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Compliance Analyst - Marketing/Communications Review-logo
WisdomTree Investments IncNew York, NY
We are seeking a Compliance Analyst for a promising opportunity within the Compliance Department. In this role, the Compliance Analyst will be responsible for reviewing and approving all types of product/fund communications, including but not limited to custom requests, due diligence questionnaires, factsheets, offshore marketing materials, presentations, requests for proposals, social media related materials, and website content. Candidates with prior FINRA advertising review experience and a familiarity with applicable FINRA and SEC rules is required. Additional experience with ETFs, mutual funds, cryptocurrencies, tokenized funds, and SEC registered investment adviser and broker/dealer compliance programs is helpful. The ideal candidate will have the experience described above as well as experience researching and interpreting new rules and regulations, a solid knowledge of financial services products (specifically investment companies), excellent critical thinking skills, a solution minded approach, the ability to prioritize a high volume of activities, excellent communication and interpersonal skills, and must work well both independently and as part of a team. Apply Now! Success in this role would be achieved by: Coordinate with the Marketing department and various other internal departments, as part of reviewing communication, marketing, and advertising materials. Ensure that all communications comply with applicable regulatory requirements and guidelines pursuant to SEC and FINRA requirements. Provide input and assistance relative to the implementation of new policies/procedures and with updating/revising existing policies/procedures as necessary. Assist with developing and providing training for employees as it relates to internal policies/procedures. Maintain records of approved advertising/marketing materials pursuant to SEC recordkeeping rules. Assist with testing policies/procedures. Participate in ad hoc projects as needed. Experience and required skill set: 1-3+ years of compliance experience Investment Company & Investment Adviser marketing/advertising review experience Understanding of applicable FINRA and SEC rules relative to advertising/marketing and sales related communications. (e.g. Sec 482, 34b-1, FINRA 2210, 2212, etc.) Solid analytical and communication skills (written and verbal) Highly developed critical thinking and interpersonal skills Strong attention to detail and highly organized Desired Licenses and Certifications: Active Series 6, 7, 24 or 26 $80,000 - $95,000 a year The base salary range for this position is $80,000 - $95,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. Total compensation may vary based on factors such as location, role, company, department, experience and individual performance. About Us: WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime and institutional platform, WisdomTree Connect.* The WisdomTree Prime digital wallet and digital asset services and WisdomTree Connect institutional platform are made available through WisdomTree Digital Movement, Inc., a federally registered money services business, state-licensed money transmitter and financial technology company (NMLS ID: 2372500) or WisdomTree Digital Trust Company, LLC, in select U.S. jurisdictions and may be limited where prohibited by law. WisdomTree Digital Trust Company, LLC is chartered as a limited purpose trust company by the New York State Department of Financial Services to engage in virtual currency business. Visit https://www.wisdomtreeprime.com , the WisdomTree Prime mobile app or https://wisdomtreeconnect.com for more information. Work Smart: Headquartered in New York City, WisdomTree embraces a "Work Smart" philosophy that transcends physical workspace, aiming to optimize productivity, efficiency and effectiveness. Employee time in the office generally is not prescribed, and team leaders are empowered to determine how their teams work best, based on their roles, which may include in-person, in-office engagement. Mission, Vision & Values: WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment. Learn more at www.wisdomtree.com WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.

Posted 30+ days ago

Compliance Specialist, Marketing-logo
SofiSan Francisco, CA
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The successful Compliance Specialist, Marketing candidate will work with a team of Compliance and Marketing professionals across the enterprise and will focus on payment processing and general bank marketing compliance. SoFi's broader Communications With the Public team (CWP) provides compliance expertise and partner support to Marketing, Business Development, and Product departments enterprise-wide, including Galileo's payment processing and program management. In a manner supportive of SoFi's culture of cross-functional collaboration, the Compliance Specialist, Marketing will review and approve communications with the public prior to distribution, while ensuring regulatory adherence and managing to tight deadlines. The ideal candidate will have advertising compliance experience and strong knowledge of regulatory requirements that apply to advertising and marketing. This includes, but is not limited to, the following regulations: CAN-SPAM, TCPA, UDAAP, Reg. DD (TISA), and ECOA. This candidate will report directly to the Manager of the CWP team, while also maintaining strong relationships with the Galileo compliance team in order to acquire a working knowledge of their products and services. What you'll do: Review marketing assets submitted by the Marketing team to ensure compliance with applicable laws and regulations Provide day-to-day marketing compliance support to various business units, primarily Galileo, and act as the key point-of-contact between Compliance and the Marketing organization for escalations Own and drive the research of regulatory risks in connection with advertising and marketing, document analysis, and communicate recommended or required action to the impacted business teams Track marketing claims and maintain associated disclosures and substantiation through the firm's marketing workflow system Drive the development and maintenance of SoFi's policies, procedures, and regulatory compliance training material Monitor changes in applicable laws, regulations, and industry standards related to marketing compliance Assist with audit and exam responses related to the marketing review process Other duties as assigned What you'll need: 5+ years of relevant work experience in financial services and/or fintech, with a preferred background in legal, compliance, marketing, or a related field A degree from an accredited university or significant relevant experience demonstrating your understanding of marketing compliance in the financial sector Propensity to thrive in a fast-paced, ever-changing environment while maintaining a sharp focus on compliance standards Keen attention to detail required Poise under pressure and ability to triage and prioritize competing priorities Expertise in developing and fostering cross-functional relationships with key stakeholders to collaborate effectively Ability to articulate complex opinions and requirements in a simple and understandable way Talent for developing practical, creative solutions that meet business needs while remaining compliant with laws and regulations Flexibility to occasionally work outside of business hours as needs arise Nice to have: Experience with G Suite, Workfront Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.

Posted 3 weeks ago

W
Wellington Management Company, LLPBoston, MA
About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role We are currently seeking a compliance professional primarily to manage the firm's financial crime-related screening program ("Screening Program") and providing compliance support to our global sanctions program. The Screening Program, a critical part of our global Anti-Money Laundering (AML) and sanctions programs, includes the initial and ongoing screening of clients, service providers, employees and portfolio investments for sanctions, PEPs and financial crime related negative media. The role will also be responsible for supervising a small team of individuals at our outsourced screening services provider, including training and advisory support. Based in Boston, the role will work closely with the Global Financial Crime Compliance team, a small collaborative team of compliance professionals who are located in Boston and London. The position will also work closely with global compliance, risk, and legal teams, with a particular focus on partnering with Money Laundering Reporting Officers (MLROs) across our international offices-including Boston, London, Luxembourg, Germany, Singapore, Hong Kong, and Japan-to support and strengthen regional compliance frameworks. The role will interact regularly with key stakeholders in the business, particularly our client facing and operational teams. The ability to influence key stakeholders will be a key to success in the role. Responsibilities Primary responsibilities will include: Design and manage enterprise-level compliance frameworks and processes, with a primary focus on the global screening program. Lead initiatives to enhance enterprise-wide technology solutions supporting the global screening program. Act as a subject matter expert to business units and regional compliance teams on all aspects of the global screening program. Develop and oversee management information and reporting frameworks related to screening and sanctions. Coordinate escalation protocols and business response frameworks for screening and sanctions-related issues. Continuously assess and enhance the operational effectiveness and control environment for screening and sanctions management. Create and maintain global policies, standards, tools, and templates to support regional compliance teams. Design and implement firmwide training programs as needed, and support localized training efforts. Respond to internal and external inquiries regarding the global screening program. Qualifications The critical qualifications for the role include: At least five (5) years of relevant experience at investment management and/or financial services firms, with at least three (3) years' experience with sanctions and screening programs. Ability to effectively communicate with business teams, influencing outcomes and mitigating regulatory risk Demonstrated career progression and commitment to professional development Commercial and growth mindset, geared at finding solutions that balance business and regulatory needs Proven ability to work with technology or implement and enhance processes. Prior experience working with service providers on outsourced functions is a plus. A technical aptitude using data mining and analytic tools such as Python, Tableau, Alteryx, and/or PowerBI as well as experience applying technology solutions to improve outcomes will be viewed positively. Ability to work under pressure, both independently and as part of a team Ability to think strategically and have vision while also focusing on the details and execution Self-motivated and works well independently; capable of taking initiative without prompting Sound understanding of global anti-money laundering regulations. Strong academic background, university degree and / or professional qualifications such as an Compliance or Anti-Money Laundering certification (such as ICA, ACAMs or equivalent) or IT-related qualifications advantageous Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com. At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 65,000 - 150,000 This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time) We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.

