorporated provides enabling technologies for industrial growth markets that require advanced technology and high reliability. These markets include aerospace and defense, factory automation, air and water quality environmental monitoring, electronics design and development, oceanographic research, deepwater oil and gas exploration and production, medical imaging and pharmaceutical research. We are looking for individuals who thrive on making an impact and want the excitement of being on a team that wins. Job Description This position can work from any of the following Teledyne FLIR office locations: Wilsonville, OR Billerica, MA Elkridge, MD Hudson, NH Job Summary: This position works with internal stakeholders to assess international business requirements, prepare export applications, apply appropriate use of exemptions when available, and assist business partners to navigate export approvals. They will primarily focus on efforts related to Technical Assistance Agreements (TAAs) under International Trade in Arms Regulations (ITAR) and associated "In Furtherance Of" licenses, but will also assist with similar export authorization actions pursuant to the Export Administration Regulations (EAR), as necessary, and any trade compliance operational activities to support these efforts. Primary Job Duties & Responsibilities: Review business requirements to identify what export/import authorizations are required in compliance with ITAR (or EAR when applicable) and conduct trade compliance operational support for the business as necessary. In coordination with Trade Compliance team members, administer 100+ Agreements (TAA, MLA, etc.) and associated licenses to ensure compliance with authorization approvals and conditions, identify and conduct export license training as needed, and assist with long-term management of authorizations including agreements through dates of expiration, non-conclusion, or termination. Evaluate international trade requests to determine appropriate export approval actions; draft and prepare license and agreement applications using OCR EASE Global Trade Management System. Adjudicate and document eligible ITAR exemptions for specific business transactions. Conduct peer reviews to ensure accuracy and completeness of license applications and exemption determinations in accordance with regulations and company policies. Follow issuance of export approvals. Assist in the creation and implementation of standard procedures, work instructions and written guidance. Job Qualifications: Bachelor's degree or higher in a related discipline required. A minimum of 3-5+ years of experience in global trade licensing or related field. Previous experience in a similar capacity with a high tech/defense firm with large volumes and licensing agreements. Knowledge of ITAR licensing requirements; familiarity with ITAR license exemptions. Familiarity with the EAR is encouraged. Strong leadership skills with a willingness to lead, create new ideas, and be assertive. Able to serve as a resource to others in the resolution of complex problems and issues. Able to constructively work under stress/pressure when faced with multiple deadlines and workloads; able to make sound and timely business decisions. Able to work independently and constructively with limited supervision. Strong time management, organization, and program management skills. Reputation for, and absolute commitment to, integrity and professionalism. Excellent communication skills, both verbal and written, and strong presentation skills. Strong computer skills in OCR EASE, SNAP-R, DECCS, MS Office, MS Teams and SAP/GTS encouraged. Applicants must be either a U.S. Person as defined under the ITAR and EAR (i.e., a U.S. citizen, U.S. legal permanent resident, or protected status as an asylee or refugee). Salary Range: $77,000.00-$102,600.000 Pay Transparency The anticipated salary range listed for this role is only an estimate. Actual compensation for successful candidates is carefully determined based on several factors including, but not limited to, location, education/training, work experience, key skills, and type of position. Teledyne and all of our employees are committed to conducting business with the highest ethical standards. We require all employees to comply with all applicable laws, regulations, rules and regulatory orders. Our reputation for honesty, integrity and high ethics is as important to us as our reputation for making innovative sensing solutions. Teledyne is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status, age, or any other characteristic or non-merit based factor made unlawful by federal, state, or local laws.

