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Morgan Stanley logo
Morgan StanleyNew York, New York

$135,000 - $203,000 / year

Morgan Stanley is seeking a financial services professional to join our team as an Internal Audit Vice President. The candidate will join our Compliance Audit team, which is responsible for oversight and execution of our Legal and Compliance audit program. The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an independent and well-informed view and impactful messages about the most important risks facing our Firm. This is accomplished by performing a range of assurance activities to independently assess the quality and effectiveness of Morgan Stanley's system of internal control, including risk management and governance systems and processes. IAD serves as an objective and independent function within the Firm's risk management framework to foster continual improvement of risk management processes. This is a Vice President level position within Business audit, which is responsible for inspecting controls in front, middle and back offices. Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Interested in joining a team that's eager to create, innovate and make an impact on the world? Read on… Location : New York, NY (4x per week in office) What you'll do in the role : Formulate and lead a wide range of assurance activities to assess risks within coverage area and the state of controls in place to mitigate them Proactively identify risk and emerging risk, and factor into assurance coverage Articulate actionable insights to management regarding criticality and impact of risks to the business Effectively partner with colleagues and stakeholders globally to drive effective working relationships Align projects and initiatives with department and coverage area priorities, and oversee team’s execution of deliverables in accordance with audit methodology and quality standards Partner with global peers on global Legal and Compliance Reviews; provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers; and support the other Global and International NFR teams, as needed What you'll bring to the role : Advanced knowledge of industry, global markets and regulations relevant to coverage area (e.g., Legal and Compliance, broker-dealer and swap dealer compliance) Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring) Ability to articulate risk and impact clearly and succinctly to different audiences Effective change and project management techniques and ability to support teams in adapting new ways of working Ability to leverage and analyze data to inform focus and views on risk Ability to coach and mentor others and create an inclusive work environment for team Experience communicating with regulators Internal Audit or Second Line experience preferred ACAMS qualification or equivalent preferred Relevant certifications (e.g., CIA, CAMS, CFCS) preferred Generally, we would expect to find the skills required for this role in individuals with at least 6 years’ relevant experience WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Expected base pay rates for the role will be between $135,000 and $203,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posted 6 days ago

Daniels Health logo
Daniels HealthChicago, IL

$109,165 - $117,335 / year

Role Overview: At Daniels, compliance isn’t just about checking boxes – it’s about protecting people, the environment, and our reputation as an industry leader in safe medical waste management. Supporting Daniels and its subsidiaries, you will play a critical role in how our business operates within a highly regulated environment. You’ll be one of our go-to advisors for interpreting complex regulations and a vital part of the development, implementation, and monitoring of regulatory compliance programs within the organization. guiding leadership decisions, and embedding compliance into daily operations. By driving proactive compliance strategies, you’ll partner with operations, safety, and hazardous waste services to help Daniels minimize risk, maintain trust with clients, and support our mission of making healthcare safer and more sustainable. What you will do: -Monitor federal, state, and local regulations (OSHA, EPA, DOT, state environmental agencies) impacting medical waste management, and interpret requirements for application across Daniels operations. -Obtain and maintain required permits, licenses, and certifications for facilities and operations, ensuring integration with business needs. -Interpret regulatory changes and advise leadership and departments on implications for operations, strategy, and risk exposure. -Develop, review, and support implementation of compliance policies and standard operating procedures (SOPs). -Support in development and delivery of compliance training programs for employees, ensuring alignment with organizational goals and regulatory requirements. -Ensure accuracy of compliance training records, keeping up-to-date documentation to support regulatory readiness and internal accountability. -Conduct regular audits of manifests, transportation logs, facility operations, and vendor compliance, identify risks and gaps. -Document audit findings, prepare reports, and follow-up on corrective actions. -Ensure readiness efforts for internal and external inspections, confirming Daniels is always audit-ready. -Investigate compliance incidents, assess root causes and risks, document findings and develop corrective actions and ensure timely resolution. -Escalate significant issues to the Director, Ethics & Compliance, as needed, with recommendations for mitigation and policy improvement. -Partner with operations leadership to integrate compliance into operational planning and daily activities. -Advise sales and account management teams on compliance-related client inquiries, supporting with regulatory expertise. Candidate Profile /Skills & Qualifications: -Minimum of 5–7 years of compliance, auditing, or regulatory experience, ideally in the medical waste industry or another highly regulated industry, such as pharmaceutical, cannabis, alcohol, healthcare, or environmental services. -Strong working knowledge of federal OSHA, EPA, and DOT regulations and similar state regulations pertaining to the medical waste industry is preferred. -Excellent research, analytical and organizational skills; Is detail-oriented with strong judgment and time management skills. -Has a self-starter-proactive mindset; supporting company policies, goals and core values. -Demonstrated ability to independently interpret and apply complex regulatory frameworks to business practice whilst also collaboratively across multiple teams. -Proficiency with Microsoft Office Suite and compliance tracking systems. -Professional verbal and written communication skills. -Performs well under pressure on multiple tasks concurrently and meets deadlines in a fast-paced work environment. -Ability to adapt quickly to regulatory changes and evolving business needs and willingness to handle a variety of tasks as assigned. “The pay range for this position is $109,165 to $117,335 base salary. Actual compensation within this range will depend on factors unique to each candidate, such as prior experience, skill, certifications, and work location. Pay variations by location reflect local conditions and differences in the cost of labor. At Daniels Health, we are committed to supporting our employees’ well-being, work-life balance, and career growth through a comprehensive benefit package. Eligible employees enjoy benefits such as medical, dental, and vision insurance, retirement savings plans with company match contributions, paid vacation and sick time, wellness resources, life insurance, and professional development opportunities.”

Posted 30+ days ago

D logo
Democratic GovernorsWashington, DC

$4,000+ / undefined

The Democratic Governors Association (DGA), the independent, non-profit, campaign committee responsible for electing and supporting Democratic governors, is seeking a Compliance intern for the Spring 2026 term. The DGA works closely with the state and Washington, DC offices of the Democratic governors as well as many other national Democratic and progressive organizations. DGA internships allow interested students to obtain practical political experience within the DGA Compliance Department including donor research, database maintenance, assisting with report filing, standardizing donor data, and administrative support to the department to ensure a successful operation. DGA Compliance interns are assigned a variety of projects and tasks that support the DGA. Interns mainly report to the Compliance Director for assignments and feedback, as well as regular check-in's with the Intern Coordinator who manages DGA's internship program. For the Spring 2026 term, DGA internships will be hybrid, with the option for interns located in Washington, DC to use the office on a limited basis. Selected interns are provided a program stipend of $4,000. Housing is not provided. Applicants should submit a resume and 1-2 paragraphs on why you want to work as an intern at the DGA and how you anticipate a DGA internship will benefit your career. Please include a draft work schedule at the end of your 1-2 paragraphs. Hour requirements are listed below. Potential applicants who have an interest working on Democratic campaigns or supporting Democratic campaigns are strongly encouraged to apply. No calls or emails, please. This application will remain open until the position is filled. Typical Responsibilities Assist with "Best Efforts Mailings" in reaching out to donors for compliance requirements Assist with standardizing spreadsheets of grassroots donor information Assist with database and physical filing system maintenance Assist with online donor information research for disclosure reporting Participate in the department's strategic planning meetings and all staff meetings Minimum Qualifications/Expectations Excellent punctuality and attendance; Good, professional verbal and written communication skills; Good and consistent attention to detail; Ability to cooperate and effectively communicate with a diverse staff and other interns; Ability to ask appropriate questions to gather information to complete a task on time and up to expectations; Proficiency with Microsoft Office including Outlook, Word, Excel, PowerPoint, etc.; Proficiency with other web tools such as Google Docs; Strong commitment to the principles of the Democratic Party; Strong interest in current events and national/state/local campaigns and politics; For Spring terms, remote and/or hybrid availability for a minimum of 18 hours per week is required Diversity Practices The DGA is committed to ensuring equal opportunity to participate in the internship program regardless of race, color, religion, national origin, sex, sexual orientation, marital status, age, disability, or veteran status. The DGA strongly encourages individuals from diverse backgrounds to apply to this internship. Closing The DGA Internship Coordinator can work with selected interns and their school/program to obtain course credit for this internship. The DGA offices are based in downtown Washington, DC and we are currently in a hybrid work protocol. The DGA will work with potential candidates to schedule remote interviews and process on-boarding procedures remotely, as necessary. We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

Posted 5 days ago

O logo
Old Republic Risk Management IncBrookfield, WI
Join Our Team as an AVP - Product Development & Compliance Location: Brookfield, WI Overview At Old Republic Risk Management, we don't just create insurance solutions - we engineer possibilities for businesses with complex and evolving risks. We're on the lookout for an experienced AVP - Product Development & Compliance to drive innovation, shape regulatory strategy, and lead product initiatives from our Brookfield, WI headquarters. As a pioneer in the alternative risk market since 1985, Old Republic Risk Management has built a reputation for delivering primary casualty insurance products with unrivaled flexibility. If you're ready to take ownership of compliance and product evolution while working with some of the sharpest minds in the industry, the AVP - Product Development & Compliance role might be your next big move. Duties: As an AVP - Product Development & Compliance, you'll take the lead in developing and filing rates, rules, and forms, transforming regulatory demands into seamless product launches. You'll act as a key advisor to internal teams, interpreting complex coverage requirements and ensuring every form and endorsement aligns with both compliance and business goals. You'll be the bridge between ORRM and Old Republic International Corporation, championing compliance in areas such as regulatory updates, underwriting manuals, and bureau interactions. The AVP - Product Development & Compliance is also responsible for translating regulatory changes into actionable strategies, managing specialty program compliance, and collaborating closely with IT, Legal, Actuarial, and Underwriting. In this role, your influence won't just be felt-it will be foundational to our growth. Experience: We're seeking an AVP - Product Development & Compliance who brings at least ten years of commercial casualty insurance experience, a sharp strategic mind, and a proven record of rising through the ranks. A Bachelor's degree is required, and a CPCU or similar designation is highly preferred. If you thrive on complexity, live for collaboration, and love the challenge of translating regulations into business-ready solutions, this AVP - Product Development & Compliance role in Brookfield, WI is tailored for you. Company Benefits: At ORRM, we believe that great people deserve great perks. As an AVP - Product Development & Compliance, you'll enjoy: Financial Benefits: Competitive salary Annual performance-based bonus 401k Savings & Profit-Sharing Plan with company match Roth investment options 529 Education Savings Plan Employee Referral Bonus Program Health & Insurance Benefits: Medical, dental, and vision insurance Flexible Spending & Health Savings Accounts Life and supplemental life insurance Long-term disability insurance Paid leave of absence benefits Accident & critical illness coverage Pet insurance Work-Life Balance: 37.5-hour work week Hybrid work available after training Casual business attire Generous PTO and paid holidays Volunteer opportunities and company-sponsored events Bring your expertise, your curiosity, and your leadership to a place where your work will truly make an impact. Apply now to become our next AVP - Product Development & Compliance in Brookfield, WI, and help shape the future of risk management. #LI-EA1 Old Republic Risk Management is an Equal Opportunity Employer and is committed to maintaining a diverse workplace.