Posted 30+ days ago

Environmental Permitting And Compliance Project Engineer, Scientist, Or Manager-logo
LanganSan Antonio, TX
Langan provides expert land development engineering and environmental consulting services for major developers, renewable energy producers, energy companies, corporations, healthcare systems, colleges/universities, and large infrastructure programs throughout the U.S. and around the world. Our employees collaborate seamlessly among 40+ offices and gain valuable hands-on experience that fosters career growth. Langan culture is entrepreneurial from advancing innovative technical solutions, to participating in robust training and knowledge sharing, to making progressive change within the communities we live and work. Consistently ranked among the top ten "Best Firms to Work For" and Engineering News-Record's top 50 firms worldwide, Langan attracts and retains the best talent in the industry. Employees thrive at Langan, a firm that fosters an inclusive and supportive work environment for all; prioritizes wellbeing, health, and safety; encourages volunteerism and philanthropy; offers workplace flexibility, along with carbon-neutral office spaces; and empowers individuals to contribute their skills and knowledge to make impactful contributions. Job Summary Langan is seeking an Environmental Permitting and Compliance Project Engineer, Scientist, or Manager to join its collaborative team in Austin or San Antonio, TX. This individual will serve a key function in performing air permitting and compliance, industrial wastewater and stormwater compliance, storage tank registration and compliance evaluations, waste management, multi-media environmental compliance audits, development of monitoring and spill prevention and contingency plans, and report writing. In this role, you will have the opportunity to guide and review the work of staff, prepare permits and plans, and interact with clients and senior management. Job Responsibilities Prepare permits and compliance programs for multiple environmental media, including air, wastewater, stormwater, waste, spill prevention and storage tanks, EPCRA (Tier II, TRI); Perform multi-media environmental compliance audits, gap assessments, inspections, and program reviews; Develop and support implementation and management of various monitoring and spill prevention and contingency plans/programs (SPCC, FRP, SWPPP, Hazardous Waste Contingency Plans, etc.); Provide direct oversight and management of junior staff for specific project assignments; Lead and/or assist in the preparation of proposals including development of scope and costs; Manage project budgets and assist in invoicing as project or task manager; Interacts with and builds relationships with clients, contractors/subcontractors, and internal practice leaders; Demonstrates a strong commitment to customer service and responsiveness to client needs; Manage and deliver on multiple projects and tasks within specific budgets, schedules, and deadlines; Prepare technical documents including reports, plans/programs, permit applications, and other written deliverables; Train and mentor junior staff; and, Work as part of a multidisciplinary engineering team to support projects located throughout the US. Qualifications Bachelor's degree in Environmental or Chemical Engineering or Science. Master's degree preferred; 6+ years of experience working with regulations and environmental permitting; Professional certification preferred; 40-hour OSHA HAZWOPER certification a plus; Ability to effectively manage multiple clients and projects; Willingness and ability to identify new client opportunities is strongly desired; Excellent written and verbal communication skills; Strong attention to detail with excellent analytical, multitasking, and judgment capabilities; Ability to effectively work independently and in a team environment; and, Possess reliable transportation for client meetings and job site visits and a valid driver's license in good standing. Langan provides a rich array of programs and benefits to help its employees advance their careers and enhance the quality of their lives. Our comprehensive compensation package includes: full-time employment company paid medical, dental, and vision coverage; life insurance, short- and long-term disability insurance, and paid pregnancy disability leave; 401(k)/Roth with company match; paid time off including parental and military leave; employee referral and professional license bonuses; and educational reimbursement. Langan offers employee resource groups; flexible work schedules; extensive training; wellness programs; buddy and mentoring programs; and much more! Langan is committed to providing equal employment opportunities to all qualified applicants and employees, including individuals with disabilities and protected veterans. We believe that an inclusive workplace is essential for the well-being and success of our employees. Nearest Major Market: Austin

Posted 30+ days ago

Z
Zoll Medical CorporationChelmsford, MA
Corporate At ZOLL, we're passionate about improving patient outcomes and helping save lives. We provide innovative technologies that make a meaningful difference in people's lives. Our medical devices, software and related services are used worldwide to diagnose and treat patients suffering from serious cardiopulmonary and respiratory conditions. Job Summary The Vice President, Compliance ensures ethical behaviors and plays a fundamental role in risk identification and mitigation by building and running an innovative compliance program supporting achievement of ZOLL's mission. The position reports to the Chief Legal Officer and partners closely with Legal, Human Resources, and other business functions to embed ethics and compliance in ZOLL's culture and supporting policies and processes. The Vice President, Compliance leads a team of business partners, generalists, and compliance operations specialists that collectively supports ZOLL's business leaders in maintaining a culture of compliance to applicable laws, regulations, and industry standards though advising, coaching, and partnering with the business, and administering the compliance program. ZOLL's compliance program is principles-based, not approval-based, with a focus on up-front training and back-end auditing and monitoring, rather than embedding Compliance personnel in approval processes. The Vice President, Compliance is responsible for leading a team that facilitates this approach through the development and implementation of tailored training, working with the business to develop right-sized, customized policies and processes to support efficient decision-making by the business, and leveraging auditing and monitoring processes to provide for continuous coaching and improvement. Essential Functions The Vice President, Compliance must be able to champion ethical behavior while navigating ambiguity and providing pragmatic advice. Lead a team of Compliance business partners, generalists, and operations specialists, elevating their capabilities; mentor, grow and develop. With a focus on operational excellence, develop and oversee tailored compliance operations to support ZOLL's compliance philosophies and strategy: Needs assessment Risk Assessment Policy and process development at both the corporate and division levels Training Compliance committee governance and administration Auditing and monitoring Investigations Assess ethics and compliance issues, trends, and regulatory updates regularly to identify vulnerability, inform risk management strategies, and update practices as needed. Work closely with senior leaders and cross-functional partners to establish controls to proactively manage identified risks. Act as a strategic partner to business leadership and other stakeholders. Provide strategic and tactical advice to Corporate Function leadership on key decisions. Drive understanding of overall compliance strategy, tactics, and execution. Promote a safe, open working environment, where employees feel comfortable speaking up. Serve as data protection officer and administer the programmatic elements of a privacy program for a company subject to HIPAA and various geographic privacy regulations such as GDPR. Required/Preferred Education and Experience Bachelor's degree required. A background in auditing, finance, or law, or a healthcare compliance certification, is preferred. Minimum of 10 or more years of relevant experience in compliance or a closely related function within a corporate environment. Minimum of 10 or more years in life science organizations, ideally in the medical device industry. Knowledge, Skills and Abilities In-depth knowledge of compliance laws, regulations, and best practices, especially those relevant to the medical device industry. Demonstrated experience as a strategic partner and advisor in a complex organizational structure, and ideally in a matrixed environment. Proven track record in leading and implementing comprehensive compliance programs, managing cross-functional teams, and influencing senior leadership. Exceptional leadership, communication, and interpersonal skills to influence and engage stakeholders at all levels, including executive leadership. Learning agility, curiosity mindset, proactive, and self-motivated & effective in a matrixed organization. Strong analytical and problem-solving skills. Capable of working with abstract ideas and complex, ambiguous situations across various business units and functions & applying pragmatic solutions. Ability to detect risk areas and red flags. Solution-minded; desire to find innovative solutions to problems and to challenge established ways of working. Ability to navigate ambiguity. Ability to lead by influence. Demonstrated strong project and program management skills in leading cross-functional projects and the ability to prioritize and handle multiple projects or initiatives with competing priorities. Skilled at managing multiple tasks and meeting deadlines in a fast-paced environment. Ability to work in Chelmsford, Massachusetts or Pittsburgh, Pennsylvania, or to travel to Chelmsford, Massachusetts on a regular basis. Physical Demands The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Standing- Occasionally Walking- Occasionally Sitting- Frequently Lifting- Frequently Carrying - Pushing - Pulling - Talking - Hearing- Frequently Repetitive Motions - Eye/Hand/Foot Coordination - ZOLL is a fast-growing company that operates in more than 140 countries around the world. Our employees are inspired by a commitment to make a difference in patients's lives, and our culture values innovation, self-motivation and an entrepreneurial spirit. Join us in our efforts to improve outcomes for underserved patients suffering from critical cardiopulmonary conditions and help save more lives. #LI-AD1 All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Posted 30+ days ago

