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Trading Compliance Associate-logo
Trading Compliance Associate
Apollo Global ManagementNew York, NY
Position Overview At Apollo, we're a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 30 years of proven expertise across Private Equity, Credit and Real Estate, regions and industries, we're known for our integrated businesses, our strong investment performance, our value-oriented philosophy - and our people. Apollo is seeking a Compliance Associate to join the Legal, Regulatory, Tax, and Compliance ("LRTC") team covering broker-dealer compliance associated with Apollo's Alternative Trading ("AAT") business. The Compliance Associate will work closely with senior members of Apollo's AAT business and members of Apollo's LRTC team to ensure compliance across Apollo's global investment platform. Primarily, the function will focus on compliance matters related to secondary market institutional fixed-income activity in AAT and across Apollo's broker-dealer business. The Compliance associate will drive the implementation of compliance controls relating to, among others: Information barriers Inter-affiliate transactions Conflicts of interest FINRA rules Apollo is looking for an individual with excellent analytical and communications skills who thrives in a fast-paced, dynamic, and collaborative environment with a strong understanding of broker-dealer regulation and working knowledge of the Advisers Act. Primary Responsibilities: Monitoring controls related to the information wall between AAT Trading and Apollo Coordinating with Compliance colleagues and the business to drive the review and approval process for inter-affiliate transactions Be the key contact in conflicts clearance and trade reviews related to AAT activity Implement and monitor controls regarding resales of restricted securities Conducting surveillance focused on information safeguarding and secondary market trading rules Preparing material and documents related to supervisory meetings and governance committees Maintaining and developing internal policies and procedures and current regulatory guidance with respect to broker-dealer and other related compliance matters Leading general compliance matters, and other projects related to AAT Qualifications & Experience Apollo seeks to hire individuals who are highly motivated, intelligent, energetic and can quickly assess a situation and exercise sound business judgment. More specifically, the successful candidate should have: Bachelor's degree with an excellent record of academic achievement 4-6+ years of prior experience as a Compliance Officer in a broker-dealer or in a capital markets/investment banking environment Knowledge of fixed income and ETF products Experience operating on a trading floor a plus Ability to adapt and work well within a fast-past environment; manage and prioritize competing tasks simultaneously Confident and effective communicator Ability to work independently while remaining a strong team player Strong attention to detail and exceptional analytical skills Initiative, creative and driven Pay Range $190,000 - $250,000 Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity. The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law. The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered. The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.

Posted 1 week ago

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

Posted 2 weeks ago

Governance, Risk, Or Compliance Manager - Band 1-logo
Governance, Risk, Or Compliance Manager - Band 1
Procter & GambleGreen Bay, WI
Job Location GREEN BAY PLANT Job Description Are you an IT Governance, Risk, and Compliance Manager who wants to work across business units and IT domains to drive significant impact? In this role, you will stay informed about current events, security focus areas, and regulatory changes that impact P&G's compliance processes! Your primary responsibilities will include conducting ongoing risk assessments, developing risk-response plans for high-risk areas, and measuring and reporting IT risks to relevant partners. You will work with IT Operations teams to ensure adherence to established controls and consult with cross-functional teams on pertinent risks. Additionally, you will evaluate the effectiveness of IT controls, identify compliance gaps, and analyze trends in control measurements. You will lead initiatives to enhance compliance across the organization and collaborate with internal and external auditors on audits and remediation efforts. Lastly, you will promote a culture of risk awareness and continuous improvement by providing training and support to others. Key Responsibilities: Consult with teams on potenital risks. Evaluate IT control effectiveness and identify compliance gaps. Lead initiatives to improve organizational compliance. Work with auditors on audits and remediation efforts. Foster a culture of risk awareness through training and support Job Qualifications Prior experience in Governance, Risk, and Compliance roles (e.g., Risk Manager, Risk Analyst, Compliance Manager, Auditor). BA/MA degree in Computer Science, Computer Systems Engineering, Industrial Engineering, Business Management Information Systems, Software Development, or a related field. English fluency (speak, write, and read). Experience with IT Governance processes, including policy management and deployment, monitoring and reporting of compliance results, and identification of risks. Ability to influence and build relationships with business unit partners, external service providers, and architecture teams. Ability to communicate technical concepts to teammates and non-technical colleagues. Certified in ISACA CRISC, CGEIT, CISA, and/or CISSP (or willing to attain certification within the first 12 months of employment). Compensation for roles at P&G varies depending on a wide array of non-discriminatory factors including but not limited to the specific office location, role, degree/credentials, relevant skill set, and level of relevant experience. At P&G compensation decisions are dependent on the facts and circumstances of each case. Total rewards at P&G include salary + bonus (if applicable) + benefits. Your recruiter may be able to share more about our total rewards offerings and the specific salary range for the relevant location(s) during the hiring process. We are committed to providing equal opportunities in employment. We value diversity and do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Immigration Sponsorship is not available for this role. For more information regarding who is eligible for hire at P&G along with other work authorization FAQ's, please click HERE. Procter & Gamble participates in e-verify as required by law. Qualified individuals will not be disadvantaged based on being unemployed. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. Job Schedule Full time Job Number R000132809 Job Segmentation Recent Grads/Entry Level (Job Segmentation) Starting Pay / Salary Range $85,000.00 - $115,000.00 / year

Posted 1 week ago

Technology Compliance Consultant-logo
Technology Compliance Consultant
Northwestern MutualMilwaukee, WI
Summary: Responsible for providing support, building relationships and consulting across the enterprise to advance the company's compliance culture while ensuring business objectives are achieved. This role focuses primarily on regulatory requirements for technology implementation. Primary Duties & Responsibilities: Ownership, execution and facilitation of the company's "Compliance by Design" program - a critical component of the enterprise risk evaluation process for all new and changes to existing technology. Works with other risk partners (such as law, privacy, IRC, anti-fraud, data governance, etc.) to ensure overall enterprise process is optimized for users while still identifying and mitigating risk. Consults across the enterprise with the objective of advancing the company's culture of compliance while assisting business areas to achieve business targets. Identifies, assesses and consults to the mitigation of risk with enterprise business partners across a wide range of compliance topics with guidance of others. Assists in resolving complex or unusual compliance/risk issues in partnership with business partners and communicates across enterprise stakeholders to ensure alignment. Serves as a subject matter expert (SME) on areas of specialized technical expertise for partners within Enterprise Compliance. Participate in projects or efforts in support of the division or department priorities/objectives as needed. Knowledge, Skills, Abilities: Bachelor's Degree Preferred or equivalent combination of education and experience preferred. FINRA series 7& 24 preferred. Minimum of 4 years of relevant experience. Experience in financial services preferred. Experience in securities/insurance operations, information technology, law, regulatory, audit, or testing preferred. Excellent facilitation skills. Strong consulting, communication, and negotiating skills Ability to cultivate relationships at all levels of the organization. Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field. Ability to identify and solve technical and operational problems while understanding the broader impact within the division. Ability to communicate difficult concepts with others to assist in adopting a different point of view. #LI-HYBRID This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA Compensation Range: Pay Range- Start: $76,650.00 Pay Range- End: $142,350.00 Geographic Specific Pay Structure: 195- Structure 110: 84,350.00 USD - 156,650.00 USD 195- Structure 115: 88,130.00 USD - 163,670.00 USD We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more. Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now! Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