Posted 1 week ago

Transportation Compliance Supervisor - Dallas, TX-logo
Transportation Compliance Supervisor - Dallas, TX
Occidental Petroleum Corp.(Oxy)Dallas, TX
Contribute. Grow. Lead...with OxyChem. Looking for a challenge? Desire to achieve your true potential? OxyChem is a growing, action-oriented, safety driven chemical manufacturing company continually striving to be the best in the business while staying focused on environmental protection. The secret to our success has and will continue to be our people. Occidental Chemical Corporation (OxyChem) is a leading North American manufacturer of polyvinyl chloride (PVC) resins, chlorine and caustic soda - key building blocks for a variety of indispensable products such as plastics, pharmaceuticals and water treatment chemicals. Other OxyChem products include caustic potash, chlorinated organics, sodium silicates, chlorinated isocyanurates and calcium chloride. OxyChem's market position is among the top three producers in the United States for the principal products it manufactures and markets. Based in Dallas, Texas, the company has manufacturing facilities in the U.S., Canada and Latin America. In a fast-paced industry that demands precision, we create a supportive workplace where the safety and well-being of our employees are paramount. We are committed to rewarding top performers, offering very competitive pay and benefits, and providing tremendous career development opportunities. We are looking for a Transportation Compliance Supervisor at our headquarters located in Dallas, TX. This person will be responsible for ensuring compliance with local, state, federal, and international transportation regulations. Responsibilities: Maintain detailed knowledge of federal, state, local, and international hazardous material/dangerous goods transportation regulations for all modes of transport to include but not limited to (UN, PHMSA, DOT, TC, IMDG, IATA and ADR). Interpret regulatory changes and communicate compliance strategies to manufacturing facilities and business groups. Act as backup contact for transportation regulatory agencies and respond to information requests and notices of violations. Understand product characteristics and risks in order to provide day-to-day regulatory guidance for hazardous material shipments. Review and provide input on the transportation section of product safety data sheets. Instruct manufacturing facilities on transportation safety and compliance practices to promote incident-free operations. Participate in internal transportation compliance audits at manufacturing facilities. Develop procedures and training materials for various transportation topics. Advise corporate manufacturing and facilities on hazardous gas and liquid pipeline regulations. Obtain and maintain pipeline permits; prepare and submit state and federal reports for regulated pipelines. Attend pipeline on site records and field inspections. Collaborate with corporate Rail Maintenance group to maintain rail repair shop certification and quality assurance program. Oversee FRA One Time Movement Approval process. Serve as backup U.S. Customs compliance and CTPAT representative for the company. Serve as backup contact with Customs Brokers to verify and approve import clearance documentation. Maintain and evaluate operations and regulatory performance metrics for continuous improvement. Manage SAP S4 software to maintain hazardous material basic descriptions and HTS codes. Required Qualifications: BS/BA degree in Transportation, Logistics, Chemistry, Engineering or applicable field of study A minimum of 5 years experience in domestic and international transportation regulations, rail/highway/marine operations, pipeline, customs or related field Ability to operate effectively when faced with changing circumstances or uncertainty Action-oriented in a challenging environment Proven ability to build relationships with stakeholders inside and outside the organization Proficient in the use of Microsoft Office Suite, including intermediate or advanced level Excel Excellent communication skills (verbal and written) Excellent organizational skills Must have the ability to travel 25% of the time Other Desired Skills Knowledge of transportation regulations as they apply to the chemical manufacturing industry Strong analytical skills to evaluate regulatory impact on business and operations Knowledge of Intelex, SAP S4, PowerBI or similar analytics software Recruitment Fraud It has come to our attention various individuals and/or organizations are contacting people falsely pretending to recruit on behalf of Oxy. Please be aware that these recruiting scams and communications do not originate nor are they associated with our recruitment process. All Oxy job postings and offers will require a completed application through our company website. Oxy does not charge a fee at any stage of the recruiting process. We will never: Ask you to pay for applications, interviews, meetings, processing, training or for any other fees Use recruiting or placement agencies that charge candidates an advance fee of any kind or Request personal information such as passport and bank account details at an early stage of our recruitment process. We recommend against responding to unsolicited business propositions or offers from people you don't know. Do not disclose your personal or financial details. If you believe you have been the victim of a recruiting scam, please contact your local police department. All qualified applicants will receive consideration for employment without regard to age, race, creed, color, religion, sex, national origin, ancestry, disability status, veteran status, sexual orientation, gender identity or expression, genetic information, marital status, citizenship status or any other basis as protected by federal, state, or local law.