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

Posted 30+ days ago

Counsel, Compliance And Litigation-logo
WR GraceColumbia, SC
Annual Wage Range: $154,448.80 - $212,367.10 Other Compensation: Eligibility for the Short-Term Incentive program and other applicable bonuses Benefits: U.S. Employee Benefits Summary (grace.com) Final salary and compensation will be based on several factors including candidate qualifications and experience, geographical location, market, and business considerations. Grace, a Standard Industries company, is a leading global supplier of specialty chemicals and solutions that enable industries to enhance modern life. Our customers use our catalysts, engineered materials, process technologies and fine chemicals to manufacture everyday products - like renewable fuels, pharmaceuticals and food packaging - better, faster and smarter. Our thousands of employees work to harness the power of science for a better world at our global headquarters in Columbia, MD and locations worldwide. For more information, visit Grace.com. Job Description Grace is seeking a Counsel, Litigation and Compliance to join our Legal team. Reporting to the Associate General Counsel, Labor & Employment and Compliance, with a dotted line to the Assistant General Counsel, Environmental Remediation and Litigation, this position is based at Grace's Columbia, MD headquarters. This attorney will be instrumental in navigating a complex portfolio of claims and litigation matters, including personal injury claims and commercial disputes. Beyond managing legal risks, a core focus will be on championing and ensuring a robust, effective compliance program and fostering a culture of integrity throughout Grace. The role requires a hands-on legal professional who can drive effective litigation outcomes, elevate Grace's compliance infrastructure, and develop innovative programs, policies, training and processes to achieve these critical aims. Responsibilities Litigation/Claims Management: Lead the comprehensive assessment of legal matters, developing proactive and effective litigation strategies and overseeing end-to-end case management. Prepare insightful risk assessments and provide timely case updates, including securing necessary approvals for settlement authority. Collaborate directly with mission-critical business stakeholders to manage and resolve disputes, always seeking optimal outcomes. Strategically select, engage, and manage outside counsel to ensure cost-effectiveness and superior legal representation. Draft and review complex legal documents, including pleadings, declarations, discovery demands, discovery responses and motion papers. Supervise and optimize the e-discovery process. Identify and translate litigation learnings into actionable insights, promoting preventative measures across the organization. Manage and report on litigation budgets, ensuring fiscal discipline. Compliance Leadership: Contribute to and provide collaborative leadership for the overall vision and strategic direction, enhance Grace's compliance program and cultivating a strong ethical culture. Drive the continuous improvement, implementation and monitoring of policies and procedures to ensure unwavering adherence to global laws and regulations. Oversee the prompt receipt, investigation and effective resolution of alleged violations of the Code of Conduct, company policies or other compliance requirements. Ensure the seamless operation of a highly effective and efficient compliance training program. Conduct impactful and engaging training on compliance topics and monitor compliance training completion rates. Required Qualifications Juris Doctor (J.D.) with a strong academic record, and active membership in good standing of a State Bar. Minimum of 5 years of experience with a proven track record in litigation management. Highest level of judgment, discretion, and integrity. A proven self-starter, results-oriented, and high-energy team player with demonstrated leadership capabilities. Exceptional ability to think critically, rapidly absorb new substantive areas, analyze complex problems and data, and develop creative and practical solutions. Capacity to assume ownership and work independently with minimal supervision, driving initiatives to completion. Adept at clearly and accurately identifying nuanced legal issues, translating them into relevant business context, and providing actionable legal counsel to business leaders. Demonstrated ability to influence and build consensus with key stakeholders at all levels of the organization. Excellent written and oral communication skills, capable of conveying complex legal concepts with clarity and impact. . Dedicated to fostering a diverse and inclusive team and work environment. Strong organizational skills with the ability to manage competing priorities effectively and adapt seamlessly to dynamic and evolving situations. Preferred Qualifications Prior global litigation and compliance experience. Experience supporting global corporations on compliance, legal, and regulatory issues. Experience overseeing and/or conducting internal investigations. #LI-RR1 Benefits Medical, Dental, Vision Insurance Life Insurance and Disability Grace Wellness Program Flexible Workplace Retirement Plans 401(k) Company Match Paid Vacation and Holidays Parental Leave (salaried only) Tuition Reimbursement Company Donation Match Program Grace is not accepting unsolicited assistance from search firms for this employment opportunity. Please, no phone calls or emails. All resumes submitted by search firms to any employee at Grace via email, the Internet or in any form and/or method without a valid written search agreement in place for this position will be deemed the sole property of Grace. No fee will be paid in the event the candidate is hired by Grace as a result of the referral or through other means. Nearest Major Market: Baltimore