Posted 30+ days ago

Kering Trade Compliance Specialist-logo
Kering Trade Compliance Specialist
Kering GroupWayne, NJ
KERING Trade Compliance Specialist Job Family: Logistics and Supply Chain Job Title: Trade Compliance Specialist Location: Wayne, NJ Base Salary: $85,000 - $95,000 per year A global Luxury group, Kering manages the development of a series of renowned Maisons in Fashion, Leather Goods, Jewelry and Watches: Gucci, Saint Laurent, Bottega Veneta, Balenciaga, Alexander McQueen, Brioni, Boucheron, Pomellato, Dodo, Qeelin, Ulysse Nardin, Girard-Perregaux, as well as Kering Eyewear. By placing creativity at the heart of its strategy, Kering enables its Maisons to set new limits in terms of their creative expression while crafting tomorrow's Luxury in a sustainable and responsible way. We capture these beliefs in our signature: "Empowering Imagination." HOW YOU WILL CONTRIBUTE Stay abreast of the latest trade regulations, customs laws, and Import/Export requirements in both the US and Canada. Ensure company activities comply with relevant laws, regulations, and industry best practices. Manage and maintain accurate records of all import and export transactions. Prepare and review shipping documents, including commercial invoices, packing lists, and certificates of origin. Interface with relevant government agencies such as the U.S. Customs and Border Protection (CBP), Canada Border Services Agency (CBSA), and other regulatory bodies. Facilitate communication and compliance with agencies involved in trade, including but not limited to FDA, EPA, and other applicable departments. Conduct risk assessments related to trade compliance and develop strategies to mitigate potential issues. Collaborate with cross-functional teams to implement corrective actions and enhance compliance procedures. Conduct periodic internal audits to ensure adherence to trade compliance policies. Provide training and guidance to employees on trade compliance matters. Ability to analyze data to draw strategic conclusions for corrective action WHO YOU ARE Bachelor's Degree in Business, International Relations, or a related field Minimum of 3-5 years in trade compliance, preferably with a focus on both the US & Canada Customs Broker's License Required In-depth knowledge of US and Canadian Import/Export regulations. Strong understanding of customs procedures and documentation requirements. Excellent communication and interpersonal skills for effective collaboration with internal teams and government agencies. Detail-oriented with strong analytical and problem-solving abilities. Familiarity with trade management software and systems. Proficiency in all Microsoft Office packages (Excel, PowerPoint, Outlook)

Posted 2 weeks ago

Sr. Compliance Officer, LRC-logo
Sr. Compliance Officer, LRC
BMO (Bank of Montreal)Chicago Heights, IL
Application Deadline: 06/29/2025 Address: 1630 Chicago Road Job Family Group: Audit, Risk & Compliance The Enterprise Compliance Program Management Team (ECPM) is a central compliance governance function that establishes, implements, and administers frameworks/processes that support the Compliance function. The Senior Compliance Officer position will support the activities related to the implementation, maintenance, and administration of the Compliance Program. The responsibilities include identification of risk and taking appropriate actions to mitigate them, identifying and implementing enhancement opportunities, undertaking activities in support of various areas of the program, such as risk assessments, monitoring and testing, issues management, training, Third-Party, and implementation of new/revised programs/processes. Additional details that may be included in job responsibilities are noted below: Responsibilities: Participate in the design, implementation, management, and execution of the compliance governance program. Analyze and report on compliance and/or related data to gain regulatory risk insights. Develop and maintain guidelines, procedures, job aids, training, etc. Identify, create, and implement process enhancements; provide training and support to stakeholders. Represent the Compliance Program team and interact with examiners/auditors during internal, external and regulatory audits and examinations; provide supporting documentation, as required. Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory compliance based on an understanding of business operations and stakeholder needs. Build effective professional relationships with internal/external stakeholders and trust with auditors/regulators. Operate effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny. Exercise judgment to identify, diagnose, and solve problems within given rules. Works independently and regularly handles non-routine situations. Broader work or accountabilities may be assigned as needed. Qualifications: Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience. Recognized compliance certificate or equivalent preferred. Strong communication, critical thinking, relationship management and project management skills. Deep knowledge and technical proficiency gained through extensive education and business experience. Ability to drive and execute projects/deliverables with minimal supervision and regularly handle non-routine situations. Verbal & written communication skills- In-depth. Collaboration & team skills- In-depth. Analytical and problem-solving skills- In-depth. Influence skills- In-depth. Data-driven decision making- In-depth. Salary: $79,800.00 - $148,000.00 Pay Type: Salaried The above represents BMO Financial Group's pay range and type. Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position. BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards About Us At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset. To find out more visit us at http://jobs.bmo.com/us/en BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law. BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to BMOCareers.Support@bmo.com and let us know the nature of your request and your contact information. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

Posted 2 weeks ago

Senior Compliance Officer, Operations-logo
Senior Compliance Officer, Operations
Marsh & McLennan Companies, Inc.Saddle Brook, NJ
Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations to build out and enhance the infrastructure of a best-in-class compliance program and to provide trusted advice to business colleagues. Please note that there's a 3-day per week in-office requirement for this role. What you can expect: Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. You will build relationships and work closely with Operations teams across MMA's regions and businesses and will provide pragmatic and timely advice to MMA's business colleagues. The Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training and communications, monitoring activities, and management reporting to prevent, detect and respond to violations of law and company policies. We will count on you to: Lead in building out and enhancing policies, systems and processes to support MMA's compliance program and strategic priorities. Ensure MMA's compliance policies are fit for purpose and accessible to all colleagues. Enhance communication channels for MMA colleagues to contact Compliance with inquiries. In partnership with other members of the Compliance team, develop and ensure adherence to schedules for monitoring, training and regulatory filings. Create data-driven dashboards of compliance actions and decisions. Collaborate effectively with Operations teams to implement process changes and promote compliance with applicable law. Work with other functions - including Finance, Controllership, Internal Audit, Tech, Marketing/Communications and HR - to maximize the effectiveness of the compliance program. Manage inquiries received by compliance inboxes and hotlines, and respond to requests or triage as appropriate Provide leadership and strategic direction to colleagues performing operational compliance responsibilities. What you need to have: A bachelor's degree A minimum of 10 years of relevant industry experience. Open to considering individuals with legal, compliance or operational experience. Operational excellence: an ability to keep up with the pace of a fast-moving and rapidly growing business, attention to detail, superb organizational skills, and technological savviness. Are comfortable working in the areas of MMA's offerings - primarily commercial insurance, employee health and benefits, private lines and retirement services. Can address issues involving licensing, surplus lines, professional standards, transparency and disclosure, privacy and data protection, and M&A due diligence and integration, while maintaining a perspective that is both independent of and sensitive to commercial objectives. Have a strong knowledge of laws applicable to MMA in areas such as rebating, referral fees, and surplus lines; trade sanctions; cybersecurity, data protection and privacy; conflicts of interest and services provided to insurers; and third-party risk. What makes you stand out: Personal integrity and sound judgement. The ability to collaborate effectively and the courage to uphold ethical standards, even under pressure. Demonstrable experience leading compliance operations or governance within an organization of a similar size and/or regulatory profile. Proficiency in analyzing and utilizing data sets to create dynamic dashboard reports. Strong project management skills. A track record of working with and advising senior business partners on compliance matters. Demonstrated ability to understand and analyze strategic, commercial and operational issues facing a complex, regulated business, and to work with key stakeholders to arrive at practical solutions within applicable legal and ethical bounds. Exceptional business judgment and strategic thinking capabilities; crisp decision-making skills. Strong emotional intelligence, evidenced by the capacity to listen and develop relationships of trust. Why join our team: We help you be your best through professional development opportunities, interesting work, and supportive leaders. We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients, and communities. Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being. Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit marshmclennan.com, or follow on LinkedIn and X. Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@mmc.com. Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person. The applicable base salary range for this role is $116,600 to $233,300. The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.