Posted 4 days ago

Quality Compliance Coordinator-logo
Quality Compliance Coordinator
FlexBuffalo Grove, IL
Job Posting Start Date 05-20-2025 Job Posting End Date 06-20-2025 Flex is the diversified manufacturing partner of choice that helps market-leading brands design, build and deliver innovative products that improve the world. A career at Flex offers the opportunity to make a difference and invest in your growth in a respectful, inclusive, and collaborative environment. If you are excited about a role but don't meet every bullet point, we encourage you to apply and join us to create the extraordinary. Job Summary Summary: The "Quality Compliance Coordinator" performs functions associated with quality control and quality assurance operations, including working with engineers in set-up and calibration tasks and carrying out rework and quality assurance procedures related to production or operations. Uses sophisticated programs to collect and evaluate data to assist in assessing and documenting results of quality assurance and control processes. Define and may assist in developing methods and procedures for quality assurance and control. Works with engineers in conducting experiments. What a typical day looks like: Develops and executes implementation plan to meet site goals. Establishes regulatory compliance programs and procedures such as ISO documentation to ensure ongoing compliance with agency, and/or government regulations. Uses internal/external experts where appropriate. Coordinates corrective actions. Identifies needs for evaluation/assessment with regard to regulatory issues and conducts or enlists internal/external experts to investigate, test and/or audit. Recommends corrective action to management and implements approved solutions. Follows up to ensure compliance. Develops and communicates site procedures to facilitate employee and process compliance. Assists in policy development. Develops and maintains documentation. Prepares applications, reports, etc., required by agency, for management approval. Reports program effectiveness and issues and makes recommendations to site management. Develops and coordinates audit and training programs. May conduct training and advise management of employees training compliance status. The experience we're looking to add to our team: Associate degree in Science or equivalent is desirable. Typically requires 4 years of relevant experience preferably in a manufacturing environment. Proofed experience working with ISO standards and developing procedures Attention to details. Ability to multitask. What you'll receive for the great work you provide: Full range of medical, dental, and vision plans Life Insurance Short-term and Long-term Disability Matching 401(k) Contributions Vacation and Paid Sick Time Tuition Reimbursement Pay Range (Applicable to Illinois) $21.24 USD - $29.20 USD Hourly Job Category Quality Relocation: Not eligible Is Sponsorship Available? No Flex is an Equal Opportunity Employer and employment selection decisions are based on merit, qualifications, and abilities. We do not discriminate based on: age, race, religion, color, sex, national origin, marital status, sexual orientation, gender identity, veteran status, disability, pregnancy status, or any other status protected by law. We're happy to provide reasonable accommodations to those with a disability for assistance in the application process. Please email accessibility@flex.com and we'll discuss your specific situation and next steps (NOTE: this email does not accept or consider resumes or applications. This is only for disability assistance. To be considered for a position at Flex, you must complete the application process first).