Posted 30+ days ago

Regulatory Compliance Analyst-logo
Berkshire Hathaway Homestate CompaniesOmaha, NE
Company: NICO National Indemnity Company Want to work for a company with unparalleled financial strength and stability that offers "large company" benefits with an exciting, friendly, and "small company" atmosphere? Our companies, as members of the Berkshire Hathaway group of Insurance Companies, provides opportunities for professionals interested in just that. The Regulatory Compliance Analyst position is responsible for handling regulatory compliance issues with a focus on being subject matter experts on insurance policy construction. This position will be with National Indemnity Company in Omaha, Nebraska, and can be hybrid up to 50% after a period of training 100% in office at management discretion. This position is not eligible for employer visa sponsorship. What will you do? POLICY CONSTRUCTION SUBJECT MATTER EXPERT: Works with others to ensure the proper construction of National Indemnity Company insurance policies, ensuring that these policies have complete and accurate forms. COMPLIANCE TRAINING: Administers portions of the National Indemnity group of insurance companies' compliance training program. FORM FILING & MAINTENANCE: Files new or revised forms or other policy-related data requests with state insurance departments. Serves as the liaison with state insurance department to answer questions, handle regulatory objections, and discuss issues regarding requested changes referring complex issues to supervisor or company legal counsel. REGULATORY COMPLIANCE WORK: Works with others on regulatory compliance work such as anti-money laundering, child support liens, cybersecurity issues, or workers compensation requirements. NICO SURETY: Reviews submissions, rider requests, and renewal invoicing from other Berkshire Hathaway Inc. principals for issuing surety bonds. MONITOR REGULATORY ACTIVITY: Maintains logs on fines and regulatory activity for the NICO group of companies. COMPLIANCE ADMINISTRATIVE DUTIES: Performs compliance-related administrative tasks, such as data entry and document preparation; handles phone, mail, and email communication; and distributes compliance bulletins, notices, and announcements. COMPLAINTS: Work with the unit and Underwriting to addresses insurance department and other formal complaints to the NICO Primary business. What are we looking for? Bachelor's degree in related field or equivalent work experience. Bachelor's degree in related field or equivalent work experience. Personal computer and related software, such as Word, Excel, PowerPoint, etc. Excellent oral and written communication Proofreading Exceptional writing skills Documentation Time management and organization Motivated to learn quickly and independently Work with moderate or minimal supervision Plan, prioritize, and meet deadlines Maintain strict confidentiality Work with detail with accuracy Compile, analyze, and publish notifications Record and update information Research, evaluate alternatives, reach decisions, and make recommendations Work well with others Problem solving We want you to be involved! We offer Employee Resource Groups for volunteering, connecting with others, social gatherings, and professional development. We also regularly seek employees input through companywide surveys. We care about your health and wellbeing! Our Wellness program is integrated into the Company culture with an online wellness portal that offers a year-round, one-stop-shop to manage and track all areas of health, our Omaha office boasts a complimentary state-of-the-art onsite fitness center, and a robust wellness program. Benefits, Perks and more! We offer retirement and savings plan with immediate enrollment with 100% employer match up to 5%, Medical, Dental and Vision for regular, full-time employees and eligible dependents, a dedicated Learning & Development program for employees to grow personally and professionally, 100% upfront Educational Reimbursement program, subsidized downtown parking, competitive time off policies including parental leave, an Employee Assistance program and much more!

Posted 30+ days ago

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

Posted 6 days ago

Compliance Examiner-logo
National Futures AssociationNew York, NY
NFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within the financial industry is as significant as the passionate and talented individuals with whom you work. When you join NFA as a Compliance Examiner, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking, data analysis and risk assessment skills every day. Bring your analytical and innovative mindsets. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail. Beginning your first day and throughout your career, you'll gain exceptional experiences, personalized learning and invaluable coaching and mentoring. We believe in nurturing talent to develop future NFA and industry leaders. What you'll do: You'll join a high-performing team responsible for developing innovative investigative strategies in support of NFA's regulatory mission. You will continually monitor our Member financial institutions through examinations, financial report analysis and investigations, leveraging your human curiosity to analyze documents, procedures and financial statements. As a team, you'll evaluate your findings for possible compliance deficiencies or rule violations and provide insight on the corrective action Members must take. What we're looking for: Detail-oriented, driven individuals thrive in this collaborative, analytical role. We value unique perspectives and are looking for motivated applicants with a broad range of backgrounds and experiences. If you're eager to apply your critical thinking abilities to serve a public good-supporting the integrity of the derivatives markets-and meet the qualifications below, we encourage you to apply to join our team as a Compliance Examiner. Bachelor's degree in a business-oriented major required At least six credit hours of accounting completed at time of application (nine credit hours preferred) Note: Candidates who have not yet completed an intermediate accounting course, or equivalent, must do so within six months of their hire date. Tuition assistance is available for completion. Demonstrated ability to work effectively in a team environment Demonstrated alignment with NFA's values (i.e., demonstrates approachability, trustworthiness and courtesy; behaves with integrity) Overall GPA of 3.0 on a 4.0 scale preferred Strong leadership skills preferred (e.g., thinks strategically, demonstrates accountability, teaches and fosters learning) Salary range: $65,900 - $109,950 Customers and market participants depend on NFA to act with integrity and impartiality as it carries out its mission of safeguarding the markets and protecting investors. Therefore, NFA employees have a responsibility to conduct themselves according to high ethical standards, and must abide by NFA's Code of Professional Conduct. Learn more about the Code of Professional Conduct. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Requisition ID:840

Posted 1 week ago

Compliance Office Milan-logo
Neuberger BermanMilan, TN
Job Description Business: Neuberger Berman Asset Management Ireland Limited ("NBAMIL") Department: Legal & Compliance Position: Compliance Officer, Location: Milan, Italy Reporting to: NBAMIL Head of Compliance - Dublin Position Overview: The role is responsible for the day-to-day Compliance Function of the NBAMIL Milan Branch and its Italian operations. The role also forms an integral part of the European Compliance Team with responsibilities to support the compliance oversight of other NBAMIL European Branch offices and to support the firm's broader European compliance agenda. Close co-ordination and interaction with the Milan Head of Branch is required to ensure effective oversight of Italian market activities within the Milan Branch to: Primary Responsibilities: Ensure adherence to procedures designed to ensure compliance with all applicable legal and regulatory requirements of the branch itself and all the funds distributed in the Italian market by distributors into the retail markets. Providing compliance support, including advice and support for the branch portfolio managers, analysts, marketing, sales and product development teams. Conducting monitoring of all activities to identify departures from regulation and to help senior management to identify opportunities to enhance business processes and controls. Monitoring the follow up of compliance issues, errors and breaches that have been reported Act as regulatory liaison with both the CONSOB and the Banca d'Italia; including ensuring the timely filing of all regulatory reporting obligations. This will include co-ordination within the NB Group of the production of required data, liaison and submission Drafting, maintaining and updating certain firm policies and procedures to align with Italian and/or EU rules and regulations Formalising and documenting the framework of compliance procedures and the Compliance Monitoring Plan Produce monitoring reporting and management information, including quarterly reporting for the NBAMIL Board of Directors Assisting with Italian regulatory examinations, inquiries, investigations and projects, as necessary Monitoring of retail and institutional marketing materials and distribution activities in the Milan branch Training: oversight and management of compliance training such as: online e-learning modules / face-to-face training with Milan branch staff / induction training of all new NBAMIL Milan employees and ongoing employee training designed to foster a culture of compliance Maintaining of training calendars and logs and leading in Compliance training to frontline Italian businesses Key Requirements / Qualifications: 5 years + experience in an asset management firm Compliance Function environment, including knowledge and understanding of MiFID, UCITS and AIFMD; Experience in a retail / intermediary fund environment is a pre-requisite; Fluent Italian and English essential; Appropriate Italian Compliance accreditations preferable; Proficiency in another European language(s) is preferable Ability to work in both a local Italian and a wider European Team environment; across different countries / environments / cultures; Experience designing, executing and managing compliance testing and monitoring is desirable; Literate in Microsoft Excel, Word, PowerPoint, and Outlook and happy to negotiate new systems when needed; Working familiarity with funds, equity and fixed-income securities preferable; Effective verbal and written communication skills (crucial); Methodical person with a strong attention to detail, together with good administrative skills and an analytical approach to problem solving. Needs to be able to see projects through to completion; Ability to identify material issues and know when to escalate; Ability to prioritise effectively, work to tight deadlines and make quick, reasoned decisions; Ability to interact with all levels of staff including senior management and report to Committees and Boards of Directors; Excellent inter-personal skills, with a strong personality, enthusiastic, confident, highly motivated and organised, team player, but able to operate under their own initiative with minimal supervision. Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact onlineaccommodations@nb.com. Learn about the Applicant Privacy Notice.