Posted 3 weeks ago

Chief Compliance And Ethics Officer-logo
Chief Compliance And Ethics Officer
Northern TrustChicago, IL
About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. The Chief Compliance and Ethics Officer (CCEO) is responsible for leading and enhancing Northern Trust's global compliance and ethics framework. This role ensures adherence to regulatory requirements, promotes a culture of ethical behavior and integrity, and provides strategic leadership across all compliance programs worldwide. The CCEO will oversee a global team and partner closely with business leaders, legal, audit, and risk management to proactively identify, assess, and mitigate compliance and ethical risks. This role reports to the Chief Risk Officer and will be based in Chicago, Illinois. Key Responsibilities: Strategic Leadership: Develop and execute a global compliance and ethics strategy aligned with business objectives, regulatory expectations, and Northern Trust's risk appetite. Program Oversight: Lead the global compliance program including regulatory compliance, financial crimes compliance (e.g., AML, sanctions), code of conduct, ethics, and whistleblower programs. Risk Management: Identify emerging compliance and conduct risks, ensure proper monitoring and mitigation strategies, and integrate compliance into the firm's enterprise risk management framework. Regulatory Engagement: Act as the primary point of contact with regulators on compliance and ethics matters globally, ensuring timely and transparent communication. Governance and Reporting: Provide regular updates to the Chief Risk Officer, senior leadership, and the Board Risk Committee on compliance matters, trends, and significant incidents. Chair the Compliance & Ethics Oversight Committee (CEOC) Culture of Integrity: Promote and embed a strong culture of ethical behavior and accountability across all levels of the organization. Training and Awareness: Oversee compliance training and awareness programs to ensure employees understand their obligations under laws, regulations, and company policies. Team Leadership: Lead and develop a high-performing, globally distributed compliance and ethics team, fostering collaboration, excellence, and professional growth. Travel: Domestic and international travel may be required. Qualifications: 15+ years of progressive GSIB Compliance experience is highly desirable and strongly preferred, legal, or risk management roles within financial services, with at least 5 years in a senior leadership position. Deep knowledge of global regulatory frameworks (e.g., SEC, FRB, FCA, MAS, PRA), financial crimes laws, and conduct risk principles. Proven ability to influence senior stakeholders, including regulators, boards, and executive leadership. Strong strategic thinking, analytical, and decision-making skills. Excellent communication, leadership, and interpersonal skills. Bachelor's degree required; JD, MBA, or advanced degree in a related field strongly preferred. Salary Range: $375,000 - $450,000 Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component. Working with Us: As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.

Posted 30+ days ago

Regional Fstdo Standards & Regulatory Compliance Specialist-logo
Regional Fstdo Standards & Regulatory Compliance Specialist
CAE Inc.Whippany, NJ
About This Role Support the FSTDO Standards & Compliance Manager in work related to ensuring FSTDO standards and regulatory compliance for the assigned region, responsibilities include but not limited to: Support the development and maintenance of CAE global technical operations standards and processes, and to support the development of associated guidance. Work collaboratively with technical operations department to help drive continuous improvement in support of the FSTDO standards. Work with cross-functional teams to implement new standards as introduced through the global FSTDO Technical Operations Manual. Act as a subject matter expert and support development of guidelines to promote best practices, including but not limited to: Providing input into resource planning. Activities related to FSTDO operations and maintenance. Supporting planning of FSTDO equipment activities through various phases, normal operations, acceptance, qualification, and continuing qualification as applicable. Advise on areas affecting FSTDO performance, including resourcing, personnel training, preventive, and corrective maintenance, amongst other areas that support optimal performance of the FSTDs to support client training. Coordinate the management of all internal regulatory policies, processes and procedures related to on-going regulatory compliance for FSTDs Help develop and revise policies as necessary Interpret regulations and regulatory changes and ensure that they are communicated through the organization and reflected in the applicable policies and procedures. Perform risk assessment of CAE Civil FSTDO -related policies and practices in the context of FSTD operations. Support development of company-wide technical operations processes and ensure these are implemented at the training center level. Ensure training center FSTD operations are standardized within the CAE Civil organization Safeguard the FSTD operations governance to ensure it complies with the company policies, processes and procedures and all applicable regulations Maintain database of all FSTDO approvals within the CAE training network Attend management reviews at regional and global levels. Support Quality Assurance department in performing, or evaluating root cause analysis for all Centrik findings pertaining to regulatory compliance or lack thereof Interpret FSTD operational metrics, review findings, look for trends and make recommendations to support Continuous Improvement. Support the FSTDO and training organization on compliance matters related to FSTDs: Maintain current knowledge base of existing and emerging regulations, standards, or guidance documents. Establish understanding of regulatory issues related to flight simulation and use of flight simulation training devices. Identify relevant guidance documents, international standards, or consensus standards and provide interpretive assistance. Participate in relevant industry meetings Coordinate, prepare, or review regulatory submissions as required Provide Regulatory Training on FSTD operations and oversight to FSTD & Training Operations Staff Through effective communication, promote harmonization and coordination of best FSTDO regulatory practices across CAE's worldwide network of Civil Aviation Training Centers Experience At least 8 years of experience working in relevant segments of the aviation industry, including most of these domains: Experience in FSTD technical operations and/or Flight simulation engineering. Experience working with global regulatory authorities, particularly in the aviation domain. Extensive knowledge of FSTD qualification and use regulations. Proficiency in office and compliance management software. Exceptional analytical and organizational skills. Position Type Regular CAE thanks all applicants for their interest. However, only those whose background and experience match the requirements of the role will be contacted. Equal Opportunity Employer CAE is an equal opportunity employer committed to providing equal employment opportunities to all applicants and employees without regard to race, color, national origin, age, religion, sex, disability status, protected veteran status, or any other characteristic protected by federal, state or local laws. At CAE, everyone is welcome to contribute to our success. Applicants needing reasonable accommodations should contact their recruiter at any point in the recruitment process. If you need assistance to submit your application because of incompatible assistive technology or a disability, please contact us at CAECarrieres-Careers@cae.com.