Posted 30+ days ago

H logo
Haleon Plc.Saint Louis, MO
Welcome to Haleon. We're a purpose-driven, world-class consumer company putting everyday health in the hands of millions. In just three years since our launch, we've grown, evolved and are now entering an exciting new chapter - one filled with bold ambitions and enormous opportunity. Our trusted portfolio of brands - including Sensodyne, Panadol, Advil, Voltaren, Theraflu, Otrivin, and Centrum - lead in resilient and growing categories. What sets us apart is our unique blend of deep human understanding and trusted science. Now it's time to fully realise the full potential of our business and our people. We do this through our Win as One strategy. It puts our purpose - to deliver better everyday health with humanity - at the heart of everything we do. It unites us, inspires us, and challenges us to be better every day, driven by our agile, performance-focused culture. About the role The Operations Compliance Specialist serves as the compliance expert within the Operations department. This role is responsible for identifying, resolving, and improving safety and quality compliance issues, as well as driving continuous improvement in these areas. The position also ensures alignment with regulatory requirements, corporate policies, and safety practices across operations. Role Responsibilities Compliance and Quality Management: Investigate and resolve production issues, determining root causes and implementing corrective actions. Own and manage compliance records, including deviations, CAPAs, change controls, and events. Ensure compliance with SOPs, cGMP, regulatory standards, and safety protocols. Oversee quality self-inspections, develop inspection schedules, and train resources to conduct them effectively. Conduct regular compliance audits and process confirmations in assigned areas. Monitor and direct deviation teams to meet system requirements and continuously improve deviation processes. Technical Process Support: Provide expertise in the scale-up and transfer of new products or processes, ensuring alignment with operational and environmental factors. Perform reviews of protocols, risk assessments, and compliance records, ensuring thorough documentation and adherence to standards. Operational Excellence: Apply Lean Six Sigma tools to drive continuous improvement in quality, cost, safety, and cycle time. Ensure timely completion of deviations and implement necessary improvements to the deviation system. EHS Responsibilities- All Associates Know, understand, and comply with all Environment, Health, and Safety (EHS) guidelines. Report unsafe conditions, all injuries, illnesses, and hazardous materials releases. Wear personal protective equipment, attend EHS training programs, and follow all safe work procedures. Quality Responsibilities- All Associates Adhere to all Quality Compliance standards (Data Integrity, QA, QC, etc.) including QMS policy and regulatory requirements. Why you? Basic Qualifications: A minimum of a HS Diploma or GED is required. A minimum of 2 years of related experience (technical and/or deviation writing in a manufacturing environment, or other relevant experience) is required. Experience managing compliance related projects Familiarity with manufacturing operations Preferred Qualifications: A Bachelor's degree is preferred. Packaging experience is preferred. Strong knowledge of cGMPs, SOPs, OSHA/FDA/EMEA regulations. Strong interpersonal skills, effective communication, and the ability to influence others. Proficiency in Microsoft Office applications and inventory control software (SAP). Knowledge of cGMP requirements and experience in FDA-regulated environments. Demonstrated project management skills and experience with quality initiatives, including validation protocols, deviation reports, and root cause analysis. Location - this role is based in: St Louis, MO. This is not a remote opportunity. Benefits Haleon offers a robust Total Reward package that consists of competitive pay and a comprehensive benefits program. This includes a generous 401(k) plan, tuition reimbursement and time off programs including 6 months paid parental leave. On day one, you are eligible for benefits, including our healthcare programs where the company pays for the majority of your medical coverage for you and your family. We also offer the opportunity to receive a discretionary bonus based on the achievement of key business performance and other incentive/recognition programs as part of the offering. Job Posting End Date 2025-11-30 Equal Opportunities Haleon are committed to mobilising our purpose in a way that represents the diverse consumers and communities who rely on our brands every day. It guides us in creating an inclusive culture, where different backgrounds and views are valued and respected - all in support of understanding and best serving the needs of our consumers and unleashing the full potential of our people. It's important to us that Haleon is a place where all our employees feel they truly belong. During the application process, we may ask you to share some personal information, which is entirely voluntary. This information ensures we meet certain regulatory and reporting obligations and supports the development, refinement, and execution of our inclusion and belonging programmes that are open to all Haleon employees. The personal information you provide will be kept confidential, used only for legitimate business purposes, and will never be used in making any employment decisions, including hiring decisions. Please note that if you are a US Licensed Healthcare Professional or Healthcare Professional as defined by the laws of the state issuing your license, Haleon may be required to capture and report expenses Haleon incurs, on your behalf, in the event you are afforded an interview for employment. This capture of applicable transfers of value is necessary to ensure Haleon's compliance to all federal and state US Transparency requirements. Accommodation Requests If you require a reasonable accommodation or other assistance to apply for a job at Haleon at any stage of the application process, please contact us by sending an email to HR.AmericasSC-CS@haleon.com. Please include the following in your email: Use subject line: 'Haleon Careers: Job Accommodation Request' Your Name and contact information Requisition ID and Job Title you are interested in Location of Requisition (city/state or province/country) Description of specific accommodation you are requesting Please note: Resumes, CVs, or other requests outside of accommodation support submitted to this email box will not be accepted. Note to candidates The Haleon recruitment team will contact you using a Haleon email account (@haleon.com). If you are not sure whether the email you received is from Haleon, please get in touch.

Posted 2 weeks ago

G logo
Getinge GroupWayne, NJ

$165,000 - $200,000 / year

With a passion for life Join our diverse teams of passionate people and a career that allows you to develop both personally and professionally. At Getinge we exist to make life-saving technology accessible for more people. To make a true difference for our customers - and to save more lives, we need team players, forward thinkers, and game changers. Are you looking for an inspiring career? You just found it. Job Purpose: The Senior Trade Compliance Manager lead the development and execution of a robust customs compliance program with focus on US, Canada and LATAM in our global operations. The incumbent develops policy and processes, oversees operational execution, and advise leadership on trade risks and opportunities across our global supply chain. This includes applying deep technical knowledge of import and export regulations, including HS classification, customs valuation, country of origin, dual-use controls, and sanctions compliance. Key duties and responsibilities: Subject matter expert on key customs topics; valuation, classification, country of origin, and preferential trade programs, helping the organization navigate regulatory complexity while enabling efficient and compliant supply chains. Provides leadership through influence, coaching, and knowledge transfer to local operational customs teams and cross-functional stakeholders. Includes support for the following regions: US, Canada and LATAM. Strategic Oversight & Risk Management Design, implement, and continuously improve the company's customs compliance strategy in alignment with US regulations (CBP, BIS, OFAC) and international trade obligations. Identify and assess global customs risks, proposing proactive mitigation strategies and escalating issues where necessary. Serve as the primary subject-matter expert for US import and export regulations, guiding the organization through complex compliance challenges. Anticipates regulatory and market changes by monitoring global trade developments and leveraging data insights to inform business decisions.Customs Compliance Program Leadership Provide authoritative guidance on key customs compliance areas: Customs Valuation: Ensure transaction value methodologies comply with CBP regulations; aligned with FDA-regulated product pricing, intercompany transfer pricing, and R&D cost structures. Country of Origin: Oversee origin determination processes for goods, including substantial transformation analysis and supplier declarations to ensure accurate documentation and compliance. Tariff Classification: Support product classification processes using the Harmonized Tariff Schedule (HTSUS), including ruling requests and updates. Trade Preference Programs: Assess and guide utilization of free trade agreements (e.g., USMCA), duty deferral, and other benefits. Advisory and Stakeholder Engagement Serve as a strategic advisor to business leaders, providing insight on customs impacts of new product launches, sourcing changes, M&A activities, and supply chain transformations. Collaborate with legal, procurement, finance, tax, and operations teams to embed trade compliance considerations into business processes and decision-making. Ensure accuracy and integrity of trade attributes in ERP and compliance platforms (e.g., SAP GTS) to support reliable reporting and operational efficiency. Audit & Regulatory Interface Lead the company's response to CBP audits, inquiries, and enforcement actions, ensuring timely and accurate submissions. Maintain accurate records and documentation to demonstrate reasonable care standards under US customs law. Build and sustain effective relationships with regulatory authorities and external partners to support constructive, transparent engagement. Training & Awareness Develops and delivers training and communication strategies to embed compliance awareness into day-to-day operations. Promotes accountability by equipping stakeholders with practical knowledge of customs requirements and company oplicies. Monitors regulatory changes and emerging compliance trends; shares updates and implications across the business to ensure proactive compliance. Quality System Duties and Responsibilities: Build Quality into all aspects of their work by maintaining compliance to all quality requirements. Knowledge/Skills/Experience: Education & Certifications Bachelor's degree in international business, Supply Chain, Law, or a related field required. Advanced degree or US Customs Broker License preferred. Experience 8+ years in global trade compliance with a strong focus on US customs regulations - preferably in the medical device, biotech, or pharmaceutical industry. Experience with FTZ operations and dual-use or export-controlled technologies in MedTech (e.g., BIS, ITAR, ECCN classification) is advantageous. Demonstrated success advising on compliance in highly regulated, global supply chains with the ability to maintain a holistic view of both business and supply chain processes. Technical Expertise In-depth knowledge of US import regulations and key customs topics: HTS classification, country of origin, valuation, FDA import requirements, and duty/tax regimes. Familiarity with FDA-regulated imports and coordination with customs brokers and import agents for medical products. Proficiency with SAP GTS (preferred) or similar trade management systems. Knowledge of global customs regimes (e.g., EU Union Customs Code, China GAC, etc.) is advantageous. Competencies Strategic thinker with strong analytical and problem-solving skills with the demonstrated ability to manage multiple projects. Excellent communication, stakeholder management, and project leadership skills in a global setting. Self-motivated with a strong drive to improve processes and to achieve results. Strong quantitative, written, and verbal communication skills; proficient in Microsoft Office. Permissions/ Authorities: Each organization shall establish the appropriate authority, and interrelation of all personnel who manage, perform, and assess work affecting quality, and provide the independence and authority necessary to perform these tasks. Financial sign-off within a specific budget, sign-off of working contracts Supervision/Management Of Others: N/A. Internal and External Contacts: Main contacts, internal: Supply Chain Tax Legal & Compliance Main contacts, external: CBP FDA Applicable Networks Special Features/Conditions: The role requires international travel. Travel anticipated to average 20% annually but may vary depending on project needs. Disclaimer: The above information in this description is intended to describe the general nature and level of work performed. It does not contain nor is it intended to be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The salary range for this position is between $165,000-$200,000 with a 25% bonus depending on experience and location. #LI-MV1 About us With a firm belief that every person and community should have access to the best possible care, Getinge provides hospitals and life science institutions with products and solutions aiming to improve clinical results and optimize workflows. The offering includes products and solutions for intensive care, cardiovascular procedures, operating rooms, sterile reprocessing and life science. Getinge employs over 12,000 people worldwide and the products are sold in more than 135 countries. Benefits at Getinge: At Getinge, we offer a comprehensive benefits package, which includes: Health, Dental, and Vision insurance benefits 401k plan with company match Paid Time Off Wellness initiative & Health Assistance Resources Life Insurance Short and Long Term Disability Benefits Health and Dependent Care Flexible Spending Accounts Commuter Benefits Parental and Caregiver Leave Tuition Reimbursement Getinge is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, pregnancy, genetic information, national origin, disability, protected veteran status or any other characteristic protected by law. Reasonable accommodations are available upon request for candidates taking part in all aspects of the selection process.