Posted 30+ days ago

Specialist EHS Compliance-logo
AviagenCrossville, TN
Job Description Summary: The Employee Health and Safety Compliance Specialist is responsible for ensuring organizational compliance with federal, state, and local occupational health and safety regulations. This role will lead efforts to proactively identify risks, implement safety policies, conduct training, and maintain accurate documentation and reporting. The specialist works closely with the EHS manager, operations, HR, and management teams to promote a culture of safety, health, and well-being for all employees. Job Description: Responsibilities: Develop, implement, and maintain safety policies, procedures, and programs that comply with OSHA, EPA, and other regulatory standards. Conduct regular audits, inspections, and risk assessments across facilities to identify and address potential hazards. Investigate incidents and near-misses; compile reports, root cause analyses, and recommend corrective actions. Coordinate and deliver employee safety training programs and ongoing compliance sessions. Monitor and manage records related to injury reports, safety incidents, and workers' compensation claims. Ensure timely and accurate submission of compliance reports to regulatory agencies. Serve as a point of contact for OSHA inspections and other regulatory inquiries. Collaborate with HR, supervisors, and leadership to improve safety performance and ensure adherence to company safety goals. Maintain safety-related documentation, SDS records, PPE inventories, and compliance checklists. Support wellness and health initiatives that enhance employee well-being and reduce absenteeism. Qualifications: Education and Experience: Bachelor's degree in Occupational Safety, Environmental Health, Industrial Hygiene, or a related field. 3-5 years of experience in health and safety compliance, preferably in [industry, e.g., manufacturing, agriculture, food production, etc.]. OSHA 30-hour certification (preferred). Professional certification such as CHST, ASP, or CSP (preferred). Skills and Abilities: In-depth knowledge of OSHA and other applicable safety regulations. Strong analytical, organizational, and problem-solving skills. Effective communication and interpersonal skills with the ability to lead trainings and engage employees. Proficiency in Microsoft Office Suite and EHS compliance software/tools. Ability to handle sensitive and confidential information with discretion. Bilingual in Spanish preferred Work Environment and Physical Demands: Combination of office and field environments; must be able to navigate active worksites, including walking, standing, or climbing for extended periods. Must be able to lift up to 30 pounds and wear necessary PPE when required. Occasional travel between worksites or facilities may be required.

Posted 30+ days ago

Vice President Compliance - Remote-logo
UnitedHealth Group Inc.Eden Prairie, MN
Optum is a global organization that delivers care, aided by technology to help millions of people live healthier lives. The work you do with our team will directly improve health outcomes by connecting people with the care, pharmacy benefits, data and resources they need to feel their best. Here, you will find a culture guided by inclusion, talented peers, comprehensive benefits and career development opportunities. Come make an impact on the communities we serve as you help us advance health optimization on a global scale. Join us to start Caring. Connecting. Growing together. This compliance leadership position is an impactful and strategic role leading the compliance program for several key Optum Health businesses while also supporting the Optum Health CCO across the broader Optum Health compliance program: Home & Community Care Solutions- Home & Community Care- Optum Business Whole Health Solutions- Health Benefits Solutions- Optum Business LHC Group- LHC Group- Hospice, Home Care, Facility Based Care This position will lead a large team of compliance professionals focused on operating an effective compliance program and providing strategic leadership to our business partners. This position reports to the Optum Health Chief Compliance Officer ("CCO") and will partner closely with the other Optum Health compliance leaders and the United Healthcare and UnitedHealth Group's compliance leadership teams. You'll enjoy the flexibility to work remotely * from anywhere within the U.S. as you take on some tough challenges. Primary Responsibilities: Support Optum Health CCO with creation and implementation of comprehensive compliance strategy, risk assessment, and detailed compliance workplan for Optum Health in collaboration with enterprise compliance and business partners. Provide influential, collaborative leadership and guidance to Optum Health executive leadership and business teams on compliance, ethics, and regulatory issues to reduce risk and enable broader business growth objectives. Create strategy to establish and measure a top-down culture of compliance and ethics; partner with Optum Health business leadership to further enhance culture of compliance throughout Optum Health organization. Manage a large team of compliance professionals dedicated to Optum Health compliance in business lines highlighted above including robust performance management and talent development processes. Support Optum Health CCO and partner with Optum and enterprise compliance teams to deliver an effective compliance program designed to detect, prevent, and correct compliance issues across Optum Health including: Lead annual and ongoing compliance risk assessment working with enterprise risk management, enterprise compliance team, and other stakeholders. Oversee quarterly management compliance committees with key stakeholders of respective Optum Health businesses and identify relevant information to provide analysis for Optum and enterprise executive leadership and board of directors/audit committee reporting. Develop, implement, and update as needed policies, procedures, processes, and best practices with enterprise compliance team across Optum Health to promote compliance with applicable laws and contractual obligations. Develop, implement, and update as necessary, training, awareness and educational materials and programs to support compliance and ethics agendas with enterprise compliance team. Develop, implement, and update, as necessary, routine monitoring to ensure ongoing compliance with laws, regulations, policies, and procedures. Partner with enterprise compliance audit team to develop and oversee annual OH audit plan, scope of audits, and overall audit execution including subsequent corrective actions, if needed. Partner with enterprise compliance investigations team to enable them to conduct investigations timely and effectively and support disciplinary guidelines in partnership with the human resources team and business teams. Oversee and support communications, issue resolution, and overall compliance engagement with regulators on behalf of Optum Health businesses in partnership with Optum exam management, legal and business teams. Collaborate with business, operations, and other functional areas to review, analyze and develop/oversee initial implementation project plans and/or corrective action plans to ensure compliance with new or existing laws and regulations. You'll be rewarded and recognized for your performance in an environment that will challenge you and give you clear direction on what it takes to succeed in your role as well as provide development for other roles you may be interested in. Required Qualifications: 10+ years implementing and leading comprehensive compliance programs 5+ years of experience supervising and leading a team including performance management and talent development Experience working with and problem solving with senior executives and a proactive executive with a proven history of driving results in a heavily matrixed environment Proven solid verbal and written communication skills and an ability to seek to understand new business proposals, identify risks, and propose risk mitigation solutions Proven leadership skills with demonstrated ability in managing and developing others, including leading large teams Preferred Qualifications: JD, MBA, or other relevant advanced degree or certification CPA, CHC, CCEP, CFE, or other relevant certifications Experience with healthcare provider and/or MA health plan compliance programs Experience at law firm, Big 4 audit firm, or other consulting firm experience Experience working with key healthcare laws and regulations: False Claims Act, Anti-kickback Statute, Stark Law, No Surprises Act, Medicare Advantage regulations, Antitrust laws and regulations, and telehealth laws and regulations Experience working with data and incorporating data analytics in the compliance program Knowledge of Medicare Advantage and risk adjustment (coding skills not required) Knowledge of home health and hospice regulations and compliance best practices All employees working remotely will be required to adhere to UnitedHealth Group's Telecommuter Policy Pay is based on several factors including but not limited to local labor markets, education, work experience, certifications, etc. In addition to your salary, we offer benefits such as, a comprehensive benefits package, incentive and recognition programs, equity stock purchase and 401k contribution (all benefits are subject to eligibility requirements). No matter where or when you begin a career with us, you'll find a far-reaching choice of benefits and incentives. The salary for this role will range from $196,600 to $337,100 annually based on full-time employment. We comply with all minimum wage laws as applicable. Application Deadline: This will be posted for a minimum of 2 business days or until a sufficient candidate pool has been collected. Job posting may come down early due to volume of applicants. At UnitedHealth Group, our mission is to help people live healthier lives and make the health system work better for everyone. We believe everyone-of every race, gender, sexuality, age, location and income-deserves the opportunity to live their healthiest life. Today, however, there are still far too many barriers to good health which are disproportionately experienced by people of color, historically marginalized groups and those with lower incomes. We are committed to mitigating our impact on the environment and enabling and delivering equitable care that addresses health disparities and improves health outcomes - an enterprise priority reflected in our mission. UnitedHealth Group is an Equal Employment Opportunity employer under applicable law and qualified applicants will receive consideration for employment without regard to race, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. UnitedHealth Group is a drug - free workplace. Candidates are required to pass a drug test before beginning employment.