Posted 3 weeks ago

Head Of QMS Compliance-logo
Head Of QMS Compliance
Hoffmann-La Roche LtdHillsboro, OR
At Roche you can show up as yourself, embraced for the unique qualities you bring. Our culture encourages personal expression, open dialogue, and genuine connections, where you are valued, accepted and respected for who you are, allowing you to thrive both personally and professionally. This is how we aim to prevent, stop and cure diseases and ensure everyone has access to healthcare today and for generations to come. Join Roche, where every voice matters. The Position The Opportunity: This role is to lead the new QMS Compliance team within Roche Pharma Technical Operations (PT) Quality & Compliance. This is a people-leader role, reporting to the Head of Audits & Compliance. Audits & Compliance establishes, maintains and executes activities to ensure alignment of the QMS with Health Authority expectation, reduce regulatory compliance risk, and drive continuous inspection readiness to ensure Roche's License-to-operate and delivery of high-quality products to our patients.The key responsibilities of this role are: Lead the QMS Compliance team of highly experienced individual contributors responsible for overseeing PT QMS standards to ensure they are compliant to Health Authority regulations and expectations. QMS Compliance is key to ensuring that Roche PT maintains overall adherence to Health Authority expectations Hold accountability for the team's core work of assessing new and evolving HA regulations and expectations and their impact on the PT QMS and the PT network, to ensure the QMS is continually in place to meet the demands of emerging regulations, industry trends, and business needs Partner and build relationships with PT, PT Quality, and Roche Pharma global and site leaders as technical experts to ensure the success of the newly-implemented PT QMS Operating model, as well as to align on strategic priorities, accelerate decision-making, and drive continuous improvement Provide coaching and development to ensure QMS Oversight team members have the required proficiency to execute work packages, deliver the team's objectives and seek ways of continuously improving Act as a strategic partner to stakeholders in PTQ and PT in support of organizational priorities Develop annual budget and resourcing plan, revising forecasts to meet business needs and monitor/ control expenditures to ensure efficient use of company resources Support the implementation of the PTQ strategy, ensuring it is aligned with PT and Roche Pharma priorities Boldly advance belonging and inclusion so that people feel safe to learn, to experiment, to challenge, to contribute autonomously - and safe to be themselves Enable talent flow across Audits & Compliance and other teams with PT/PTQ, evaluating business requirements and generating solutions for succession planning and talent management Who you are: You bring ten years + experience in a regulated industry, such as the pharma/bio-pharmaceutical or medical device industry with 5 years in a role with compliance ownership or oversight of global QMS documents. Furthermore: A strong understanding of quality assurance concepts and Good Manufacturing Practices (cGMP) knowledge Evidence of your ability to develop employees through their lateral and/or promotional movement internally or externally Proven track records in coaching teams within a matrix environment. Experience in multiple manufacturing technologies and product life-cycles is desirable BA or BSc degree or equivalent in life sciences, Pharmacy or related a related scientific discipline Are you ready to apply? We want someone who thinks beyond the job offered - someone who knows that this position can be an outstanding opportunity to craft the future of Roche. Who we are A healthier future drives us to innovate. Together, more than 100'000 employees across the globe are dedicated to advance science, ensuring everyone has access to healthcare today and for generations to come. Our efforts result in more than 26 million people treated with our medicines and over 30 billion tests conducted using our Diagnostics products. We empower each other to explore new possibilities, foster creativity, and keep our ambitions high, so we can deliver life-changing healthcare solutions that make a global impact. Let's build a healthier future, together. Roche is an Equal Opportunity Employer.

Posted 3 days ago

Alcohol Compliance Rep - Darien Lake Amphitheater-logo
Alcohol Compliance Rep - Darien Lake Amphitheater
LegendsDarien Center, NY
The Role Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. Company Overview Legends is a holistic agency that specializes in delivering solutions for legendary brands. We approach each project with our 360-degree service solution. Our Global Planning, Global Sales, and Hospitality service solutions collaborate on every project to ensure success across each of our six verticals including professional sports, collegiate, attractions, entertainment, international, and conventions. Our intellectual property is our people. It's our expertise that makes up Legends. We know what it's like to be on the team, business, or athletic department side, which drives our passion in creating solutions for our partners. Collectively, our leadership has over 300 years of experience in sales and sponsorship, analytics and valuation, hospitality and operations. Responsibilities Under the direction of management, ensures responsible service of alcohol throughout the entire building in accordance with state and company policies. Assist staff with any alcohol related issues. Observes and documents any alcohol related issues. Assist with alcohol cut-off and performs other duties as assigned by management. Will be responsible to monitor all employee's adherence to the Legends Alcohol Policy. Supervises the serving of alcohol by game day staff Ensures staff is adhering to Legends' alcohol service policy Observes and documents all alcohol related issues or violations Assists with alcohol cut-off and performs other duties as assigned by management Completes inventory at assigned locations Must maintain a friendly, positive attitude and a professional demeanor always Ability to interact with guests and staff to insure guest satisfaction Must have extensive knowledge of food and beverage menu, specials and services offered Know the "layout" of the venue and assigned area where you are working Provide guests with personal service and attention to detail that will exceed expectations Maintain a clean, neat and safe work area Ability to assure compliance with all company service standards Work as a team with fellow associates and other service departments within venue Ability to work a flexible schedule to meet service demand levels, including days, nights, weekends and holidays Must meet state and local health requirements for food handlers and alcoholic beverage services. Qualifications Must have experience working in a fast paced environment Some alcohol compliance experience preferred Must be proactive, self-motivated, organized and the ability to prioritize as needed Must be detail oriented Ability to work under pressure and adapt to change quickly Must be punctual and dependable Ability to move quickly and act on assigned duties within production and service time frames established Must maintain personal hygiene and a well-groomed appearance standards Ability to walk long distances and stand for extended periods of time Must be able to stand, kneel, lift (up to 30 pounds), carry items, push carts, walk at a fast pace, and bend down Must be able to operate in a fast paced, challenging, and diverse environment efficiently Practice safe work habits, follow all safety policies and procedures and regulations, complete company-wide safety training and any additional job specific safety training. $20.00 per hour Legends is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, disability, or genetic information.