Posted 30+ days ago

TrueCare logo
TrueCareSan Marcos, CA

$90,000 - $135,000 / year

At TrueCare, we believe that everyone deserves access to excellent healthcare. For over 50 years, we've been helping patients and families receive timely, affordable, and expert care. Joining us is just a click away. Health inside. Welcome in. Are you passionate about improving patient safety and clinical quality in community healthcare? Join our mission-driven team as a Registered Nurse Clinical Risk Manager and help ensure the highest standards of care for our patients. Your Role & Impact As the RN Clinical Risk Manager, you'll lead efforts to identify and mitigate clinical risks, enhance patient safety, and ensure regulatory compliance across our outpatient facilities. You'll oversee health plan audits, manage incident reporting systems, and collaborate with multidisciplinary teams to drive quality improvement and safeguard patient care. What We're Looking For Associate's degree in nursing Current California State Board RN License Minimum 6 years of experience in clinical risk management, preferably in outpatient settings Strong understanding of clinical processes, patient safety, and healthcare regulations Experience with health plan audits and documentation review Knowledge of CMS, HIPAA, and accreditation standards Excellent communication and interpersonal skills Strong analytical and problem-solving abilities Ability to manage multiple priorities in a fast-paced environment Why Join Us We're a mission-driven healthcare organization committed to making quality care accessible for everyone. Here, you'll have the opportunity to: Lead initiatives that improve patient safety and clinical outcomes Collaborate with dedicated professionals across departments Influence organizational practices through data-driven insights Perks & Benefits Competitive compensation Generous paid time off Low-cost health, dental, vision & life insurance Tuition reimbursement and employee assistance program Join us in building a safer, healthier future for our communities! The pay range for this role is $90,000 - $135,000 on an annual basis.

Posted 30+ days ago

Vertex Pharmaceuticals, Inc logo
Vertex Pharmaceuticals, IncArizona, LA

$166,500 - $249,800 / year

Job Description Why Join Us? Vertex is a transformative biotechnology company that creates new possibilities in medicine to transform diseases and improve people's lives. The company currently has approved products in cystic fibrosis, acute pain, sickle cell disease, and beta thalassemia. It has also developed a deep pipeline, investing billions of dollars into R&D over the past two decades. Vertex is seeking an experienced Compliance professional to join its Office of Business Integrity & Ethics (OBIE) as Associate Director, Compliance Business Partner US Pain Field Force. OBIE is responsible for the development, implementation, oversight, and continuous improvement of Vertex's Global Compliance program. This includes defining standards via policies and procedures, creating and implementing training and communications, conducting auditing and monitoring and other assurance activities, facilitating internal reporting, discretely and professionally conducting Compliance-related investigations, and keeping the CEO, the Executive Committee, and the Board of Directors informed on Compliance matters. OBIE serves as the go-to experts for Vertex employees and external stakeholders on issues relating to Vertex's Compliance program and Code of Conduct globally. The Business Partner is a remote role that provides dedicated support to the Pain Business Unit Field Force West Region in the US and supports key OBIE departmental initiatives, projects, and needs. This will involve serving as the Compliance representative on cross-functional teams, supporting new product planning and launches, and leading project-based activities. The Business Partner will collaborate with the Training and Communications team on regular communications as well as substantive trainings on Compliance policies and procedures and will support auditing and monitoring activities by the OBIE Assurance team. This role supports and reports to the Executive Director, Senior OBIE Business Partner Global/North America, collaborates closely with the OBIE Business Partner for the Pain Business Unit, and works closely with OBIE Global, North America, and International colleagues to implement and continuously improve our Compliance program. The Business Partner must have strong, demonstrated knowledge of pharmaceutical industry laws and regulations, including the Food, Drug, and Cosmetic Act, Anti-Kickback Statute, False Claims Act, and the Foreign Corrupt Practices Act and experience working for biotechnology/pharmaceutical companies on these issues. Additionally, the Business Partner will work collaboratively with colleagues in OBIE, Legal, and the business to drive a culture of ethics and integrity across Vertex's global organization. If you thrive in a dynamic, fast-paced, hands-on, and team-oriented environment where you can have a big impact on patients in need, their communities, and our organization, we'd love to speak with you! Job Summary Based in the US as a remote role, advise the US Pain Field Force West Region on initiatives in a way that advances the company's strategy while identifying and mitigating risk and protecting the company's integrity and reputation. Provide timely, practical, and effective oversight, guidance, and direction for business colleagues and identify areas where Compliance input and attention are required. Serve as the Compliance representative on cross-functional teams, providing strategic and tactical guidance and advice on projects and initiatives to drive fact- and risk-based decision making. Conduct field rides with sales representatives and field leadership to ensure compliant tactical execution and provide coaching and training as necessary. Collaborate with the OBIE Training and Communications team on substantive trainings and regular communications on Compliance policies, procedures, and areas of risk. Maintain a high level of knowledge of current and emerging laws, regulations, codes, and recent enforcement actions across the US and inform and educate business colleagues with tailored communications and trainings. Develop and maintain strong relationships and collaborate frequently with Legal, Human Resources, Internal Audit, and colleagues in other functional areas both in and outside of the US. Help to establish standards and implement procedures to ensure the Compliance program is effective and efficient. Support continuous improvement of the Global Compliance program. Qualifications, Professional Skills, and Preferred Experience 5-7 years Compliance business partnering experience providing advice in the biotechnology/pharmaceutical industry, including both in-house at a global biotechnology or pharmaceutical company or a combination of external and in-house experience. Advanced knowledge of statutes, regulations, and guidance documents applicable to Field Force activities, including the Food, Drug, and Cosmetic Act, FDA regulations and guidance, federal and state anti-kickback statutes, OIG guidance documents and advisory opinions, the False Claims Act, and the PhRMA Code and extensive experience providing counsel on these topics. Demonstrated commitment to Compliance, ethics, and accountability. Outstanding ability to effectively communicate sound advice coupled with a strong understanding of business needs. Flexibility to work in a fast paced and dynamic work environment with a strong work ethic and positive attitude. Ability to travel on an as-needed basis. Law degree preferred but not required. High level of proficiency in MS Office (especially PowerPoint, Word, and Excel). Personal Attributes Consummate team player with excellent judgment and interpersonal skills. Ability to communicate, present, and train effectively with all levels of management and employees. Demonstrated experience taking ownership of issues and providing timely, practical, and actionable guidance. Strong oral and written communication and influencing skills and the ability to collaborate cross-functionally proactively and pragmatically. Strong analytical, organizational, and problem-solving skills. Excellent project management skills with the ability to manage multiple priorities simultaneously. Self-starter with demonstrated leadership skills and ability to meet goals; able to exercise sound judgment in balancing risks in ambiguous and complex situations and escalating matters appropriately. Demonstrated ability to identify areas for improvement in controls, systems, and processes and implement effective solutions. Ability to work with large amounts of data to analyze information while still seeing the "big picture." Confidence and professionalism to handle difficult conversations and discretion on sensitive matters. #LI-DB1 #LI-HYBRID #LI-REMOTE Pay Range: $166,500 - $249,800 Disclosure Statement: The range provided is based on what we believe is a reasonable estimate for the base salary pay range for this job at the time of posting. This role is eligible for an annual bonus and annual equity awards. Some roles may also be eligible for overtime pay, in accordance with federal and state requirements. Actual base salary pay will be based on a number of factors, including skills, competencies, experience, and other job-related factors permitted by law. At Vertex, our Total Rewards offerings also include inclusive market-leading benefits to meet our employees wherever they are in their career, financial, family and wellbeing journey while providing flexibility and resources to support their growth and aspirations. From medical, dental and vision benefits to generous paid time off (including a week-long company shutdown in the Summer and the Winter), educational assistance programs including student loan repayment, a generous commuting subsidy, matching charitable donations, 401(k) and so much more. Flex Designation: Remote-Eligible Flex Eligibility Status: In this Remote-Eligible role, you can choose to be designated as: Remote: work remotely five days per week and come into the office on occasion - you're always welcome on-site; or select Hybrid: work remotely up to two days per week; or select On-Site: work five days per week on-site with ad hoc flexibility. Note: The Flex status for this position is subject to Vertex's Policy on Flex @ Vertex Program and may be changed at any time. Company Information Vertex is a global biotechnology company that invests in scientific innovation. Vertex is committed to equal employment opportunity and non-discrimination for all employees and qualified applicants without regard to a person's race, color, sex, gender identity or expression, age, religion, national origin, ancestry, ethnicity, disability, veteran status, genetic information, sexual orientation, marital status, or any characteristic protected under applicable law. Vertex is an E-Verify Employer in the United States. Vertex will make reasonable accommodations for qualified individuals with known disabilities, in accordance with applicable law. Any applicant requiring an accommodation in connection with the hiring process and/or to perform the essential functions of the position for which the applicant has applied should make a request to the recruiter or hiring manager, or contact Talent Acquisition at ApplicationAssistance@vrtx.com