Posted 3 weeks ago

Governance, Risk, And Compliance Associate - Asset Management Consulting-logo
Governance, Risk, And Compliance Associate - Asset Management Consulting
WeaverLos Angeles, CA
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's Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail-oriented Associate to join our growing Asset Management Consulting (AMC) team. This role offers a unique opportunity to work with a dynamic group of professionals focused on delivering high-quality compliance and risk management solutions to clients in the asset management industry. As a Governance, Risk, and Compliance Associate, you will support the execution of audit procedures, compliance program implementation, and ongoing monitoring activities. You will contribute to the achievement of engagement objectives and take ownership of smaller projects under the guidance of experienced team members. Responsibilities include preparing client deliverables, conducting research, and staying current with regulatory developments. The ideal candidate is proactive, eager to learn, and demonstrates strong interpersonal and organizational skills. At Weaver, you'll benefit from a flexible work environment, diverse and meaningful client engagements, and a culture that values innovation and collaboration. Key Responsibilities Audit, Risk, and Compliance Support Evaluate compliance with internal policies, procedures, and regulatory requirements Assist in reviewing internal policies, procedures, and regulatory requirements for compliance. Support the implementation and maintenance of compliance programs for asset managers, including institutional clients and registered investment advisers. Contribute to the development of risk-based audit plans and participate in compliance monitoring and testing activities. Help prepare and maintain regulatory filings (e.g., Forms ADV, 13F, 13H) and adviser registrations. Draft audit findings and assist in preparing reports for management review. Participate in mock regulatory examinations and related preparation activities. Help enforce the firm's Code of Ethics and track employee compliance. Assist in delivering compliance training and maintaining training records. Support the operation of electronic surveillance systems to monitor regulatory compliance. Monitor regulatory updates and help adjust internal procedures as needed. Investment Compliance and Surveillance Interpret investment guidelines to ensure compliance with client mandates. Code and test compliance rules using platforms such as BlackRock Aladdin. Conduct pre-trade and post-trade compliance monitoring. Oversee investment activities to ensure adherence to regulatory and internal policies. To be successful in this role, the following qualifications are required: Bachelor's degree in Finance, Business, or a related field. 1+ year of experience in audit, consulting, or investment management industry Strong analytical and problem-solving skills. Familiarity with the Investment Advisers Act of 1940. Experience with compliance program development and maintenance. Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks. Excellent research skills and attention to detail. Ability to manage multiple projects and shifting priorities. Strong communication and interpersonal skills. Self-motivated with a commitment to continuous learning. Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint). Flexibility to accommodate client or team meetings outside standard hours. Additionally, the following qualifications are preferred: Master's degree in Business, Accounting, or Management Information Systems. Experience with various asset classes, including fixed income, equities, and derivatives. Weaver 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 $75,000 to $90,000. 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), 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 & 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. 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.

Posted 1 week ago

Consultant, Abandoned And Unclaimed Property Compliance-logo
Consultant, Abandoned And Unclaimed Property Compliance
Ryan, LLCTampa, FL
Why Ryan? Hybrid Work Options Award-Winning Culture Generous Personal Time Off (PTO) Benefits 14-Weeks of 100% Paid Leave for New Parents (Adoption Included) Monthly Gym Membership Reimbursement OR Gym Equipment Reimbursement Benefits Eligibility Effective Day One 401K with Employer Match Tuition Reimbursement After One Year of Service Fertility Assistance Program Four-Week Company-Paid Sabbatical Eligibility After Five Years of Service The Abandoned and Unclaimed Property (AUP) Consultant works to assist clients with their compliance of state unclaimed property laws. Compliance activities may include mailing search letters to lost owners where required under law, assisting the project team with preparing annual unclaimed property reports, and coordinating state payments where applicable. The incumbent must be very detail oriented and exhibit excellent communication and organizational skills. The Associate Consultant is responsible for creating positive team member experiences, which lead to excellent client service and drive revenue and profit for the Firm. The ideal candidate with have strong analytical and problem-solving skills, coupled with strong people skills. Successful Ryan team members embrace and live Ryan's values of Pursue Excellence, Wired to Win, Generosity Matters, Build Trust and Integrity Always and will embody and demonstrate accountability. Duties and responsibilities, as they align to Ryan's Key Results People: Create a positive team member experience. Client: Supports management in the AUP practice with client-related tasks. Value: Becomes familiar with unclaimed property reporting software. Processes client additions, removals, and updates to their unclaimed property database. Prepares, mails, and tracks owner outreach letters sent where required by law. Prepares and assembles state unclaimed property reports where required by law. Prepares notes in accordance with AUP standards. Utilizes strong grammar, spelling, and proofreading skills on all communications. Handles tasks in a timely manner with a high degree of accuracy. Demonstrates a strong work ethic and a high degree of integrity. Organizes and prioritizes multiple tasks under time constraints. Handles and safeguards confidential information. Performs other duties as assigned. Education and Experience: Two-year (associate) college degree, with minimum of three years related practice-specific experience OR four-year, any major, degree from accredited university, with minimum overall GPA of 2.80. No experience required. Computer Skills: To perform this job successfully, an individual must have intermediate knowledge of Microsoft Word, Access, Excel, PowerPoint, Outlook, and Internet navigation and research. Certificates and Licenses: Valid driver's license required. Supervisory Responsibilities: This position has no supervisory responsibilities. Work Environment: Standard indoor working environment. Occasional long periods of sitting or standing while working. Occasional long periods of standing while copying. Position requires regular interaction with employees and clients both in person, via e-mail and telephone. Independent travel requirement: 20 - 40% Equal Opportunity Employer: disability/veteran