Posted 3 weeks ago

N
National Healthcare CorporationMurfreesboro, TN
Compliance Specialist for NHC Home Office located in Murfreesboro, TN NHC Home Office located in beautiful Murfreesboro, TN is looking for a Compliance Specialist to join our Compliance Team! Under the direction of the Corporate Compliance & Privacy Officer, the compliance specialist facilitates Compliance and Privacy activities and functions. Qualifications: High School graduate or equivalent. Proficiency in Microsoft Word, Excel, and Power Point. Proficiency in utilizing internet-based software that creates criminal background check results, OIG exclusion reports, sex offender registry reports and professional licensure check reports. Ability to effectively communicate with home office and NHC entity partners. Ability to function in a frequently changing environment with multiple deadlines. Ability to follow established procedures and to suggest changes for smoother operations. Personal attributes to include neatness, accuracy, and attention to detail. Pleasant and professional demeanor. Ability to work independently and as a member of a team. Ability to maintain confidentiality. Position Highlights: The Compliance Specialist responsibility includes the following: Oversee and coordinate the system for Criminal Background reports Coordinate and perform monthly ineligible persons exclusion checks Research state and federal regulations Request, organize, and appropriately analyze non-clinical compliance audits NHC HealthCare Home Office offers a competitive compensation package for full time employment including health, dental, vision, life, disability insurance, paid time off, 401 (k) with generous company match, stock options, and more. National HealthCare Corporation is recognized nationwide as an innovator in the delivery of quality long-term care. Our goal is to provide a full range of extended care services, designed to maximize the well-being and independence of patients of all ages. We are dedicated to meeting patient needs through an interdisciplinary approach combining compassionate care with cost-effective health care services. The NHC environment is one of encouragement and challenge ... innovation and improvement ... teamwork and collaboration ... and honesty and integrity. All NHC employees are committed as partners, not only to the health of our patients, but to the well-being of the communities we serve. If you are interested in working for a leader in senior care and share NHC's values of honesty and integrity, please apply online or find out more about us at nhccare.com/ We look forward to talking with you!! EOE

Posted 30+ days ago

Senior Accountant, Revenue & Compliance-logo
Authentic Brands GroupNew York, NY
Who We Are Authentic is a unified platform that integrates M&A, brand strategy, creativity and digital innovation to unlock the power of its global Lifestyle and Entertainment portfolio. As the world's largest sports and entertainment licensing company, Authentic connects strong brands with best-in-class partners to optimize long-term value in the marketplace. Its brands generate more than $32 billion in global annual retail sales and have an expansive retail footprint in more than 150 countries, including 13,000-plus freestanding stores and shop-in-shops and 400,000 points of sale. Authentic transforms brands by delivering powerful storytelling, compelling content, innovative business models and immersive experiences. It creates original marketing strategies to drive the success of its brands across all consumer touchpoints, platforms and emerging media Why Authentic You'll be able to access the resources and scale, while leveraging innovative technology and nimble environment. What we're saying is, this isn't your average day job. If you're hungry to drive ideas into action and own your career, let's chat. Our team is rapidly innovating to evolve and define the future of our brands. With the help of some of the brightest minds in retail, marketing, licensing, legal and more, we are building the intersection of digital and experiential marketing to help achieve that mission. We reimagine, evolve and transform brands! At Authentic, we foster an inclusive workplace where diversity of thought and expertise drive competitive advantage. Our global teams are built by go-getters who contribute unique perspectives and push the boundaries of creativity and innovation. Headquartered in New York City, Authentic has offices in major metropolitan cities including Los Angeles and Miami, as well as Toronto, Mexico City, London, and Shanghai. What You'll Do The Senior Accountant, Revenue & Compliance analyzes and monitors royalty revenues, revenue reporting, and royalty compliance for a portfolio of global licensing partners. What you'll be working on: Review royalty contracts and determine appropriate revenue recognition methodology Analyze and summarize monthly and quarterly royalty revenues based on contract terms, the relevant revenue recognition methodology and the current status of license Perform review and analysis to ensure completeness and accuracy of royalty revenues Analyze and reconcile quarterly reports received from licensees to determine any additional revenues to be billed Monitor and analyze accounts related to royalties such as deferred revenue and unbilled royalties Maintain adequate accounting records and analyses that supports financial decision-making Prepare an analysis of actual royalty revenues to budget, investigate variances and analyze trends Prepare monthly and quarterly royalty revenue reports Prepare other external reports, as necessary Monitor licensee reporting and compliance to determine any operational issues or any potential breach of contract and coordinate with Royalty Zone team on resolution Maintain communication with brand managers, legal department and licensees with respect to licensee operations and reporting Provide financial advice by studying operational issues; apply financial principles and practices; and developing recommendations to improve policies and procedures Must Haves: Graduate of an accounting degree CPA and public accounting experience a plus Experience with royalty/license revenue accounting preferred Proficiency in Microsoft Excel and Microsoft Word Proficiency in NetSuite preferred Ability to learn new software and identify and assist in the implementation of process improvements in the accounting processes and system Ability to perform root/cause analysis and propose solutions Must possess the following traits: Detail and deadline oriented Excellent analytic skills, ability to identify variances or unusual trends that will require further investigation Good written and oral communication skills, ability to coordinate with personnel across the organization Organized and possess good time management skills Proactive and ability to work with limited supervision Ability to prepare reports in an accurate and concise manner Primary Location Salary Range: $90,000 - $100,000 Fraud Alert: Unauthorized Job Offers and Impersonations We have been made aware of fraudulent job offers and interview requests being sent by individuals falsely claiming to represent Authentic. These scams are often initiated via email, employment websites and social media, and may include fake interview requests, offer letters or attempts to collect personal and financial information. Please note: All legitimate Authentic job postings can be found only on our official website (authentic.com) or through our verified LinkedIn page ( https://www.linkedin.com/company/weareauthentic ). Authentic does not conduct interviews over Teams or Zoom without prior email correspondence from a verified @authentic.com email address. We will never ask you for sensitive personal information, payment or banking details as part of the hiring process. If you believe you've been contacted by someone impersonating an Authentic team member, please report it immediately by emailing peopleandculture@authentic.com. Authentic is an equal-opportunity employer and we value and embrace the diversity and inclusion of all Team Members. We do not discriminate on the basis of gender, gender identity, sexual orientation, race, national origin, disability, age, marital status, protected veteran status, or other legally protected status. For individuals with disabilities or religious obligations who would like to request an accommodation, please contact talent@authentic.com To access Authentic' s Privacy Policy, which contains information regarding data collected from job applicants and how we use it, please click here: https://www.authentic.com/privacy-policy

Posted 30+ days ago

Director, Corporate Compliance Counsel-logo
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 30+ days ago