Posted 3 weeks ago

Freshfields Bruckhaus Deringer logo
Freshfields Bruckhaus DeringerRaleigh, NC

$165,000 - $190,000 / year

Overview of the Function The Firm Freshfields is a major international law firm, providing business law advice of the highest quality. We want to be the law firm that clients turn to for legal advice where it matters most, wherever in the world that may be. The Firm has over 2,800 lawyers around the world, providing a comprehensive service to national and multinational corporations, financial institutions and governments. Our people make our firm - we are a people business and want to create a welcoming and supportive environment where all can flourish. We see diversity as a strength which creates fresh perspectives and generates new ideas. We enjoy our work and are determined to do an outstanding job. We deliver best when working in teams. We think and work globally - we don't just say we are one firm; we act like one firm right across the world. We work wherever our clients need us. This is how we define ourselves, not by reference to where we have offices. Cross-border work isn't just what we do, it is what we excel at. We understand what it really takes to work across different legal systems and commercial environments and to bridge language and cultural gaps. We aim to add value in everything we do - we are passionate about helping our clients succeed. We use our experience and creativity to help clients make judgements and achieve their goals. In everything we do, we seek to make a real difference to the communities in which we operate. The Legal Department This department, made up of both qualified lawyers and non-lawyers, exists to manage the firm's risk exposure and to provide advice to the firm on a range of legal and compliance issues. The role of the Legal Department is to support the firm in pursing the effective management of regulatory, legal, operational, and information security risk so as to preserve and maximize the value of the firm over the long term. We do this by taking responsibility for a range of actions, by sharing in the performance of others and by assisting partners and staff to manage risk themselves through training, awareness raising and the provision of relevant intelligence, services and materials. Our vision is for our department to be recognized as a leader amongst comparable, elite, law firms. That means being acknowledged internally as providing an excellent service in a commercial and empathetic manner. It means adequately meeting the needs of the firm while remaining agile and cost effective; constantly refining our techniques, objectives and ways of working to respond to changes in the business and the threats we face. Role summary/purpose of job The Risk & Compliance Lawyer plays a key role as a member of the firm's Legal Department, which manages the firm's risk exposure and provides advice to the firm on a range of legal and compliance issues relating to business acceptance (including conflicts of interest, confidentiality, client due diligence, sanctions issues, reputational and commercial risk) as well as other issues, such as contracting, commercial risks, client engagement terms, local ethical and regulatory issues, and firm policies and practice. Key responsibilities and deliverables As a member of the Legal Department's US team, the Risk & Compliance Lawyer will have the following responsibilities: Advise the partnership on business acceptance issues relating to conflicts of interest, confidential information, reputational risk and sanctions issues globally, to assess the business suitability of potential new matters and new clients; Undertake due diligence and reputational risk assessment of new clients and matters; Assist the partnership with solutions to resolve conflicts, confidentiality, reputational and commercial risk, anti-money laundering (AML) compliance and sanctions issues including assistance with drafting waivers and maintaining information barriers; Answer questions from partners, associates and staff at all levels across the firm regarding US law, regulations and firm policies pertaining to conflicts of interest, ethics and regulatory compliance; Review and advise on client engagement letters and outside counsel guidelines, particularly with respect to conflicts of interest and US applicable law and regulation; Advise the partnership on ad hoc queries relating to ethics and regulatory compliance including audit letters, securities dealing, anti-bribery regulations, outside appointments, qualification and practice of law, attorney advertising, fee-sharing and other fee arrangements; Assist in review of incoming lateral hires for potential conflicts of interest; Remain current on the type of work that Freshfields undertakes across all sectors and join a sector team in at least two sectors building strong and trusted relationships with Sector Group Leaders; and Understand the regulatory frameworks the firm operates in globally, particularly developments in New York, DC, California and the US nationally, and the Firm's client base; Develop and maintain close working relationship with all members of the Legal Department to ensure operation in a consistent and global manner; Assist with training to the firm on risk issues (including New Hire Induction Training and Intapp system training) and be an ambassador for the Legal Department within the wider firm; and Assist with the development and implementation of business acceptance processes as part of Legal Department and firm-wide programs. Key requirements This is a hybrid role requiring in office presence three days per week in Freshfields New York, Raleigh or DC office; Must hold a law degree and be admitted to practice law in the US; Must be used to working to very high standards of accuracy and efficiency, but balanced with a practical, common sense approach; Must be able to give clear and commercial advice succinctly (verbally and in writing) on complex issues; Must have excellent drafting skills; Must have a meticulous approach to maintaining concise, up-to-date and accurate records of matters dealt with and advice provided; Must be able to influence and liaise with all levels of both legal and support staff to resolve complex issues including delivering difficult messages on occasion; Must be able to manage a workload of key projects as well as day-to-day queries; Must have a high level of IT skills, including familiarity with applications such as Word, Outlook and Excel as well as web-based and general research skills; and Must be willing to work out of hours (including weekends) and travel as needed to serve the requirements of the global firm. Essential Strong analytical skills and ability to grasp relevant issues quickly and to understand complex conflicts and regulatory issues, within a commercial context; Combination of confidence, presence and a diplomatic manner; Reputation as a proactive problem solver, who applies pragmatic commercial thinking to every issue, and always strives to identify workable solutions that conform with the firm's regulatory obligations, and are aligned with its business priorities; Fast thinker, quick learner who is able to work efficiently and assess options thoroughly; Excellent communicator who articulates advice confidently and succinctly; Demonstrates high level of confidentiality, integrity and professionalism Positive can-do attitude, enthusiasm and the ability to perform; Team player who others respect and enjoy working with; Superb organizational skills complemented by the ability to prioritize and multi-task effectively; Commitment to continuous improvement in a personal and departmental context and willingness to recommend or embrace change to achieve the firm and department's objectives; Ability to strategically identify new systems and procedures to improve the quality and efficiency of the department (e.g. new and creative solutions to common problems, suggesting policy updates or drafting FAQs); and Diplomatic and professional demeanor with an understanding of how to influence and operate across a global firm including the local, cultural, client, practice or market-specific nuances or considerations that inform the work of the Legal Department as a whole. Desirable At least 4 years' experience working as a qualified lawyer within a leading international law firm; Experience working as a lawyer in the compliance, conflicts, risk management or business acceptance department of a large or international law firm or similar background in risk management or professional responsibility/attorney ethics; and Experience working in a large international team based across a number of locations. For individuals assigned and/or hired to work in New York and California or reporting to someone in those states, Freshfields is required by law to include a reasonable estimate of the compensation range for this role. This compensation range is specific to the States of New York and California and takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled, and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $165,000 to $190,000. EEO Statement Freshfields US LLP is proud to be an equal employment employer. Our policies and practices will be free from unlawful discrimination based upon race, color, ethnicity, religion, creed, sex (including pregnancy, childbirth or related medical conditions), national origin, citizenship, immigration status, ancestry, age, marital status, protected veteran status, military service, disability, medical condition, genetic information, sexual orientation, gender identity, or any basis prohibited under federal, state or local law. We strive to promote an atmosphere that encourages equal opportunities and prohibits discriminatory practices, including sexual harassment. Disability Accommodation for Applicants to Freshfields US LLP Freshfields US LLP is an Equal Employment Opportunity employer and provides reasonable accommodation for qualified individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at BusinessServicesRecruitment@Freshfields.com , or you can send your resume to BusinessServicesRecruitment@Freshfields.com , or you can call us at +1-212-277-4000.

Posted 4 weeks ago

Brown and Caldwell logo
Brown and CaldwellPhoenix, AZ

$28 - $46 / hour

As the Insurance Compliance Specialist, you will support the Corporate Insurance Manager and Pursuit and Project Delivery teams with commercial insurance matters, primarily subcontractor insurance compliance. You will interact daily with internal clients, collaborate with other Legal Department staff, and you may engage with subcontractor representatives and insurance brokers. You will use your interpersonal, analytical, and critical thinking skills to review insurance requirements, evaluate and track compliance based on contractual requirements and company best practices, provide guidance on internal insurance-related processes, assist with subcontractor qualification, and maintain applicable Legal Dept. workflows, databases, and/or digital files. BC has a flexible remote work arrangement policy. This position may be filled near any BC office, preferably Walnut Creek. The Legal Department of Brown and Caldwell (BC) seeks an Insurance Compliance Specialist to conduct comprehensive reviews of subcontractor insurance documents, evaluate for compliance with BC and external client requirements, assist with subcontractor qualification efforts, and assist project teams in addressing requests for BC and/or subcontractor insurance documents. The candidate will employ demonstrated commercial insurance experience to review subcontractors' certificates of insurance (COIs) and policy endorsements, collaborate with Project Delivery teams toward subcontractor compliance with applicable requirements, including providing guidance in accordance with BC guidelines and Best Practices, and when requested, administer BC COI requests. The candidate will assist in the administration of BC's subcontractor qualification process, reviewing legal and insurance-related documents, providing guidance to project teams, subcontractor representatives, and external supplier risk vendors (e.g., Avetta, ISNetWorld). The candidate will monitor subcontractor qualification status, assisting the Insurance Manager in addressing variance requests. The candidate will be responsible for monitoring, managing, and updating all internal subcontractor insurance compliance-related workflows and digital files. Desired Skills and Experience: Familiarity with engineering- and construction-related commercial insurance policy types, coverage limits, and risk exposures. Familiarity with ACORD form certificates of insurance and standard policy endorsements. Foundational understanding of contract terms and conditions. Ability to maintain confidentiality of sensitive business matters. Detail-oriented with strong organizational skills and ability to follow through. Strong interpersonal skills with ability to maintain internal and external client relationships. Excellent verbal and written communication skills. Ability to manage and prioritize multiple responsibilities with minimal supervision. Proficiency in Microsoft Office and an aptitude for technology. 5+ years' experience Bachelor's Degree a plus Salary Range: The anticipated starting pay range for this position is based on the employee's primary work location and may be more or less depending upon skills, experience, and education. These ranges may be modified in the future. Location A: $27.90 - $38.30 Location B: $30.70 - $42.20 Location C: $33.50 - $46.00 You can view which BC location applies to you here. If you have any questions, please speak with your Recruiter. Benefits and Other Compensation: We provide a comprehensive benefits package that promotes employee health, performance, and success which includes medical, dental, vision, short and long-term disability, life insurance, an employee assistance program, paid time off and parental leave, paid holidays, 401(k) retirement savings plan with employer match, performance-based bonus eligibility, employee referral bonuses, tuition reimbursement, pet insurance and long-term care insurance. Click here to see our full list of benefits. About Brown and Caldwell Headquartered in Walnut Creek, California, Brown and Caldwell is a full-service environmental engineering and construction firm with 50 offices and 2,100 professionals across North America and the Pacific. For 75 years, we have created leading-edge environmental solutions for municipalities, private industry, and government agencies. We strive to be the company of choice-to our clients, who benefit from our passion for delivering exceptional quality, and to our employees, present and future, who share our commitment to client service, collaboration, and innovation. Join us, and you will find a home where you can do your best work, reach new levels of expertise, and enjoy exceptional development opportunities. For more information, visit www.brownandcaldwell.com This position is subject to a pre-employment background check and a pre-employment drug test. Notice to Third Party Agencies: Brown and Caldwell does not accept unsolicited resumes from recruiters or employment agencies. In the event a recruiter or agency submits a resume or candidate without a previously signed agreement and approved engagement request with Brown and Caldwell, Brown and Caldwell reserves the right to pursue and hire those candidate(s) without any financial obligation to the recruiter or agency. Brown and Caldwell is proud to be an EEO/AAP Employer. Brown and Caldwell encourages protected veterans, individuals with disabilities, and applicants from all backgrounds to apply. Brown and Caldwell ensures nondiscrimination in all programs and activities in accordance with Title VI of the Civil Rights Act