Posted 2 weeks ago

Compliance Senior Analyst, Operations-logo
Compliance Senior Analyst, Operations
Equinix, Inc.Dallas, TX
Who are we? Equinix is the world's digital infrastructure company, operating over 260 data centers across the globe. Digital leaders harness Equinix's trusted platform to bring together and interconnect foundational infrastructure at software speed. Equinix enables organizations to access all the right places, partners and possibilities to scale with agility, speed the launch of digital services, deliver world-class experiences and multiply their value, while supporting their sustainability goals. Joining our operations team means that you will be at the forefront of all we do, maintaining critical facilities infrastructure as part of a close-knit team delivering best-in-class service to our data center customers. We embrace diversity in thought and contribution and are committed to providing an equitable work environment that is foundational to our core values as a company and is vital to our success. Job Summary The Compliance Senior Analyst takes on an active responsibility in resolving operations compliance issues. Assists in implementing compliance and local legislative requirements at site level. Assists in ensuring Equinix management systems remain compliant to the requirements globally and drives continual improvement. Receives little instruction on work and general instruction on new assignments. Responsibilities Audits & Certifications Plans specialized site level compliance audits (internal and external) Leads diverse site level compliance certification projects and identifies processes to be audited based on specialized knowledge of criteria and controls Develops industry knowledge of standards Conducts/leads compliance audits, creates specialized reports and communicates findings and risks to management Participates in external audits to provide subject matter expertise support Ensures any non-compliance findings are closed in a timely manner Management Systems Is involved in specialized changes and updates any local site level management system assets by raising a document change request Provides specialized compliance input for site level management review meetings Develops specialized local compliance procedures to comply with local legislative and Equinix requirements Ensures all required compliance records are maintained in local/global repositories; including: records relevant to Operations compliance (QISBC and EHS) Assists in the development and maintenance of a global QISBC and EHS management systems including related policies, processes, templates and procedures leading to standardization, consistency and continual improvement Program Management Produces seasoned compliance reports for local management including key performance indicators and metrics for diverse matters Performs a moderate analysis on corrective and preventative actions to identify diverse systemic issues/root causes/delays in completion and recommends resolving a variety of compliance issues through preventive actions Identifies and participates in specialized process improvement initiatives and compliance projects for the site/country in collaboration with regional and/or global stakeholders. Answers specialized queries on compliance tools/systems and manages the tool as an admin. Training Monitors and tracks any QISBC/EHS compliance related training as required by the business, ensuring in scope site personnel complete training within target dates Develops specialized local training materials/toolbox talks Manages and tracks relevant mandatory diverse compliance training Provides specialized level training and inductions for new compliance personnel within a diverse scope May be involved in training existing team members, and contractors 1st Line Responsibilities Performs specialized site level audit evidence reviews and collection including making sure that the sites are prepared for any upcoming audits Acts as a specialized single point of contact (SPOC) for site level compliance related customer or any third party audits, as needed within a diverse scope Assists