Posted 30+ days ago

Global Compliance Manager-logo
Global Compliance Manager
nVent Electric Inc.San Diego, CA
We're looking for people who put their innovation to work to advance our success - and their own. Join an organization that ensures a more secure world through connecting and protecting our customers with inventive electrical solutions. As a Global Compliance Manager: Lead the execution and continuous evolution of our global anti-corruption and bribery compliance program with a focus on third-party oversight and M&A integration A highly visible role that partners across functions and geographies, serving as a strategic advisor and proactive risk mitigator in support of nVent's global operations Member of a high-performing global compliance team and team management, empowering employees to deliver scalable risk mitigations strategies and embed a culture of ethics WHAT YOU WILL EXPERIENCE IN THIS POSITION: Global Strategy & Program Leadership Scale nVent's global anti-corruption and bribery compliance program across all regions, ensuring alignment with business strategy, local regulations, and international standards. Develop regional compliance risk profiles and collaborate with cross-functional teams to implement scalable controls tailored to local market dynamics. Act as a thought leader and internal consultant to senior leadership on compliance risk in global operations and growth strategies. Third-Party Risk Management Lead end-to-end due diligence for third-party partners, distributors, and agents in high-risk geographies using data-driven tools and global risk indicators. Drive global consistency and solutions for third-party onboarding, monitoring, and remediation, while enabling regional agility. M&A Compliance Integration Serve as the compliance integration lead on global M&A transactions-conducting risk-based due diligence, identifying pre-close concerns, and driving post-close implementation of compliance controls and training. Monitoring, Analytics & Reporting Implement global compliance dashboards and lead key risk indicator (KRI) tracking to proactively identify emerging global compliance risks. Leverage technology and automation to enhance compliance workflows, continuous monitoring, and data-driven decision-making. Training & Culture of Integrity Design and lead targeted training initiatives across business units and geographies, driving awareness and accountability. Champion a global culture of ethics, integrity, and transparency by engaging with country leaders. Team Leadership & Development Lead and mentor a team of compliance professionals, fostering collaboration, accountability, and continuous improvement. Set clear goals and performance expectations aligned with strategic compliance priorities and business outcomes. Identify skill gaps and lead the development of team capabilities in areas such as data-driven compliance, international regulations, and third-party risk. YOU HAVE: Required: Bachelor's degree in Business, Finance, Law, or a related field Ideally 5+ years of experience in compliance, risk management, or a related field Global compliance experience with a focus on anti-corruption and third-party due diligence and risk management Experience in M&A compliance integration and regional compliance frameworks Strong people leadership skills with a focus on coaching and, performance management, fostering team engagement in a hybrid or global environment Strong data analytics capabilities and experience in risk-based analysis of third-party relationships. Excellent project management skills with the ability to lead multiple projects simultaneously Strong analytical and problem-solving skills Excellent communication and interpersonal skills Preferred: Professional certifications such as Certified Compliance and Ethics Professional (CCEP), Certified Risk Management Professional (CRMP), or equivalent. Experience in developing or enhancing financial and operational controls WE HAVE: A dynamic global reach with diverse operations around the world that will stretch your abilities, provide plentiful career opportunities, and allow you to make an impact every day nVent is a leading global provider of electrical connection and protection solutions. We believe our inventive electrical solutions enable safer systems and ensure a more secure world. We design, manufacture, market, install and service high performance products and solutions that connect and protect some of the world's most sensitive equipment, buildings and critical processes. We offer a comprehensive range of systems protection and electrical connections solutions across industry-leading brands that are recognized globally for quality, reliability and innovation. Our principal office is in London and our management office in the United States is in Minneapolis. Our robust portfolio of leading electrical product brands dates back more than 100 years and includes nVent CADDY, ERICO, HOFFMAN, ILSCO, SCHROFF and TRACHTE. Learn more at www.nvent.com. Commitment to strengthen communities where our employees live and work We encourage and support the philanthropic activities of our employees worldwide Through our nVent in Action matching program, we provide funds to nonprofit and educational organizations where our employees volunteer or donate money Core values that shape our culture and drive us to deliver the best for our employees and our customers. We're known for being: Innovative & adaptable Dedicated to absolute integrity Focused on the customer first Respectful and team oriented Optimistic and energizing Accountable for performance Benefits to support the lives of our employees Pay Transparency nVent's pay scale is based on the expected range of base pay for this job and the employee's work location. Employee pay within this range will be based on a combination of factors including knowledge, skills, abilities, experience, education, and performance. Where federal, state, or local minimum wage requirements exist, employee pay will comply. Compensation Range: $105,000.00 - $195,000.00 Depending on the position offered, employee may be eligible for other forms of compensation, such as annual incentives. Benefit Overview At nVent, we value our people and their health and well-being. We provide a broad benefits package with meaningful programs for full-time employees that includes: Medical, dental, and vision plans along with flexible spending accounts, short-term and long-term disability benefits, critical illness, accident insurance and life insurance. A 401(k) retirement plan and an employee stock purchase plan - both include a company match. Other supplemental benefits such as tuition reimbursement, caregiver, personal and parental leave, back-up care services, paid time off including volunteer time, a well-being program, and legal & identity theft protection. At nVent, we connect and protect our customers with inventive electrical solutions. People are our most valuable asset. Inclusion and diversity means that we celebrate and encourage each other's authenticity because we understand that uniqueness sparks growth. #LI-OR1 #LI-Hybrid