Posted 1 week ago

Lonza, Inc. logo
Lonza, Inc.Portsmouth, NH
Today, Lonza is a global leader in life sciences operating across five continents. While we work to deliver new therapies, we also support our employees in building rewarding careers. Join us and help shape the future of life sciences. The actual location of this job is on site in Portsmouth, NH. As a QA Specialist II - Raw Materials Compliance, you will support the operational compliance of the raw material lifecycle, including receipt, storage, handling, testing, dispensing, and disposition. You will also assist with final product storage and shipping logistics. This role is a developing Subject Matter Expert (SME) in cGMP documentation review and approval for raw materials, working closely with Supply Chain, Quality Control, and Manufacturing teams. What you will get: An agile career and dynamic working culture. An inclusive and ethical workplace. Compensation programs that recognize high performance. Medical, dental, and vision insurance. Our full list of global benefits can be found here: https://www.lonza.com/careers/benefits . What you will do: Perform SAP transactions and other quality functions to support raw material lifecycle. Provide on-the-floor support for raw material requests, including inspection and labeling. Review material documents for disposition to ensure timely release. Review and approve SOPs, work instructions, and validation documents in DMS. Review and approve records in QMS (e.g., investigations, change controls, CAPAs). Collaborate with Supply Chain, Quality Control, and Manufacturing for raw material support. Participate in projects and routine meetings with minimal guidance. What we are looking for: Associate's degree in life sciences required; equivalent experience considered. 0-4 years of experience in Quality Assurance or GMP environments. Knowledge of GMP regulations and raw material compliance preferred. Familiarity with SAP, TrackWise, and Microsoft Office Suite preferred. Strong communication skills and ability to manage changing priorities. Attention to detail and ability to work independently and in teams. Business-fluent English required. About Lonza At Lonza, our people are our greatest strength. With 30+ sites across five continents, our globally connected teams work together every day to manufacture the medicines of tomorrow. Our core values of Collaboration, Accountability, Excellence, Passion and Integrity reflect who we are and how we work together. Everyone's ideas, big or small, have the potential to improve millions of lives, and that's the kind of work we want you to be part of. Innovation thrives when people from all backgrounds bring their unique perspectives to the table. At Lonza, we offer equal employment opportunities to all qualified applicants regardless of race, religion, color, national origin, sex, sexual orientation, gender identity, age, disability, veteran status, or any other characteristic protected by law. If you're ready to help turn our customers' breakthrough ideas into viable therapies, we look forward to welcoming you on board. Ready to shape the future of life sciences? Apply now.

Posted 5 days ago

Hub International logo
Hub InternationalSan Diego, CA

$160,000 - $180,000 / year

ABOUT US At HUB International, we are a team of entrepreneurs. We believe in protecting and supporting the aspirations of individuals, families, and businesses. We help our clients evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees to learn, grow, and make a difference. Our structure enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence. HUB is one of the largest global insurance and employee benefits broker, providing a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and almost 20,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business while mitigating risk and enhancing the SEC compliance infrastructure. Job Summary: The Chief Compliance Officer for Retirement and Private Wealth will be responsible for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing and developing SEC compliance programs and infrastructure. This includes conducting mandatory SEC annual risk assessments and establishing and enforcing the Code of Ethics. A key initiative is identifying, recommending and implementing compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program. Responsibilities: Compliance Aid in the administration and follow up of the firm's Code of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; Recommend workable action plans for identifying and correcting material compliance weaknesses; Keep up to date with new regulatory requirements and ensure communication of best practices/new rules to appropriate staff within the Firm. Assist in preparing an annual written report to leadership on the operation, adequacy, and effectiveness of the policies and procedures which support Rule 206(4)-7. Email surveillance / personal trade reviews / marketing material reviews Develop and support SEC compliance training and education initiatives for RPW RIAs. Assist in document collection related to internal and external examinations by auditors and regulators; Be responsive to RPW business inquiries and requests; Run point on ad hoc regulatory projects and other requirements as necessary. Compliance Operational Manage the annual ADV process including data collection and completion of the ADV forms with support of operations and advisor staff. Participate in the investment due diligence process for SEC compliance and/or operational reviews as needed Requirements: Must possess a Juris Doctor (JD) degree and demonstrate a strong understanding of legal principles relevant to corporate governance, compliance, and strategic business initiatives. 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial services firm or in-house Legal team. Experience leading a team and preferably, leading a function as the senior leader of that function Solid familiarity with investment advisor business activities Experience developing, monitoring, and enforcing appropriate policies and procedures. Ability to confront difficult issues and challenge others when necessary. Excellent verbal and written communication skills, particularly the ability to clearly communicate technically complex SEC regulatory developments, issues, and analysis in actionable ways. The ability to meet tight deadlines and prioritize a varied workload and competing priorities in a fast-paced, and at times unpredictable or demanding environment. Public speaking as well as oral presentation and written skills a plus. Strong negotiating and conflict resolution skills. Collegial and collaborative approach to working effectively with others to build strong professional relationships both inside and external to HUB RPW. Outstanding organizational skills, including prioritization and follow-up. JOIN OUR TEAM Do you believe in the power of innovation, collaboration, and transformation? Do you thrive in a supportive and client focused work environment? Are you looking for an opportunity to help build and drive change in a rapidly growing and evolving organization? When you join HUB International, you will be part of a community of learners and doers focused on our Core Values: entrepreneurship, teamwork, integrity, accountability, and service. Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington states: The expected salary range for this position is $160,000 to $180,000 and will be impacted by factors such as the successful candidate's skills, experience and working location, as well as the specific position's business line, scope and level. HUB International is proud to offer comprehensive benefit and total compensation packages which include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits such as vacation, sick, and personal days, and eligible bonuses, equity and commissions for some positions. Department Legal Required Experience: 10-15 years of relevant experience Required Travel: Up to 25% Required Education: Bachelor's degree (4-year degree) HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations. E-Verify Program We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.

Posted 1 week ago

R logo
R.J. CormanLexington, KY
Accountability: Coordinates policies, programs, and procedures in the Maintenance of Way/Engineering & Mechanical areas of FRA Compliance and employee safety across all R. J. Corman railroad properties and affiliates. Maintains data tracking and processing for FRA 243 requirements, all applicable employee trainings for the Maintenance of Way department. Responsibilities: Implements and coordinates safety training programs for employees as determined by management, including new hire and annual refresher training. Maintains all required FRA Safety policies, programs, and training in compliance with FRA 243 requirements for all engineering employees, including signal systems & communications. Assists in executing training materials to address: Changes in FRA or other Federal/State agencies regulations that involve the rail industry. Changes in standards of intersecting railroad companies that our company shares interchange and trackage rights with. Changes in company-specific operating procedures. Organizes and maintains digital and physical records relating to employee training, classroom testing, on the job training, and other information required by the company and federal agencies. Enters and analyzes new hire and active employee records in QualPro (employee testing and training software) Keeps management informed of any employee certification requirements and impending expirations. Ensures departmental compliance with all laws, regulations and company policies as it relates to employee safety and FRA compliance. Provides regular reports and data for the department, including reports of track-related derailments, HFIs, injuries, and First Aid incidents. Maintains physical and digital documentation of the department's overall safety, health, and environmental program and training program; assist in achieving department-specific annual goals for the improvement and maintenance of safety and training standards. Coordinates relationships within R. J. Corman Railroad Group and its operating subsidiaries to implement operational and safety best practices across the company. Meets defined deadlines and thrives in fast paced work environment. Performs other duties as assigned. Specialized or Technical Knowledge, or Education and Experience: Three to five years of experience in administrative duties, process ownership, data management. Willingness to gain a working understanding of FRA Safety policies, programs, and training in compliance with FRA 243 requirements. Excellent problem-solving skills Self-motivated with good interpersonal communication skills Proficient in Microsoft Office applications, including Outlook, Teams, Word, Excel, PowerPoint, etc. Physical Requirements: Limited lifting, no greater than 20 pounds in the movement of office materials and equipment. This position requires the employee to sit for extended periods of time. Hand and finger dexterity for use of keyboard skills Environmental Conditions: Most work is conducted in an office environment with limited exposure to warehouse/distribution centers and outside construction/derailment sites. Occasional exposure to weather elements and construction activity, requiring appropriate PPE. R. J. Corman Railroad is an Equal Employment Opportunity (EEO) and Affirmative Action employer that is committed to a safe and drug-free workplace. R. J. Corman performs pre-employment criminal background checks and substance abuse testing, which includes a urine drug test to detect the presence of illegal drugs. We appreciate your cooperation in keeping R. J. Corman a safe and drug-free company.