Data center managers in the implementation of site level compliance policies and processes, as per global requirements Ensures site level compliance with new and existing local/federal/regulatory requirements and follow up on any actions Provides Compliance SME support for relevant site/country stakeholders including mentoring when necessary, identifying compliance related risks / issues at site level Conducts routine site inspections with focus on requirements from local/regional/federal and Equinix requirements Assists sites in any risk assessments and business continuity related documentation maintenance as required (Business Continuity, EHS, are kept current) 2nd Line Responsibilities Communicates risks in a timely manner to manager and external groups Identifies potential risks for non-compliance Provides RFI/RFP support for compliance related topics and second level support for customer audits Provides QISBC/EHS specialized compliance support for first line of defense and other internal stakeholders Feeds back compliance related content as part of any cross-functional projects Reviews first Line of defense management review content May support more junior teammates and field more diverse requests requiring more seasoned experience and program knowledge Compliance Implementation Provides customer RFI/RFP/Pre-Sales /Audit /Questionnaire site level compliance support Supports responses for specialized requests or sensitive issues with diverse risk Integrates new sites or site expansions to Equinix standards within a diverse scope Involved in the specialized managing of Data Center business continuity exercise program ensuring all required drills are planned, tracked, conducted, and documented by site operations, as per global policy Supports application of designated permits, compliance to existing permits, plans (e.g. Air, Spill Prevention, Chemical Reporting, etc.) within a diverse scope Evaluates specialized work place changes, processes, equipment and substances for compliance to Equinix policies and recommends corrective action within a diverse scope Qualifications 5+ years of experience in relevant field of compliance preferred Bachelor's Degree in a related subject preferred QISBC or EHS certification preferred The United States targeted pay range for this position in the following location is / locations are: California (Non-SF/Bay Area), Connecticut, Maryland, New York, New Jersey, Washington state: $88,000 to $132,000 per year Our pay ranges reflect the minimum and maximum target for new hire pay for the full-time position determined by role, level, and location. Individual pay is based on additional factors including job-related skills, experience, and relevant education and/or training. This position may be offered in other locations. Your recruiter can share more about the specific pay range for your preferred location during the hiring process. The targeted pay range listed reflects the base pay only and does not include bonus, equity, or benefits. Employees are eligible for bonus, and equity may be offered depending on the position. As an employee, you become important to Equinix's success. Details about our company benefits can be found at the following link: USA Benefits eBook Equinix is committed to ensuring that our employment process is open to all individuals, including those with a disability. If you are a qualified candidate and need assistance or an accommodation, please let us know by completing this form. Equinix is an Equal Employment Opportunity and, in the U.S., an Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to unlawful consideration of race, color, religion, creed, national or ethnic origin, ancestry, place of birth, citizenship, sex, pregnancy / childbirth or related medical conditions, sexual orientation, gender identity or expression, marital or domestic partnership status, age, veteran or military status, physical or mental disability, medical condition, genetic information, political / organizational affiliation, status as a victim or family member of a victim of crime or abuse, or any other status protected by applicable law.