Posted 3 weeks ago

Compliance Analyst-logo
Compliance Analyst
Redwood Credit UnionNapa, CA
ABOUT REDWOOD CREDIT UNION (RCU): At Redwood Credit Union, our mission is to passionately serve the best interests of our Members and communities. Since 1950, we have been dedicated to supporting the financial well-being of our Members through better rates, low or no fees, and best-in-class customer service. Our purpose is to inspire hope and elevate the financial well-being of our communities one person at a time, through good times and bad. As a not-for-profit financial institution, we are committed to a people-first approach, which is reflected not only in how we serve our Members, but also in how we treat our employees. Our leadership team is deeply focused on fostering a culture of heart and empathy, integrity, passion, inclusion, meaningful relationships, excellence, and ensuring financial well-being for all. Why work for Redwood Credit Union? 32nd largest credit union in the U.S. and the largest financial institution based in the North Bay Awarded a 5-Star Rating based on 6/30/24 financial data by Bauer Financial Recognized by Newsweek as one of "America's Best Credit Unions 2024" Recognized by Forbes as one of "America's Best Small Employers 2023" Voted Best Places to Work in the North Bay 19 years in a row World-class Employee Engagement scores Rated Superior in Service by more than 90% of Members, surveyed by SF Gate Industry leading Net Promoter Scores across the U.S. Join us and discover why you'll love working at Redwood Credit Union! Redwood Credit Union is looking for a Compliance Analyst that wants to make a direct impact through their work. Are you passionate about identifying and evaluating risks and controls, completing regulatory compliance analysis and research, identifying issues and/or areas for improvement in effectiveness? Look no further! The Job (the big stuff): Review and conduct in-depth analysis on regulatory and legal changes affecting financial institutions to determine applicability and impact to RCU. Research regulatory/legal questions for other departments as assigned. Prepare and present analysis summaries and findings to RCU management to assist in decision-making. Independently work with RCU departments to implement legal requirements and to ensure changes to products, services, and processes comply with applicable legal requirements. Create and manage compliance programs and training programs. Review advertisement, forms, letters, and disclosures for other departments as assigned to ensure compliance with applicable legal requirements. Prepare revisions to Credit Union disclosures. Prepare written reports and analysis for Compliance management. Assist on projects, exams, audits, and other tasks as assigned. Provide excellent service to all Members and internal clients. Prepare currency transaction reports in compliance with the Bank Secrecy Act. Manage projects required to implement regulatory and legal changes, including setting project goals, coordinating efforts between multiple departments, and monitoring for effectiveness. What is Needed From You: Comprehensive knowledge of laws, regulations, principles and processes related to financial. Strong analytical/problem solving, communication, organizational and interpersonal skills. Insight and judgment to initiate timely and appropriate action. Meticulous attention to detail. Thorough knowledge of and ability to use and navigate the internet and intranet applications. Ability to communicate complex ideas effectively, both verbally and in writing. Ability to establish and maintain effective working relationships with diverse groups of people. Ability to effectively research and report on complex legal issues. Ability to organize, coordinate and prioritize a variety of activities simultaneously with little or no supervision. Ability to act independently and confidentially, using discretion, and tact. Ability to distinguish and manage confidential material and information. Ability and desire to work in a team environment, and establish and maintain effective working relationships in a diverse environment, including working with other departments. Skill in the operations of a PC and use of the Microsoft Office software and Browser based applications. Education/Experience: Qualified candidates will have a combination of education and experience equivalent to: Bachelor's Degree in Economics, Business Administration, Pre-Law, or related field. 5-7 years of related experience, preferably in the financial services industry, regulatory compliance, or financial institution. Physical Requirements: Ability to travel between office locations. Ability to stand, bend, stoop, sit, walk, twist and turn. Ability to use a computer keyboard and calculator. Ability to lift up to 15 pounds. Work environment is indoors, majority of the time is spent sitting at a desk. Compensation: Base starting range: $40.00 to $53.00 per hour commensurate with experience. Our base salary starting range is based on scope and responsibilities of the position, candidate's work experience, education/training, key skills, and internal peer equity. We offer a competitive total rewards package including a wide range of medical, dental, vision, financial, and other benefits. Redwood Credit Union offers a robust benefits package to our eligible employees including: Competitive medical, dental, and vision insurance, mental health offerings Employee performance incentive plan Salary Advancement- Merit increase based on performance 401(k) program with employer match Time Off- Competitive PTO accrual plus 11 paid company holidays and your birthday off! RCU Discounts and Perks: RCU employees are eligible for a .75% discount off RCU standard collateral auto loans RCU employees are eligible for a 1% discount on all recreational or boat loan products 2% discount off Visas and LOC Loans through RCU 0% interest loan to support employees with various immigration related expenses such as visa application fees and relocation costs. Loan amount up to $1,000. 0% interest loan to support employees with expenses associated with the naturalization process. Loan amount up to $15,000. 0% interest on garment, fitness, or home office equipment loan of up to $500 100% financing for employee purchased homes! Internal Team Members If you are a current Team Member, please apply through the internal careers page located in RCUNET. We are an Equal Opportunity Employer

Posted 1 week ago

Auditing & Compliance Director - Software As A Medical Device (Samd)-logo
Auditing & Compliance Director - Software As A Medical Device (Samd)
Wolters KluwerIndianapolis, IN
LOCATION: Hybrid - 8 days a month in the office (see approved locations on the posting). OVERVIEW You will be the global product quality lead in support of a broad portfolio of on-market medical devices including Software as a Medical Device (SaMD) within the Health Division in Wolters Kluwer. Important responsibilities include cross-functional correspondence, quality management reviews, audit support, change planning, and corrective and preventative action (CAPA)plans, with oversight of complaint trending, post-market surveillance, clinical evaluation, design control, and risk management activities. You will lead and participate in projects to enhance and maintain safety and performance of on-market products, interfacing with supplier and internal groups to drive product quality. You will work with a core team of subject matter experts but must also work cross functionally within the business teams in Legal, Regulatory, Clinical, Marketing, and Product Development and within the broader Wolters Kluwer business to ensure consistent practices across the company. You will report to the VP, Clinical Content Management RESPONSIBILITIES Quality Management and Compliance Maintain and monitor Quality Management System (SOPs/WIs) in compliance with ISO 13485, US Quality System Regulation for SaMD regulated by the FDA, and EU MDR. Perform design control activities focused on 21 CFR 820, ISO 13485, and IEC 62304. Manage Risk Management Process in compliance with ISO 14971. Identify gaps in existing processes and develop new processes. Support external and internal audits; represent Quality Assurance as a subject matter expert. Assure integration and support of device regulations and compliance with company policies and procedures. Supplier Management Perform supplier management activities, including review and approval of 3rd party design control activities, assess supplier changes, balance internal oversight actions and supplier controls, provide input to quality agreements, develop relationships, and visit supplier sites. Support supplier audits as required. System Testing and Issue Resolution Manage and guide system testing activities, including verification and validation. Lead resolution of quality issues with on-market device software; drive investigations related to product nonconformities and implement CAPA plans. Serve as Quality approver for device software complaints and complaint trend evaluations. Review and approve device software design control tasks or IT change requests in Service Now. Support risk management/failure effect modes analysis (FMEA) activities for device software. Drive change management process for device software launches and market expansions. Post-Market Surveillance and Regulatory Affairs Coordinate post-market activities including surveillance, trend reporting, adverse event reporting, and field safety corrective actions. Serve as Device QA approver for post-market surveillance and clinical evaluation plans/reports for SaMD products. Monitor external regulatory trends to anticipate potential business/regulatory risks; communicate risks and lead implementation of regulatory measures. Evaluate global regulatory landscape and advise cross-functional teams to ensure product compliance. Prepare documentation and third-party testing for US and global registrations, license renewals, new product registrations, and product change registrations. Ensure regulatory submissions are well-organized, scientifically accurate, high quality, and facilitate agency review. Review design inputs and proposed design changes to ensure regulatory requirements are met. Review product labeling and promotional materials for consistency with regulatory clearances. Review new/revised regulations/standards; develop internal SOPs, WIs, and policies. Continuously pursue regulatory knowledge to gain expertise in product submissions and regulatory topics. Coach and mentor internal cross-functional teams on regulatory strategy and risk management. Collaboration and Strategy Foster global collaboration with cross-functional teams to identify and mitigate product risks. Partner with internal business partners to solve technical and strategic challenges impacting the device portfolio. Build and cultivate strong partnerships with internal business partners. Demonstrates continuous pursuit of regulatory knowledge to obtain experience and expertise in product submissions and regulatory topics, including FDA regulations, 510(k)s, labeling and promotional materials, 21 CFR 820, global medical device registration, technical writing, and external standards. QUALIFICATIONS Education: Bachelor's Degree required. Clinical Degree preferred (e.g. PharmD / pharmacist, M.D. / medical doctor, etc.). Experience: 5+ years of quality and risk experience related to software as a medical device sold in the U.S., E.U., and globally. Demonstrated comprehensive expertise in the applied interpretation of worldwide regulatory standards and laws applicable to the medical device industry e.g., ISO, QSR, GMP. Must have E.U. MDR and FDA Class II medical device experience, focused on software as a medical device. Other Knowledge, Skills, Abilities or Certifications: Working knowledge of ISO 13485, ISO 14971, IEC 62304, 21 CFR 4, 21 CFR 820, EU Regulation 93/42/EEC (MDD) & 2017/745 (MDR)Thorough knowledge of ISO 13485 quality system requirements. Experience compiling and submitting regulatory applications and submissions Familiarity with SaMD is preferred. Other compliance experience (i.e. EU RED, CPSC, FCC, RCM) preferred. Be a detail-oriented with technical writing skills. Ability to think critically and strategically, capable of effectively interpreting and communicating the impact of business initiatives, regulations, and industry trends to various stakeholders. Possess interpersonal communication, teamwork, and organizational skills, able to build and leverage cross-functional relationships to gather insights and initiative continuous improvement. Be a creative problem solver, adept at identifying root causes, evaluating optimal solutions, and recommending comprehensive upgrades to prevent future issues · Lead Auditor Certified, preferred · Regulatory Affairs Certification (RAC), preferred. TRAVEL: Travel is minimal and tends to be irregular in frequency. The job will involve working with teams remotely on a regular basis. Travel requirements are variable and may include internal meetings, agency meetings, presentations and other travel. #LI-Hybrid Applicants may be required to appear onsite at a Wolters Kluwer office as part of the recruitment process. Compensation: Target salary range CA, CT, CO, DC, HI, IL, MD, MN, NY, RI, WA: $189,950 - $268,900