B
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 30+ days ago

Claims Compliance Supervisor-logo
AltaMedMontebello, CA
Grow Healthy If you are as passionate about helping those in need as you are about growing your career, consider AltaMed. At AltaMed, your passion for helping others isn't just welcomed - it's nurtured, celebrated, and promoted, allowing you to grow while making a meaningful difference. We don't just serve our communities; we are an integral part of them. By raising the expectations of what a community clinic can deliver, we demonstrate our belief that quality care is for everyone. Our commitment to providing exceptional care, despite any challenges, goes beyond just a job; it's a calling that drives us forward every day. Job Overview The Supervisor, Claims Compliance role will be responsible for the development and implementation of internal Compliance monitoring and audit plans, conducting internal audits and projects related to targeted business functions and processes in order to protect the integrity and reputation of AltaMed. Monitoring and auditing activity will include ensuring compliance with Federal and State regulations, internal controls, formalizing and managing remediation plans to resolve compliance issues, and control improvements. The auditor will also be responsible for guiding external audit activity, including facilitating readiness efforts. This position works closely with internal business operations to assist in the successful execution of compliance audit plans and industry standards. Minimum Requirements Bachelor's degree or equivalent work experience in a managed care setting. Minimum 5 years of experience with internal claims auditing, claims examiner, or equivalent position required. Minimum 3 years of Supervisory experience required. Compensation $90,538.24 - $113,172.80 annually Compensation Disclaimer Actual salary offers are considered by various factors, including budget, experience, skills, education, licensure and certifications, and other business considerations. The range is subject to change. AltaMed is committed to ensuring a fair and competitive compensation package that reflects the candidate's value and the role's strategic importance within the organization. This role may also qualify for discretionary bonuses or incentives. Benefits & Career Development Medical, Dental and Vision insurance 403(b) Retirement savings plans with employer matching contributions Flexible Spending Accounts Commuter Flexible Spending Career Advancement & Development opportunities Paid Time Off & Holidays Paid CME Days Malpractice insurance and tail coverage Tuition Reimbursement Program Corporate Employee Discounts Employee Referral Bonus Program Pet Care Insurance Job Advertisement & Application Compliance Statement AltaMed Health Services Corp. will consider qualified applicants with criminal history pursuant to the California Fair Chance Act and City of Los Angeles Fair Chance Ordinance for Employers. You do not need to disclose your criminal history or participate in a background check until a conditional job offer is made to you. After making a conditional offer and running a background check, if AltaMed Health Service Corp. is concerned about a conviction directly related to the job, you will be given a chance to explain the circumstances surrounding the conviction, provide mitigating evidence, or challenge the accuracy of the background report.

Posted 30+ days ago

Compliance Administrative Assistant-logo
Farmer FocusHarrisonburg, VA
Who We Are and What We Do Farmer Focus's mission is to promote and protect generational family farms by shifting farm-level decision-making and chicken ownership back to farmers and empowering them to farm the way they know is best. We are committed to consistently producing 100% organic and humanely raised chicken that is better for people, the planet, and animals. Our culture is rooted in servant leadership, and we live by our Farmer Focus CARES values: Community, Accountability, Respect, Excellence, and Stewardship. Who We Are and What We Do Farmer Focus's mission is to promote and protect generational family farms by shifting farm-level decision-making and chicken ownership back to farmers and empowering them to farm the way they know is best. We are committed to consistently producing 100% organic and humanely raised chicken that is better for people, the planet, and animals. Our culture is rooted in servant leadership, and we live by our values of Integrity, Transparency, and Family. How this Role Will Be Impactful FARMER FOCUS brand of organic meat products has an opportunity for a Compliance Administrative. The successful candidate must have a "safety-first" and hands-on mindset, be a self-motivated partner supporting the Compliance team and drive continuous improvement throughout the organization. Assists the Compliance Specialist and the Compliance Manager with various administrative duties and certification programs. Maintains growers' files/records. Assists with onboarding and maintain exceptional relations with our growers. Essential Functions Statement(s) Process grower flock records for accuracy, enter flock records into database, note any issues with records and report them to the Compliant Specialist. Assist with collecting information for corrective actions. Mail weekly flock records to growers for upcoming flocks. Print and mail Grower settlements upon approval. Responsible for ensuring order confirmations, chick delivery invoices, and chick invoices are accurate that create new flock files. Assist with Grower onboarding process and maintaining file system for Grower records. Assist in preparation for audits and inspections to include reporting, pulling files and checking for accuracy. Assist in organizing Grower meetings and events. All other related duties as assigned by Management. What You Bring to the Role Minimum High School Diploma or equivalent GED certificate required. Knowledge of standard agricultural practices. Ability to work in a fast-paced environment. Proactive team building and relationship building, including the ability to work individually and as a team member. Proficient PC skills (Microsoft Word, Excel, SMART devices, and internal Company programs/ applications). Proficient math skills (addition, subtraction, multiplication, division, common fractions, and decimals). Demonstrate ability to communicate effectively in both oral and written communications. Proficient skills in reading, writing, and speaking the English language. Ability to pay attention to detail. Effective problem solving, resolution skills, and ability to exercise good judgement. Demonstrated customer services skills, ability to relate effectively and tactfully with all levels of the organization. Commitment to and demonstration of high ethical standards governing professional behavior and interactions. Ability to adapt effectively to workplace changes and new job duties and responsibilities. PHYSICAL DEMANDS AND WORKING CONDITIONS Regularly uses a telephone/cell phone, computer (including keyboard), SMART devices, email and/or fax for necessary communications. Requires the essential use of hands, speech, eyesight, and hearing. Vision requirements include close and distance vision, peripheral and depth vision, and the ability to adjust focus as needed. Must possess color vision. The noise level for this work environment is typically low to moderate. Other Requirements May need to physically move light equipment or supplies from one place to another. Must have fine hands and finger dexterity. Positive attitude, good judgment, and excellent time management skills. Must be willing to participate on the audit team. Farmer Focus is committed to the principles of equal employment and to complying with all federal, state, and local laws providing equal employment opportunities, and all other employment laws and regulations. It is our intent to maintain a work environment that is inclusive and equitable, free of harassment, discrimination, or retaliation based upon an individual's age, race (including traits historically associated with race, which includes hair texture, hair type, and protective hairstyles such as braids, locks, and twists), color, national origin, ancestry, religion, sex, sexual orientation (including transgender status, gender identity, or expression), pregnancy (including childbirth, lactation, and related medical conditions), physical or mental disability, genetic information (including testing and characteristics), military status (including status as a uniformed servicemember, a veteran, or dependent of a servicemember), or any other status protected by federal, state, or local laws. Farmer Focus is dedicated to the fulfillment of this policy regarding all aspects of employment, including but not limited to recruiting, hiring, placement, transfer, training, promotion, rates of pay and other compensation, termination, and all other terms, conditions, and privileges of employment.