Posted 3 days ago

IT SOX Compliance Risk Analyst I-logo
IT SOX Compliance Risk Analyst I
First Interstate Bancsystem, Inc.Omaha, NE
If you are a current FIB employee, please apply through the Career Worklet in the Employee Portal. This position can be located at Boise, ID West Myrtle, Bend, OR Moss Building, Omaha, NE 93rd & W. Dodge, Billings, MT and Sioux Falls, SD Downtown branch. What's Important to You We know your career is just one aspect of a meaningful, complex, and demanding life. That's why we designed our compensation and benefits package to provide employees and their families with as much choice as possible. Generous Paid Time Off (PTO) in addition to paid federal holidays. Student debt employer repayment program. 401(k) retirement plan with a 6% match. The health and happiness of the places we call home matter to us. Learn a little more about what we do for the communities we serve, and why we want YOU to be a part of it. We encourage you to apply. Reach for what you want and tell us why your work ethic and willingness to learn make you a natural fit for #TeamFirstInterstate. SUMMARY The IT Risk Analyst I is responsible for guiding, identifying, and measuring informational and technical risks within First Interstate Bank's (FIB) infrastructure or related third parties. This position will be responsible for performing test work to validate system and application security configurations meet industry and FIB architecture and security standards as well as establishing and leveraging risk metrics and dashboards to continuously assess and report on technical risk. This IT Risk Analyst I position will focus on supporting IT SOX compliance by performing testing and assurance to validate system and application security. ESSENTIAL DUTIES AND RESPONSIBILITIES Researches and evaluates proposed new technologies and platforms to ensure the appropriate technical security controls are specified in the requirements and are in alignment with the security reference architecture and security controls framework. Provides security consulting on projects to ensure solution is designed in accordance with security architecture and that security configurations are properly implemented. Performs technical security assessments and targeted risk assessment against FIB's existing infrastructure and products to ensure compliance with policies, standards, regulatory requirements, and industry best practices. Monitors and matures the risk-based IT security metrics, scorecards, and dashboards to measure cybersecurity performance and the effectiveness of IT risk management practices. Identifies and documents IT gaps and/or deficiencies arising from targeted risk assessments and other risk identification activities. Assesses and assigns risk ratings based on likelihood and potential impact; communicates deficiencies with key IT stakeholders. Performs root cause analysis for IT gaps and/or deficiencies and collaborates with IT stakeholders for timely remediation plan development and implementation. Performs independent validation and proactive monitoring of IT gaps and/or deficiencies through resolution. Works with various groups during product upgrades or new product design to ensure security best practices are implemented. Performs technical reviews of third parties cyber and information risk. Researches emerging technologies in support of security enhancement and development efforts. Provides policy governance, ensuring IT policies and standards are compliant with regulatory requirements, industry best practices, and ensures effective communication across FIB. QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. KNOWLEDGE, SKILLS AND ABILITIES Knowledge of concepts and principles in information security functional areas such as cloud security, firewalls, and identity and access management. Strong understanding of industry standard security frameworks, security controls and compliance frameworks, such as NIST 800-53, NIST CSF, CIS, COBIT, and FFIEC. Remains up to date with emerging threats, best practices, and relevant frameworks, guidance, and legislation. Strong oral, written, and interpersonal communication skills resulting in the ability to interface with managers and staff at all levels within the organization. Ability to influence peers, colleagues, and managers to take action on complex, technical, or sensitive security topics. Capable of managing varied assignments and working independently. Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables. Proficient with methods used in performing risk analyses and assessments and measuring cybersecurity compliance. Proficient in maintaining and updating documentation necessary for supporting security environments, including policies, standards, patterns, and reference architectures. Proficient in working with compliance and regulatory program requirements. EDUCATION AND/OR EXPERIENCE Bachelor's Degree in a related field required 1-3 years experience in IT security audit, IT risk management, information security, and/or equivalent combination of education and experience required Experience in a financial institution preferred LICENSES AND CERTIFICATIONS Certified Information Systems Security Professional (CISSP) preferred Certified Information Systems Auditor (CISA) preferred Certified in Risk and Information Systems Control (CRISC) preferred Certified Information Security Manager (CISM) preferred PHYSICAL DEMANDS AND WORKING ENVIRONMENT The physical demands and work environment are representative of those that must be met or encountered to successfully perform the essential functions of the job. In compliance with the Americans with Disabilities Act, the company provides reasonable accommodation to qualified individuals with disabilities and encourages both prospective and current employees to discuss potential accommodations with the employer. Dexterity of hands/fingers to operate computer keyboard and mouse- Frequently Lifting- Occasionally (up to 50 lbs) Sitting- Frequently Standing- Occasionally Noise Level- Moderate Typical Work Hours- M-F (8-5) Regular and Predictable Attendance- Required If you are a current FIB employee, please apply through the Career Worklet in the Employee Portal.