Posted 5 days ago

VP, Compliance Officer - Deposit Advisory-logo
VP, Compliance Officer - Deposit Advisory
Customers BankWest Reading, PA
At Customers Bank, we believe in working hard, working smart, working together to deliver memorable customer experiences and having fun. Our vision, mission, and values guide us along our path to achieve excellence. Passion, attitude, creativity, integrity, alignment, and execution are cornerstones of our behaviors. They define who we are as an organization and as individuals. Everyone is encouraged to have personal development plans. By doing so, our team members are on their way to achieve their highest potential and be successful in their personal and professional lives. Work Location: Hybrid in Malvern, PA, coming into the office at least 3-days per week with Monday, Tuesday, and Thursday being the set in-office days. All subject to change. Must be legally eligible to work in the United States with out sponsorship, now or future. Salary range: An annual salary range of [Enter Range] is what we expect to pay for this position, based on overall skills and experience. Must be legally eligible to work in the United States without sponsorship, now or in the future, to be considered. Who is Customers Bank? Founded in 2009, Customers Bank is a super-community bank with over $22 billion in assets. We believe in dedicated personal service for the businesses, professionals, individuals, and families we work with. We get you further, faster. Focused on you: We provide every customer with a single point of contact. A dedicated team member who's committed to meeting your needs today and tomorrow. On the leading edge: We're innovating with the latest tools and technology so we can react to market conditions quicker and help you get ahead. Proven reliability: We always ground our innovation in our deep experience and strong financial foundation, so we're a partner you can trust. What You'll Do: Serve as the bank's Deposit "Subject Matter Expert" (SME) necessary to provide compliance advice/recommendations and guidance to all Business Units, addressing Deposit compliance questions. Perform Marketing Compliance SME in reviewing bank disclosures, marketing materials, advertisements and/or any other product or service collateral for new and existing Deposit products Assist in overseeing the Consumer Compliance Program to ensure that Deposit compliance risks are appropriately identified, monitored, and controlled. Collaborate with internal areas including Legal, Business Management, Operations, Technology, Finance, and Control Functions to address compliance issues which may impact the supported function/business/product. Actively monitor and ensure adherence to all relevant regulations governing deposit accounts, including Truth in Savings Act (TISA), Regulation DD, and Availability of Funds (Reg CC), by reviewing policies, procedures, and transactions to identify and mitigate compliance risks, often requiring in-depth knowledge of banking laws and best practices. Communicate identified compliance risks to Head of Consumer Compliance, the Chief Compliance Officer and Executive Management as appropriate. Monitor and oversees day-to-day implementation of new and revised laws and regulations as applicable. Analyzes company impact and ensures compliance with all requirements of federal and state laws. Performs line of business compliance reviews to ensure compliance with regulations and laws governing Deposits. Prepares reports for senior management of all trends or findings. Responsible for motoring line of business activities, procedures, and documentation for compliance with Deposit banking regulations. Perform proactive new product compliance reviews identifying and mitigating risks. What Do You Need? Must have expert knowledge of consumer compliance deposit regulations. Expert understanding and knowledge of privacy regulations Bachelor's Degree or minimum 5 years of experience in Compliance or Operations analysis roles that work closely with the Compliance area. Must have ability to prioritize and multi-task and demonstrated ability to meet deadlines. Accountably, takes ownership for all actions and sets high standard for self-performance and completion of tasks. Apply both technical and general business knowledge to resolve the issues in assigned function. Effective verbal and written communication skills. Strong analytical, critical thinking and problem-solving skills with the ability to exercise sound and balanced judgment. Proactive identification of risks and ability to propose solutions. Ability to work independently as well as with a range of senior managers, peers, and junior colleagues. Ability to build strong and productive working relationships. Report writing and documentation. Technology Skills: Ability to work with the Microsoft Suite and learn/work with other Customers Bank's applications Customers Bank is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics. We also provide "reasonable accommodations", upon request, to qualified individuals with disabilities, in accordance with the Americans with Disabilities Act and applicable state and local laws. Diversity Statement: At Customers Bank, we believe in working smart, working together, and having fun while delivering innovative solutions and memorable experiences for our customers. We are committed to the continual advancement of a culture which reflects the value we place on diversity, equity, and inclusion. We honor the diverse experiences, perspectives, and identities of our team members, and we recognize that it is their passion, creativity, and integrity that drives our success. Step into your future with us! Let's take on tomorrow.