Posted 30+ days ago

Z logo
ZipNew York City, NY

$160,000 - $180,000 / year

Lead the development of critical compliance systems using .NET and Azure, with a focus on underwriting, lending, and financial regulatory frameworks while driving adoption of AI to accelerate engineering workflows and enhance delivery insights. Champion engineering excellence through mentorship, collaboration with Legal and Risk teams, and execution of complex projects in a regulated, high-performance environment. Remote-first opportunity for US-based employees with the option to work in-person out of our Manhattan office Start your adventure with Zip As our Compliance Engineering Manager, you'll lead a high-impact team building and scaling critical systems that keep us ahead of financial regulatory requirements. You'll bring clarity to complexity, drive strategic execution, and foster a culture of excellence and innovation - including unlocking the power of AI tools to accelerate engineering delivery and insight. At Zip, we're redefining the future of financial technology - building platforms that empower businesses and consumers to transact with trust, speed, and security. In a world where regulation, compliance, and innovation intersect, we're seeking passionate technologists who want to move fast and get things right. Join a performance-driven culture that doesn't compromise on integrity. If you're excited about building systems that regulators trust, auditors review, and customers rely on - this is your opportunity to lead where it matters most. Interesting problems you'll get to solve Own and lead development of compliance systems supporting how we underwrite and lend. Think UDAAP, Adverse Actions and Do no harm. Design and implement robust backend platforms using .NET and Azure Cloud technologies. Mentor and coach engineers - fostering a team culture of autonomy, creativity, and continuous learning. Drive AI adoption across the team: identify and integrate AI-based tools and workflows (e.g., for code reviews, testing, delivery insights, documentation) to increase speed, accuracy, and productivity. Partner cross-functionally with Legal, Security, Risk, and Product teams to convert compliance requirements into scalable technical solutions. Execute with excellence on complex, high-stakes projects in a regulated, performance-driven environment. Utilize tools like Jellyfish to improve transparency, delivery velocity, and engineering effectiveness. Create clarity from ambiguity, leading your team through evolving compliance needs with confidence and focus. What you'll bring to the team 10-15 years of software engineering experience, including strong backend and systems expertise. 3+ years managing high-performing engineering teams. Expert-level knowledge of .NET and hands-on experience with Azure Cloud platforms and services. Deep experience building or maintaining compliance-critical systems in fintech or regulated industries. Proven track record of implementing controls and architectures aligned with financial compliance frameworks (e.g., SOC 2, SOX, AML). Experience driving adoption of AI-based development tools, and a strong understanding of their potential and limitations. Excellent communication and leadership skills - able to build trust across technical and non-technical stakeholders. Bias for action, clarity, and continuous improvement. Bonus points if you have Experience with payments infrastructure, BaaS, or embedded finance. Familiarity with secure SDLC, DevSecOps, or continuous compliance automation. Background in integrating KYC, AML, or transaction monitoring systems. Prior experience with tools like Jellyfish, Copilot, Cursor, or internal LLM integrations. What you'll get in return Zip is a place where you'll get out what you put in. The newness of our sector means we need to move at pace and embrace change, and our promise to you when you join the team is that you'll feel empowered and trusted to make big things happen quickly. We want you to feel welcome and as though you have the support to be yourself, and care for yourself at work. Because it's important to us that you make the most of the opportunities you'll get to grow your skills and your career, and be surrounded by smart, friendly people and leaders that have your back. We think these are just some of the best things about being a Zipster. We will also offer you: Flexible working culture Incentive programs 20 days PTO every year Generous paid parental leave Leading family support policies 100% employer covered insurance Beautiful Union Square office with a casual dress code Learning and wellness subscription stipend Company-sponsored 401k match Zip is committed to a straightforward and transparent pay structure. The actual base salary will be determined by various individualized factors, including job-related knowledge, skills, experience, location, internal equity, as well as other objective business considerations. The annual base Pay Range for this position is $160,000 - $180,000 This range reflects our US national compensation (USN). Additional premium percentages may apply based on our tiered premium strategy. Subject to those same considerations, the total compensation package for this position may also include other elements, including a bonus and/or equity awards, in addition to a full range of medical, financial, and/or other benefits. If hired, employees will be in an 'at-will position' and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors. Be a part of a team that reflects the diversity of our customers We pride ourselves on being a workplace that provides equal opportunities to people of all ages, cultural backgrounds, sexual orientations, gender identities, abilities, veteran status, and everything else that makes you unique. Equally, we're committed to ensuring our recruitment processes are accessible and inclusive. Please let us know If there are any adjustments that need to be made to ensure you have a fair and equitable experience. And finally…get to know us Zip Co Limited (ASX: ZIP) is a digital financial services company, offering innovative, people-centered products. Operating in two core markets- Australia and New Zealand (ANZ) and the US, Zip offers access to point-of-sale credit and digital payment services, connecting millions of customers with its global network of tens of thousands of merchants. We're proud to be a values-led business and our values- Customer First, Own it, Stronger Together and Change the Game - guide us in everything we do. I acknowledge by clicking "Submit Application", that the information provided is true and correct. I also understand that any willful dishonesty may render for refusal of this application or immediate termination of employment. By providing your information, you acknowledge that you have read our Zip Applicant and Candidate Privacy Notice and authorize Zip to process your data subject to those terms. Zip participates in the federal government's E-Verify program Before you apply, give Zip a try -> rebrand.ly/check-zip-out We are a proud 2025 Circle Back initiative employer and will respond to every applicant.

Posted 30+ days ago

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Genesee & Wyoming Inc.Jacksonville, FL
SUMMARY: The person in this position provides critical support to operating railroads by facilitating and overseeing compliance programs and safety initiatives. Responsibilities are carried out in accordance with procedures and safety standards established by the FRA, DOT, FMCSA, and company policy. The position also plays a proactive role in advancing the company's safety goals, objectives, and strategies. RESPONSIBILITIES: Work closely with the FRA, DOT, and FMCSA to ensure compliance with all regulatory requirements. Participate in and audit accident and injury investigations, railroad inspections, and risk assessments, and provide feedback to the operations and compliance leadership. Support the administration of the company's on-the-job-injury policy and incident reporting processes. Assist in implementing divisional and corporate safety initiatives and policies. Conduct regular safety inspections on assigned railroad properties for conformance with safety standards Interface with and assist other departments within G&W to ensure compliance with regulatory programs and operating rules. Interact with federal, state, and local agencies when necessary Contribute to the development and implementation of safety programs that promote a safe work environment. Ensure the knowledge sharing of safety best practices across departments; develop and monitor safety standards to ensure adherence to them Demonstrate exemplary safety behavior and foster a culture of safety through effective leadership. Manage other projects and perform other duties as assigned. REQUIRED SKILLS AND/OR EXPERIENCE: High level of analytical problem-solving ability Excellent communication, team building, and leadership skills Experience with rail transportation operations Ability to manage cross-functional teams Safety-training experience, including knowledge and understanding of General Code of Operating Rules (GCOR) railroad operating and safety rules. Willingness to travel and provide remote site support within the region Flexibility to assume assignments with little or no notice and outside normal work hours REQUIRED EDUCATION AND/OR CREDENTIALS: High school diploma or GED; associate degree preferred At least six years of experience in a health and safety or systems safety role within the rail transit or rail transportation industry At least two years in a safety supervisor or manager level role Knowledge of FRA (Federal Railroad Administration) rules and regulations This position is employed by the specific entity set forth in the job posting. Genesee & Wyoming Inc. and its subsidiary companies do not discriminate in employment on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or any other protected status under federal, state or local laws.

Posted 6 days ago

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Texas Capital Bancshares, Inc.Dallas, TX
Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow. While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships. Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO). Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at www.texascapitalbank.com. Brief Overview of Position Reporting to Chief Compliance Officer (CCO) for TCBI Securities, Inc., the Director of Compliance assists the CCO with the design, development, delivery and maintenance of the investment bank's overall compliance program and acts as an independent compliance partner to the business divisions within the investment bank including sales and trading, M&A advisory, capital markets, municipal finance, swaps/derivatives/FX, equity research and operations. As a senior member of the Investment Bank's compliance team, the Director of Compliance Officer will be actively engaged with multiple businesses lines to provide compliance advice, monitoring and oversight of the firm's compliance program. This position is an on-premises role at the firm's Dallas, Texas headquarters. Responsibilities Design, develop, execute and oversee an effective Compliance Program by enabling the identification, operationalization, and communication of applicable federal and state regulations Foster an understanding of associated risks across the entire organization and implementation of suitable risk mitigation strategies Oversee the design and effectiveness of the business (first-line) and independent risk management (second-line) controls to mitigate compliance risks Act as a trusted advisor, provide advice and guidance to senior management on the implications of compliance trends and issues affecting the firm and partner with senior management to implement the firm's compliance program. Provide guidance to the relevant business (first-line) and independent risk management (second-line) concerning suggested policies, procedures, practices and controls Update/synchronize the firm's written policies, procedures and documents including the written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same. Prepare Firm Element Continuing Education content and deliver to Associated Persons and track staff compliance with Regulatory and Firm Element training requirements. Research applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with the rules. Manage a team of subject matter experts from time to time Drive and influence compliance enhancements at all levels of the business consistent with the enterprise's risk profile Act as a key liaison during regulatory exams, internal audits, and independent testing Assist in the execution of and act as key advisor for the firm's Regulatory Compliance Risk Assessments Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program Prepare and deliver FINRA Firm Element Continuing Education training Maintain knowledge of applicable rule changes and latest industry guidelines and best practices Manage departmental expenses and annual budget Recruit, train, and retain talent within the department Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment Manage and execute multiple complex projects within the required timelines Qualifications Bachelor's degree (preferred in Finance, Accounting, Business, or Analytics, Computer Science); or equivalent combination of education, training, experience Possess a minimum ten (10) years of experience in the financial services industry, specifically, within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or RIA. Have Knowledge of financial products and services offered by investment bank, particularly FX, swaps and other OTC derivatives, and be a subject matter expert in applicable federal and state securities laws, rules regulations, and those of relevant SROs. Hold Series 3, 7, 9/10, 24, 53, 57 and/or JD a plus. Possess excellent oral and written communication, the ability to influence all levels of management and external partners, skills with the ability to dispassionately manage challenging and/or confrontational interaction with firm personnel, clients and regulators. Be Team-orientated, while able to complete tasks independently. Possess experience with equity sales and trading surveillance, market manipulation, trade reporting and responding to related regulatory inquiries. Be Motivated, diligent, conscientious, highly organized, detail-oriented and able to drive tasks to completion. Hold a bachelor's degree in finance, economics, accounting, business administration a plus. Be Self-motivated, well organized, and detail-oriented so as to handle complex and concurrent assignments High degree of integrity, strong work ethic, and an ability to work independently while leading a team of compliance professionals Possess Problem-solving skills, with a strong analytical and data-driven work style The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.