Posted 30+ days ago

Compliance Policy & Process Lead-logo
Arthrex, Inc.Naples, FL
RequisitionID: 63590 Title: Compliance Policy & Process Lead Division: Arthrex, Inc. (US01) Location: Remote Salary Range: Salary Minimum: $79.001,00 Salary Maximum $144.000,00 This position is based in Naples, FL. Remote optional for the right candidate. If remote, travel required to Naples headquarters quarterly for 1 week Arthrex is a global medical device company and leader in orthopedics medical education. With a corporate mission of Helping Surgeons Treat Their Patients Better, Arthrex has pioneered the field of arthroscopy and develops more than 1,000 innovative products and procedures each year that support all aspects of orthopedics. The Risk Management & Compliance department is based in Naples, Florida and includes a team of varied compliance, risk management, audit and legal professionals. Arthrex is actively searching for a Compliance Policy & Process Lead to join the Risk Management & Compliance team. The successful candidate will manage and develop compliance policies and procedures across the global organization, as well as drive efforts to operationalize compliance principles and controls in business activities to ensure compliance with relevant laws, regulations and standards. Experience in policy writing/development and working in the healthcare, life sciences, or biotech industry is preferred. Main Objective: The Lead, Compliance Policy & Process, administers all ongoing activities related to the development and execution of non-QMS company-wide policies and procedures for Arthrex employees and third parties. This position reports into the Manager, Global Compliance Policy, Training & Communications Specifically, this position is accountable for documenting the Global Risk Management & Compliance (RM&C) Program, continuous process improvement of the RM&C Program, and documenting compliance controls within the business process. Essential Duties and Responsibilities: Lead the design, development and implementation of non-QMS policies and procedures at a company-wide level, in partnership with Legal and RM&C colleagues and relevant business functions. Drive global consistency in our approach to non-QMS policies and ensure global principles and best practices are shared and adopted across geographies and functions. Develop a framework and guidance for updating, promulgating and operationalizing policies. Collaborate with internal, global compliance stakeholders (e.g., Regional Compliance Officers (RCOs), Global Privacy) and other relevant functional areas (e.g., Medical Education or HR) to ensure consistency of compliance controls and requirements as documented in company-wide policies, procedures and other employee and third-party handbooks or manuals. Assess and maintain the company's global compliance policies, addressing any gaps. Support the assessment of regional and local compliance policies with an eye towards promoting efficiency and consistency while allowing for appropriate local flexibility. Partners closely with Global Compliance Policy, Training & Communication colleagues to ensure an appropriate holistic approach to policies, education and communication. Work with Audit, Legal, RCOs, and HR on special projects that arise from investigations or audit findings, and where the need for remediation or process re-engineering is identified. Work with the various business functional areas to implement change management/training plans to get new policies and/or processes adopted quickly and successfully. Develops and maintains deep knowledge regarding applicable laws, regulations, and industry codes; applies knowledge to drive continuous improvement of compliance policies and procedures. Provide input on modifications to the compliance program to reflect changes, clarifications, or updates in applicable law, regulations, policy, and business strategy. Drives innovation to increase accessibility to compliance policies and standards and supports company efforts to implement and manage a policy platform. Consistently analyze processes, track best practices, and provide recommendations to increase process and system effectiveness. Develop strong relationships throughout multiple businesses and regions to foster a consistent and collaborative approach to proactive compliance. Foster a continuous improvement mindset and propose enhancements to the program informed by industry trends and best practices. Supports compliance training and communications projects as assigned. Supports other RM&C department projects as assigned. Education/ Experience: Bachelor's degree required (preferably in Business, Healthcare, or related field). Minimum 5 years of experience in Legal, Compliance or Risk Management is required. Experience in policy writing and maintenance is required. Background in healthcare, life sciences, or biotech industry preferred. Minimum 5 years of experience working in a complex healthcare or business organization preferred. Knowledge and Skills: Deep understanding of compliance program elements, including policy development and process improvement. Familiarity with the AdvaMed Code and other healthcare/life sciences industry standards. Knowledge of applicable laws, regulations, industry codes and best practices. Understanding business processes, internal controls and change management strategies. Awareness of policy platforms and tools to enhance accessibility and compliance engagement. Strong analytical, problem-solving, and communication skills. Excellent written and verbal communication across all organizational levels. Ability to manage multiple projects and work both independently and collaboratively. Proficient in Microsoft Office Suite (Excel, Word, PowerPoint). Skilled in building trust and fostering collaboration across global teams. Machine, Tools, and/or Equipment Skills: Intermediate (or better) level of proficiency in MS Excel, MS Word, and PowerPoint. Arthrex 2023 Benefits Medical, Dental and Vision Insurance Company-Provided Life Insurance Voluntary Life Insurance Flexible Spending Account (FSA) Supplemental Insurance Plans (Accident, Cancer, Hospital, Critical Illness) Matching 401(k) Retirement Plan Annual Bonus Wellness Incentive Program Gym Reimbursement Program Tuition Reimbursement Program Trip of a Lifetime Paid Parental Leave Paid Time Off Volunteer PTO Employee Assistance Provider (EAP) All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability or protected veteran status. Making People Better at Arthrex Lorem ipsum dolor sit amet consectetur. Cras fringilla elementum odio velit. Job Details Date: Aug 14, 2025 Requisition ID: 63590 Salary Range: Job title: Compliance Policy & Process Lead Arthrex Location: Naples, FL, US, 34108 Nearest Major Market: Naples Job Segment: Medical Device, Business Process, Orthopedic, Engineer, Change Management, Healthcare, Management, Engineering

Posted 5 days ago

WisdomTree Investments Inc logo

Compliance Analyst - Marketing/Communications Review

WisdomTree Investments IncNew York, NY

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Job Description

We are seeking a Compliance Analyst for a promising opportunity within the Compliance Department. In this role, the Compliance Analyst will be responsible for reviewing and approving all types of product/fund communications, including but not limited to custom requests, due diligence questionnaires, factsheets, offshore marketing materials, presentations, requests for proposals, social media related materials, and website content.

Candidates with prior FINRA advertising review experience and a familiarity with applicable FINRA and SEC rules is required. Additional experience with ETFs, mutual funds, cryptocurrencies, tokenized funds, and SEC registered investment adviser and broker/dealer compliance programs is helpful.

The ideal candidate will have the experience described above as well as experience researching and interpreting new rules and regulations, a solid knowledge of financial services products (specifically investment companies), excellent critical thinking skills, a solution minded approach, the ability to prioritize a high volume of activities, excellent communication and interpersonal skills, and must work well both independently and as part of a team.

Apply Now!

Success in this role would be achieved by:

  • Coordinate with the Marketing department and various other internal departments, as part of reviewing communication, marketing, and advertising materials.
  • Ensure that all communications comply with applicable regulatory requirements and guidelines pursuant to SEC and FINRA requirements.
  • Provide input and assistance relative to the implementation of new policies/procedures and with updating/revising existing policies/procedures as necessary.
  • Assist with developing and providing training for employees as it relates to internal policies/procedures.
  • Maintain records of approved advertising/marketing materials pursuant to SEC recordkeeping rules.
  • Assist with testing policies/procedures.
  • Participate in ad hoc projects as needed.

Experience and required skill set:

  • 1-3+ years of compliance experience
  • Investment Company & Investment Adviser marketing/advertising review experience
  • Understanding of applicable FINRA and SEC rules relative to advertising/marketing and sales related communications. (e.g. Sec 482, 34b-1, FINRA 2210, 2212, etc.)
  • Solid analytical and communication skills (written and verbal)
  • Highly developed critical thinking and interpersonal skills
  • Strong attention to detail and highly organized

Desired Licenses and Certifications:

  • Active Series 6, 7, 24 or 26

$80,000 - $95,000 a year

The base salary range for this position is $80,000 - $95,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. Total compensation may vary based on factors such as location, role, company, department, experience and individual performance.

About Us:

WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime and institutional platform, WisdomTree Connect.*

  • The WisdomTree Prime digital wallet and digital asset services and WisdomTree Connect institutional platform are made available through WisdomTree Digital Movement, Inc., a federally registered money services business, state-licensed money transmitter and financial technology company (NMLS ID: 2372500) or WisdomTree Digital Trust Company, LLC, in select U.S. jurisdictions and may be limited where prohibited by law. WisdomTree Digital Trust Company, LLC is chartered as a limited purpose trust company by the New York State Department of Financial Services to engage in virtual currency business. Visit https://www.wisdomtreeprime.com, the WisdomTree Prime mobile app or https://wisdomtreeconnect.com for more information.

Work Smart:

Headquartered in New York City, WisdomTree embraces a "Work Smart" philosophy that transcends physical workspace, aiming to optimize productivity, efficiency and effectiveness. Employee time in the office generally is not prescribed, and team leaders are empowered to determine how their teams work best, based on their roles, which may include in-person, in-office engagement.

Mission, Vision & Values:

WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment.

Learn more at www.wisdomtree.com

WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.

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