Posted 30+ days ago

Compliance Officer Sr., RIA-logo
Compliance Officer Sr., RIA
M Financial GroupDallas, TX
M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals' expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years. M's solutions are rooted in the diverse expertise of our team, our collaborative approach to innovation and our comprehensive support. We embrace a progressive, dynamic mindset for every role. M Financial Group provides a professional community that actively supports individuals with diverse backgrounds and perspectives who come together to build and support best-in-class solutions. This position is a Compliance Officer Sr of M Holdings Securities, Inc. (M Securities), a FINRA registered broker-dealer and SEC registered investment advisor and M Financial Asset Management, Inc. (MFAM), a SEC registered investment advisor. This position seeks to ensure compliance with SEC regulations while supporting M Securities and MFAM in meeting their regulatory responsibilities focused on advisory operations subject to the requirements set forth by the Investment Adviser Act of 1940 and the Investment Company Act of 1940. Responsibilities: Assist the Director of IA Compliance in the development, implementation, and maintenance of the M Securities and MFAM compliance programs Assist in performing annual 206(4)-7 review; support periodic mock regulatory exams; aid in responding to regulatory inquiries and examinations from the SEC and other regulatory bodies Develop, implement, and maintain current compliance policies, procedures, and processes to ensure compliance with applicable rules and regulations Assist with the preparation, submission, and maintenance of regulatory filings including Form ADV, Form CRS, 13D, 13F, 13H filings and other regulatory filings as required for multiple investment advisers Become a proficient user of the firm's compliance management systems and technologies Effectively communicate regulatory requirements and policies and procedures both internally and to Member Firms Work with other compliance team members to support adherence with the Code of Ethics Proactively identify inefficiencies across all aspects of the firm's compliance program and develop solutions for improvement, with the intent of increasing efficiencies and the effectiveness of the advisory compliance program Address compliance issues that arise from the daily operations of the advisory business Assist with special assignments and perform other compliance department related duties Qualifications: Bachelor's degree in business law, accounting, or related industry preferred; or suitable combination of education and experience Minimum 5 years of financial industry experience in risk and compliance preferably with a SEC registered investment adviser Strong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws, rules, and regulations for broker dealers and extensive knowledge in investment advisory space Series 65 or 66 required Series 7 and 24 required within 12 months of hire Job Conditions & Environment: This position is based on-site at our offices in Uptown at the Quad in Dallas, TX with the flexibility to work one day remotely Normal office environment/desk assignment Travel up to 10% of the time Extensive use of PC's, computer terminal, display, keyboard, and mouse Extensive hands-on work with documents, spreadsheets, and other written documents This position description is not intended to be and should not be construed as an all-inclusive list of responsibilities, skills or working conditions associated with this position. While this description is intended to accurately reflect the position's activities and requirements, management reserves the right to modify, add or remove duties as necessary. M Financial is proud to be an equal opportunity workplace.

Posted 30+ days ago

Weaver logo
Governance, Risk, And Compliance Associate Or Senior Associate
WeaverNew York, NY
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Job Description

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's New York City Governance, Risk, and Compliance (GRC) practice is looking for an Associate or a Senior Associate to join our growing firm. This position is responsible for day-to-day project delivery and management of 1-6 concurrent engagements including (but not limited to) internal audits, SOX compliance, Asset Management and process improvement projects serving public and private companies and the public sector. Project management responsibilities include project planning, execution of engagement objectives, daily interaction and communication with client personnel, and potentially performing the initial review of Senior Associate and Associate workpapers.

This role requires the ability to supervise teams of 1-4 staff members on multiple concurrent engagements to ensure they receive feedback, direction, and resources in the event engagement issues arise. This requires a thorough understanding of our client industries (namely: Real Estate, Asset Management, Biotech and Government) and the above project types or the ability to quickly learn and adapt to an unfamiliar industry. This position should have an advanced understanding of accounting and audit concepts, including internal control theory, internal control over financial reporting and internal audit standards.

Culturally, the Associate or Senior Associate will be leadership driven, motivated to develop their team and cultivate a supportive and energetic environment of community and camaraderie.

Weaver employees enjoy flexibility, meaningful and diverse client work, a supportive and innovative work environment, and many more benefits.

To be successful in this role, the following qualifications are required:

  • Bachelor's degree in Accounting, Finance, or related field
  • CPA or CPA candidate, CIA, or CIA candidate with 2 - 4+ years of experience in public accounting
  • Thorough understanding of GAAP, GAAS, IIA and GAGAS
  • Proficient with Microsoft Excel, Word, and Visio
  • Excellent written and verbal communication skills
  • Team orientation and strong interpersonal skills
  • Strong project management skills
  • Demonstrate independent thinking and strong decision making
  • Thorough understanding of the COSO internal control framework, Internal Audit Standards, and the Sarbanes Oxley Act

Additionally, the following qualifications are preferred:

  • Master's degree in Accounting or related field
  • Experience with Asset Management, Health Care (Life Sciences), Government and Services industries
  • Advanced understanding of financial reporting, control environments, transaction cycles, and business processes
  • Ability to mentor and help develop less experienced staff

Location: This role is based in Weaver's New York City office and requires a minimum three (3) days per week in-office.

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 $75,000 to $110,000. 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 & 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.

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.