Posted 2 weeks ago

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Interactive Brokers Group Inc.Greenwich, CT
Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is a hybrid role (3 days in the office / 2 days remote). About your team: The Interactive Brokers Global Tax Team serves an important role in the success of our business. We mitigate risk and create value for our business and our customers. We partner with many functions across the company, including Accounting, Treasury, Technology, Client Service and Marketing, to assist our business in achieving our commitment to delivering value through technological innovation and providing our clients with unprecedented access to global markets at the lowest cost. The Global Tax Team sets the tax policy for the company and identifies, develops, implements, and manages tax strategies to help minimize our overall tax cost. We advise clients on the U.S. and international tax aspects of our product offerings, manage tax audits, and ensure financial reporting and tax returns are filed timely and accurately. The Interactive Brokers Global Tax team is looking for an International Tax Manager to assist with our tax computations and tax compliance relating to our non-US operations, both under the U.S. international tax rules and under the tax rules of non-US countries. This role will report to the Director, Corporate Tax Operations. A successful candidate must be a collaborative team player who is entrepreneurial, detail-oriented, and an excellent communicator. In addition, the candidate will need to collaborate with multiple tax colleagues regularly, including reviews of each other's work papers and other tax computations. What will be your responsibilities within IBKR: Calculate and prepare IBKR's U.S. federal income tax computations of its international activities, such as foreign income inclusions (e.g., Subpart F, GILTI), FTC, BEAT, foreign tax redeterminations, etc. Assist in local income tax return filing obligations for IBKR's non-US subsidiaries including the computation of estimated tax payments. Collaborate with Federal and State & Local tax compliance teams to improve the efficiency of the annual federal and state returns preparation, minimize duplication of effort, and ensure equitable workload across the income tax compliance team. Partner with the Tax Controversy team to ensure U.S. international compliance efforts are 'audit ready' and to resolve issues raised on audit strategically and efficiently. Analyze and compute in preparing IRS Forms 5471/5472, 8858, 8865, 1118 and other international tax reporting/disclosures for the U.S. federal tax return, including GILTI, FDII, and Subpart F analysis and computations. Provide support and analysis to the tax reporting team on the quarterly income tax provision of the organization's international operations under ASC 740, including GILTI, FDII, and Subpart F. Assist in analyzing and computing items related to Pillar 2, including analysis as to the applicability of safe harbors, any top-up tax, and the preparation of the GloBE Information Return. Collect data and provide analysis regarding transfer pricing requirements, including BEPS and country-by-country reporting. Which skills are required: 7+ years of relevant tax experience, ideally with a mix of industry and Big 4 accounting firm experience CPA and/or MS in Taxation preferred. Significant experience with the preparation and review of U.S. and International tax returns Excellent speaking and communication skills while working with business teams and explaining tax concepts to tax and non-tax audiences. Outstanding detail-orientation and process-orientation skills. Experience with external tax compliance software is a plus. Willingness to pivot, learn, and adapt to new, evolving, and changing tax responsibilities. Excellent analytical and problem-solving skills, with the ability to analyze complex tax issues Strong project management skills, with the ability to manage multiple priorities and deadlines in a fast-paced environment Advanced Excel skills required To be successful in this position, you will have the following: Self-motivated and able to handle tasks with minimal supervision. Superb analytical and problem-solving skills. Excellent collaboration and communication (Verbal and written) skills Outstanding organizational and time management skills Company Benefits & Perks Competitive salary, annual performance-based bonus and stock grant Retirement plan 401(k) with a competitive company match Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack Corporate events, including team outings, dinners, volunteer activities and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups

Posted 30+ days ago

S logo
SAN MANUEL INDIAN BINGO & CASINOHighland, CA
The Vice President (VP), Legal Compliance, works in tandem with senior leaders to provide strategic direction and solution-oriented leadership in the development and execution of a coordinated ethics and risk-based legal compliance program. A principled and dynamic thought leader who propels the enterprise forward as a front-runner in the application and oversight of legal compliance standards. ESSENTIAL DUTIES AND RESPONSIBILITIES Strategic Direction and Oversight Stakeholder Collaboration: Works with senior leadership, Executive Leadership Cabinet, enterprise compliance resources, government teams, and Tribal Leadership. Legal Compliance Initiatives: Provides strategic direction for coordination and implementation of enterprise-wide legal compliance initiatives. Culture Promotion: Promotes a culture encouraging ethical conduct and legal compliance. Proactive Counsel: Provides proactive, business-focused legal compliance counsel to the enterprise Standards and Controls Conduct and Procedures: Ensures standards of conduct, internal controls, and procedures reflect government regulations, industry practices, and enterprise needs. Documentation: Includes a strong code of conduct, ethics, employee handbook, and other written policies and procedures. Program Development and Improvement Compliance Program: Updates and improves the enterprise-wide legal compliance program. Metrics and Milestones: Develops substantive metrics and milestones. Strategic Vision: Creates a multi-year strategic vision and resource plan. Risk Assessments: Conducts initial and periodic risk assessments to identify legal compliance risks. Program Monitoring: Develops processes to monitor compliance programs. Self-Assessments: Uses analyses of compliance trends for self-assessments. Audit Results: Reports monitoring and audit results. Documentation: Maintains thorough documentation of legal compliance measures. Reporting: Updates Tribal Leadership and senior leadership through annual reports. Communication and Training Effective Communication: Develops and oversees reporting mechanisms that encourage communication and prohibit retaliatory conduct. Training and Development: Ensures understanding of laws and internal standards through annual training and monitoring participation. Reporting Mechanisms: Develops effective internal reporting mechanisms for sensitive matters. Compliance Policies: Implements and communicates compliance policies. Incentives: Develops strategic vision for incentives to promote legal compliance. Disciplinary Measures: Articulates clear disciplinary policies for non-compliance. Investigation and Remediation Misconduct Investigation: Leads processes for defining, investigating, and remediating misconduct. Conducts internal investigations and includes and/or consults with appropriate stakeholders when needed. Enforcement Tools: Implements enforcement tools, including incentives and disciplinary measures. Third-Party Relationships Due Diligence: Conducts risk-based due diligence of third parties. Compliance Commitments: Obtains legal compliance commitments from vendors and third parties. Warning and Termination Standards: Develops standards for third parties failing to conform to compliance standards. Risk Management Legal Risk Re-assessment: Undertakes ongoing re-assessment of enterprise legal risk. Continuous Improvement: Identifies opportunities for continuous improvement. Mergers and Acquisitions Post-Acquisition Assessment: Integrates mergers and acquisitions through post-acquisition risk assessment and audit. Compliance Program Expansion: Expands legal compliance program to meet growth needs. Policy Management Leads the creation and management of an enterprise-wide policy program that governs the development, review, approval, and storage of policies in alignment with leading practices. Ensures effective communication, training, and enforcement of enterprise policies to foster understanding, compliance, and accountability across the enterprise. Executive Support Presentations: Supports the Chief Legal and Compliance Officer in developing presentations for the Tribal Council and Executive Management. Meetings: Manages and hosts Executive Compliance Steering Committee meetings with cross-functional stakeholders. Performs other duties as assigned to support the efficient operation of the department. SUPERVISORY RESPONSIBILITIES Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Responsibilities include interviewing, hiring and training employees; planning, assigning reviewing and directing work; evaluating and appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. Makes hiring decisions and designs individual development plans with succession planning in mind for all key roles. EDUCATION, EXPERIENCE AND QUALIFICATIONS Bachelor's Degree required Juris Doctorate preferred. Minimum ten (10) years in legal compliance field required. Minimum ten (10) years of direct supervisory experience required. KNOWLEDGE, SKILLS AND ABILITIES (KSA) Core Competencies Ethical Standards and Integrity: Upholds high ethical standards and personal integrity. Legal Knowledge: Extensive working knowledge of Federal and State law. Compliance Expertise: Experience in conducting workplace investigations and compliance work, including resolving ethical violations and compliance breaches. Tribal Government Experience: Preferred experience working with tribal governments. Leadership and Strategic Vision Executive Presence: Proven leader with the ability to influence and drive results, build relationships with Tribal Leadership, CEO, Executive Leadership Cabinet, and enterprise leaders. Strategic Relationships: Builds trusting relationships across the enterprise to empower teams with tools and education for legal compliance. Future-Oriented: Possesses a forward-thinking perspective, patience, and maturity to build strategic relationships. Organizational and Management Skills Project Management: Strong organizational skills to manage multiple projects in a fast-paced, dynamic environment. Team Collaboration: Ability to collaborate as a team and work independently. Problem-Solving: Creative thinking and strong problem-solving skills, with an ownership attitude for projects and strategic visioning. Initiative and Accountability Results-Driven: Demonstrates initiative and accountability to achieve individual and organizational goals. Compliance Solutions: Skilled in crafting legal compliance solutions, providing practical advice, and balancing risks and business rewards. Adaptability and Resilience Thrives in Fast-Paced Environment: Comfortable working in a dynamic and entrepreneurial tribal government environment. Open to Change: Adaptable to change and ambiguity. LICENSES, CERTIFICATIONS AND REGISTRATIONS At the discretion of the San Manuel Tribal Gaming Commission, you may be required to obtain and maintain a gaming license. Authorized Driver: Role requires operation or driving of Tribe-owned vehicles or driving patron vehicles. A valid driver's license with an acceptable driving record as determined by the insurance carrier is required. PHYSICAL REQUIREMENTS/ WORKING CONDITIONS - ENVIRONMENT The physical demands and working environment described here are representative of those that an employee encounters and must be met by an employee to successfully perform the essential functions of this job. Primary work environment is in a climate-controlled office setting. Work requires travel to attend meetings, trade shows, and conferences. Incumbents may be required to work evening, weekend and holiday shifts. Must be able to work in a fast-paced, high-demand environment. Strength sufficient to exert up to 10 pounds of force occasionally and/or a negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects and/or move up to 40 pounds occasionally. Sedentary work: involves sitting most of the time. Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer. Physical activities that apply to the essential functions of the position are balancing, stooping, kneeling, crouching, reaching, pushing, pulling, lifting, grasping, talking, hearing, and repetitive motions. Hearing sufficient to hear conversational levels in person, via videoconference and over the telephone. Speech sufficient to make oneself heard and understood in person, in front of groups, in meetings, via videoconference and over the telephone. Visual acuity that meets the requirements of the position: The worker is required to have close visual acuity to perform an activity such as preparing and analyzing data and figures; transcribing; viewing a computer terminal; expansive reading and visual inspection of employees, visitors or facility. Mobility sufficient to safely move in an office environment, walk, stoop, bend and kneel, and enter, exit and operate a motor vehicle in the course of travel to promotional events, meetings, conferences, trade shows and San Manuel properties. Endurance sufficient to sit, walk and stand for extended periods, and maintain efficiency throughout the entire work shift and during extended work hours. The employee may be exposed to fumes or airborne particles including secondhand smoke. Reasonable accommodation will be made in compliance with all applicable law. As one of the largest private employers in the Inland Empire, San Manuel deeply cares about the future, growth and well-being of its employees. Join our team today!

Posted 1 week ago

Bridge Investment Group logo
Bridge Investment GroupSalt Lake City, UT
If you are detail-oriented and eager to grow your career in investment compliance you will be interested in this opportunity. By joining our collaborative and high-performing team as a Compliance Analyst, you will monitor investment and operational compliance across our real estate strategies in partnership with our compliance team. How you can make an impact: Monitor & Review: Support routine compliance checks and reviews of investment and marketing activities to ensure adherence to internal policies and regulatory requirements. Marketing Oversight: Help to review external communications (e.g., investor letters, pitch decks, DDQs) for regulatory alignment. Help maintain records and train users in systems to ensure that all disclosures and representations are accurate, aligned with regulations, and consistent with internal policies. E-Communication Surveillance: Help monitor employee communications to identify potential risks. Maintain logs and appropriately escalate as necessary. Documentation & Reporting: Maintain organized records and assist with internal and regulatory reporting. Policy Support: Contribute to policy updates, certifications, and pre-clearance processes. Assist with policy related questions and support certifications and pre-clearance requests from staff. Cross-Team Collaboration: Work with investment, legal, operations, and investor relations teams to promote firmwide compliance. Participate in projects and broader risk compliance initiatives. Training & Education: Participate in training, keep current with industry regulations, and help reinforce a culture of compliance across the business. What You Bring Education: Bachelor's degree with an excellent record of academic achievement. Experience: Entry-level candidates welcome; internships or experience in compliance or financial services a plus. Skills: Attention to detail, ability to work discretely with confidential information, clear communication, organization, and proficiency in Microsoft Office are necessary. Attributes: Proactive, accountable, and eager to learn in a fast-paced environment. You will be part of the team that designs, tests, and implements policies and procedures that ensure compliance with rules and regulations from various financial and securities regulators, including the United States Securities and Exchange Commission and the Financial Industry Regulatory Authority. We regularly collaborate and celebrate our successes as a team and work to foster a culture of growth, teamwork, and success. What we offer Full Insurance benefit suite including Medical Insurance, Dental Insurance, Vision Insurance, Critical Illness Insurance, Accident Insurance, Short Term Disability, Legal & Identity Theft Insurance, and Pet Insurance. Company paid Life Insurance (option to buy additional available) and Long-Term Disability. Access to benefits concierge service. Access to Mental Health & Well-Being service. 401K:Bridge Investment Group will match your contributions dollar-for-dollar, up to 6% of your pay. These contributions are fully vested immediately. Eligible employees are automatically enrolled at a 4% contribution rate. *The employee must be at least 21 years of age and have worked for the Company for at least 60 days. Paid Time Off: Employee will accrue 5.23 hours of paid time off per pay period for a total of 17 days per year. 11 Paid Holidays per year. Following six (6) months of employment at the Company, you will be eligible per birth, adoption or placement of a child for four (4) weeks of paid parental leave as the primary caregiver to the child or two weeks of paid parental leave as the secondary caregiver to the child. Following two years of employment at the Company, you will be eligible for twelve weeks of paid parental leave per birth, adoption, or placement of a child if you are the primary caregiver of the child. Tuition Reimbursement: Up to $5,000 per year of pre-approved tuition expenses will be reimbursed upon submission of approved documentation. Repayment obligations may apply if employment terminates prior to 24 months. We at Bridge acknowledge and appreciate the uniqueness of each individual, understanding that our people are the key to our success. We are committed to fostering an inclusive environment where everyone feels respected and valued. Our dedication extends beyond our business goals to making a positive impact in our communities and upholding Sustainability and Responsibility (S&R) principles at our properties and corporate locations. We evaluate all candidates based on merit, without any discrimination based on race, color, religion, sex, age, disability, sexual orientation, national origin, or any other category protected by law. As an equal opportunity employer, we are devoted to creating an inclusive hiring process. We actively work to eliminate barriers and provide reasonable accommodations to qualified individuals with disabilities. Our goal is to provide fair opportunities and access throughout the recruitment, hiring, and employment experience. Your specific needs are important to us. If you need accommodations related to a disability or any other protected status during the recruitment process, please email talentsupport@bridgeig.com. Want to talk with someone about Bridge Culture? At Bridge, we understand that joining a new workplace is a significant decision. To help you gain deeper insights into our culture, we offer "Culture Conversations." This initiative reflects our commitment to transparency, diversity, and inclusivity. Culture Conversations are voluntary, one-on-one sessions designed for applicants to connect directly with our diverse staff members. It's your chance to explore the Bridge work environment, ask questions, and get a genuine feel for what it's like to be part of our team. How it Works: Culture Conversations are entirely voluntary. Feel free to opt in based on your comfort and curiosity. Choose Your Conversation Partner: We believe in the power of choice. Browse through our diverse group of staff members and select someone you'd like to have a conversation with. This ensures that you connect with someone whose experiences and insights align with your interests. No Impact on the Hiring Process: Your decision to participate or not in Culture Conversations has no bearing on the hiring process. We value your time and references. Why Participate: You get to have a firsthand understanding of our workplace culture. Informed decisions lead to fulfilling careers. Culture Conversations empower you with the information needed to make the right choice for your professional journey. Personalized Connection: Connect with an employee who resonates with your professional interests. Inclusivity: Embrace diversity by choosing a conversation partner from various backgrounds and roles.

Posted 30+ days ago

Weaver logo
WeaverNew York, NY

$85,000 - $120,000 / year

The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to the world of accounting, which includes creating a diverse, collaborative, and entrepreneurial workplace culture. Our leaders truly care about the well-being of all our employees and encourage them to pursue their ambitions. While our business is based in numbers, our success is truly based on people. It's why we commit to supporting our people not just in their professional growth, but also in their ability to lead balanced, integrated lives. At the foundation of that commitment are our core values. Weaver's core values were created specifically to empower our people to deliver extraordinary service and be their best selves. Our goal is to balance high development with high performance in order to meet the long-term goals of each individual, team, and our firm. Learn more about our services, industry experience and culture at weaver.com. Position Profile Weaver's Asset Management team, focused on tailored services to the investment function of institutional investors and asset management entities, is looking for an Experienced Senior Associate or Supervisor to join our growing group. You will be a core member of our team and the role will work on internal audit, consulting, and compliance client engagements in the asset management/financial services sector. The Asset Management Consulting group is part of our larger Governance, Risk, and Compliance practice. The ideal candidate will have knowledge of investment operations, including various asset classes, and regulatory requirements. Looking for a candidate with the ability to establish trust with the client, communicate effectively, manage multiple assignments, and maintain good working relationships with client personnel and teammates. Responsibilities: Plan, prepare and deliver client work to the manager independently Gain an understanding of client operations and risks Participate in and lead client meetings and discussions Understand and research securities laws and regulations and provide solutions to compliance, financial, or operational issues To be successful in this role, the following qualifications are required: Bachelor's degree in Accounting, Finance, Business Management or related field 3+ years of investment or financial services audit, compliance or consulting experience Understanding of SEC/FINRA/CFTC regulations Excellent written and verbal communications skills Additionally, the following qualifications are preferred: Master's degree is preferred but relevant industry experience will be taken into consideration CIA, CFE, CCRP, CRMA or equivalent designation Data analytics/visualization skills Compensation and Benefits At Weaver, our most valuable resource is our people. We take the time to evaluate our employees' wants and needs and invest our resources accordingly. A reasonable estimate of the compensation range for this position is $85,000 to $120,000. Actual compensation will be based on a variety of factors including but not limited to experience, skills, certifications, and geographical location. In addition to compensation packages, Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan. Further, we support our employees by offering flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days! Learn more here - Weaver benefits. We also offer in-house CPE and learning opportunities through our internal Learning & Development department. Our multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth. Our goal is to balance both high development with high performance to meet the long-term goals of each individual, team, and our firm. People are our formula! At Weaver, we recognize that everyone brings different strengths, backgrounds, and working styles to our team. We cultivate a safe and inclusive work environment that celebrates each individual's unique qualities through visibility, progression, advocacy, and support. We are proudly an equal opportunity employer. What's next? Interested applicants should apply directly to the job posting. You may apply to multiple roles. Be sure to upload your most recent resume and ensure that it is attached to your application. By registering, you are only activating an account and creating a presence. Please apply directly to a position of interest. You will receive a confirmation email after completing an application for a role. After reviewing your application, a friendly Weaver Recruiter will contact you soon and walk you through the hiring process. Thank you for exploring a career with us. We look forward to meeting you! Currently, we are not accepting resume submissions from third-party staffing agencies for this role. This role is Employee Referral Program eligible.

Posted 30+ days ago

Morgan Stanley logo

Internal Audit Vice President – Legal and Compliance

Morgan StanleyNew York, New York

$135,000 - $203,000 / year

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Job Description

Morgan Stanley is seeking a financial services professional to join our team as an Internal Audit Vice President. The candidate will join our Compliance Audit team, which is responsible for oversight and execution of our Legal and Compliance audit program.

The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an independent and well-informed view and impactful messages about the most important risks facing our Firm. This is accomplished by performing a range of assurance activities to independently assess the quality and effectiveness of Morgan Stanley's system of internal control, including risk management and governance systems and processes. IAD serves as an objective and independent function within the Firm's risk management framework to foster continual improvement of risk management processes. This is a Vice President level position within Business audit, which is responsible for inspecting controls in front, middle and back offices.

Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Interested in joining a team that's eager to create, innovate and make an impact on the world? Read on…

Location: New York, NY (4x per week in office)What you'll do in the role:

  • Formulate and lead a wide range of assurance activities to assess risks within coverage area and the state of controls in place to mitigate them
  • Proactively identify risk and emerging risk, and factor into assurance coverage
  • Articulate actionable insights to management regarding criticality and impact of risks to the business
  • Effectively partner with colleagues and stakeholders globally to drive effective working relationships  
  • Align projects and initiatives with department and coverage area priorities, and oversee team’s execution of deliverables in accordance with audit methodology and quality standards
  • Partner with global peers on global Legal and Compliance Reviews; provide Compliance and Regulatory Subject Matter Expertise to Business Audit colleagues and peers; and support the other Global and International NFR teams, as needed

What you'll bring to the role:

  • Advanced knowledge of industry, global markets and regulations relevant to coverage area (e.g., Legal and Compliance, broker-dealer and swap dealer compliance)
  • Strong understanding of audit principles, methodology, tools and processes (e.g., risk assessments, planning, testing, reporting and continuous monitoring)
  • Ability to articulate risk and impact clearly and succinctly to different audiences
  • Effective change and project management techniques and ability to support teams in adapting new ways of working
  • Ability to leverage and analyze data to inform focus and views on risk
  • Ability to coach and mentor others and create an inclusive work environment for team
  • Experience communicating with regulators
  • Internal Audit or Second Line experience preferred
  • ACAMS qualification or equivalent preferred
  • Relevant certifications (e.g., CIA, CAMS, CFCS) preferred
  • Generally, we would expect to find the skills required for this role in individuals with at least 6 years’ relevant experience

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Expected base pay rates for the role will be between $135,000 and $203,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

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