Posted 30+ days ago

Senior Counsel, Global Trade Compliance (B5)-logo
Senior Counsel, Global Trade Compliance (B5)
Applied MaterialsAustin, TX
Who We Are Applied Materials is the global leader in materials engineering solutions used to produce virtually every new chip and advanced display in the world. We design, build and service cutting-edge equipment that helps our customers manufacture display and semiconductor chips - the brains of devices we use every day. As the foundation of the global electronics industry, Applied enables the exciting technologies that literally connect our world - like AI and IoT. If you want to work beyond the cutting-edge, continuously pushing the boundaries of science and engineering to make possible the next generations of technology, join us to Make Possible a Better Future. What We Offer Salary: $172,000.00 - $236,500.00 Location: Austin,TX, Santa Clara,CA, Washington,DC At Applied, we prioritize the well-being of you and your family and encourage you to bring your best self to work. Your happiness, health, and resiliency are at the core of our benefits and wellness programs. Our robust total rewards package makes it easier to take care of your whole self and your whole family. We're committed to providing programs and support that encourage personal and professional growth and care for you at work, at home, or wherever you may go. Learn more about our benefits. You'll also benefit from a supportive work culture that encourages you to learn, develop and grow your career as you take on challenges and drive innovative solutions for our customers. We empower our team to push the boundaries of what is possible-while learning every day in a supportive leading global company. Visit our Careers website to learn more about careers at Applied. Senior Counsel, Trade Compliance - (B5) Job Description Senior Counsel, Trade Compliance This is a fantastic opportunity for an experienced global trade compliance attorney to join our dynamic team and help to innovate Applied Materials' compliance program with the evolving regulatory landscape for the semiconductor industry. This senior counsel position will support all facets of global trade compliance. The focus of the work will be to support technology controls, with an emphasis on supply chain and other functional related trade compliance topics. The successful candidate will have experience supporting complex trade issues involving classification of technology, software and/or source code; technology transfers and IT controls/security for controlled technology; and supply chain and procurement restrictions resulting from recent export control regulatory changes and import restrictions globally. This position will also support on trade related legal investigations or reviews, when needed. In this position, you will contribute to functional strategy and lead project teams involving innovative and evolving regulatory changes in the semiconductor industry. Based in Santa Clara, CA, this will be a critical role reporting into the Director, Trade Legal and Compliance. This Senior Counsel, Trade Compliance will join a growing team of dedicated in-house legal support to the company's global trade function and work horizontally with key business stakeholders. In this role, you will be responsible for: Continually analyzing the evolving trade laws and regulations applicable to the company, and their impact on strategy and operations. Provide support to the trade functions due diligence team to resolve trade related flags that rise. Conduct trade related legal investigations or reviews to resolve internal reports. Providing critical programmatic support for trade compliance organization enhancements throughout the global enterprise. Develop process enhancements that embed new regulatory requirements into business operations. Design and advise on enhancements for trade compliance policies, operating procedures and technology control plans. Advise on trade compliance training for a variety of audiences involving classification of technology, software and/or source code. Advising and problem solving on compliance issues involving technology transfers and IT controls/security for controlled technology and supply chain restrictions that have a broad impact on the business. Partner to solve unique and complex problems that have a broad impact on the business involving classification, technology controls and supply chain trade regulations. Advise and manage projects to enhance legal processes, procedures and protocols for trade controls embedded in all functions of the organization. Undertake special projects and supporting other compliance program initiatives. Major Areas of Responsibility As an in-house attorney focused on trade compliance, you will advise on cross-border transactions and a wide range of international trade compliance matters. This senior counsel position will collaborate closely with peers in developing and enhancing both US and non-US compliance processes as geopolitics continue to influence global trade strategy and business for the semiconductor industry. You will coordinate with external legal counsel, as appropriate, and provide legal advice to the company's global business units and departments. You will have frequent contact with internal stakeholders throughout the company's global operations, including executives. Qualifications Juris Doctorate degree and a minimum of 6-8 years of experience in advising multinational businesses on trade compliance matters, including US export controls, imports/customs, sanctions and compliance program development. Excellent academic background. Experience practicing with a top tier law firm and/or multinational consulting group. Ability to quickly demonstrate competence to gain the trust of business stakeholders to achieve a desired objective. Investigations background, preferably in trade related investigations. Self-motivated individual with the ability to work smart and fast independently. Problem Solving: Proactively identifies and solves complex problems, thinking beyond existing solutions and frameworks. Comfortable in balancing competing priorities and changes in scope/direction to align with team and business objectives. Excellent communication skills: Ability to clearly articulate and visually present complex legal advice for senior executives; excellent written work product (compliance policies, procedures, training). Passion for compliance work! Desired Qualifications In-house experience in the semiconductor industry and/or high-tech industry is strongly preferred. Deep experience in the U.S. Export Administration Regulations (EAR). Demonstrated experience in trade investigations, in-house experience preferred. Subject matter expertise with non-US export and import regulatory regimes. Language skills (Mandarin, Korean, or Japanese) are a bonus. #LI Additional Information Time Type: Full time Employee Type: Assignee / Regular Travel: Not Specified Relocation Eligible: Yes The salary offered to a selected candidate will be based on multiple factors including location, hire grade, job-related knowledge, skills, experience, and with consideration of internal equity of our current team members. In addition to a comprehensive benefits package, candidates may be eligible for other forms of compensation such as participation in a bonus and a stock award program, as applicable. For all sales roles, the posted salary range is the Target Total Cash (TTC) range for the role, which is the sum of base salary and target bonus amount at 100% goal achievement. Applied Materials is an Equal Opportunity Employer. Qualified applicants will receive consideration for employment without regard to race, color, national origin, citizenship, ancestry, religion, creed, sex, sexual orientation, gender identity, age, disability, veteran or military status, or any other basis prohibited by law. In addition, Applied endeavors to make our careers site accessible to all users. If you would like to contact us regarding accessibility of our website or need assistance completing the application process, please contact us via e-mail at Accommodations_Program@amat.com, or by calling our HR Direct Help Line at 877-612-7547, option 1, and following the prompts to speak to an HR Advisor. This contact is for accommodation requests only and cannot be used to inquire about the status of applications.

Posted 30+ days ago

Manager, Supplier Quality, Sustainability, And Regulatory Compliance-logo
Manager, Supplier Quality, Sustainability, And Regulatory Compliance
ProterraBatesville, SC
Proterra offers a dynamic and supportive workplace where our employees can thrive personally and professionally. With cutting-edge facilities and groundbreaking projects, Proterra offers unique opportunities to grow, collaborate, and lead transformative change in the electrification of heavy-duty transportation and equipment. Our commitment to innovation extends beyond our battery solutions to our people, where we create an environment where everyone feels valued, supported, and empowered to drive change for the earth. Here at Proterra we strive to foster a culture of inclusivity, valuing diverse perspectives and encouraging bold ideas, allowing our employees to bring their full selves to work. Our employees benefit from competitive total rewards packages, and opportunities to develop professionally. Position Overview We are seeking a dynamic and experienced Supplier Quality Manager specializing in Supplier Quality, Sustainability, and Regulatory Compliance to join our team. The ideal candidate will lead and execute initiatives to transform our supply chain to become IATF 16949 compliant, ensuring adherence to automotive industry standards. This role will drive continuous improvement in supplier quality, regulatory compliance, and sustainability initiatives, fostering strong partnerships with suppliers to promote responsible and high-quality manufacturing practices. The position will lead and develop a team of Supplier Quality Engineers, Regulatory Compliance professionals, and Sustainability specialists, fostering a culture of continuous learning and professional growth. The ideal candidate will be a mentor and coach, providing structured career development opportunities, technical training, and performance feedback to ensure the team's success. Supplier Quality Management: Develop, implement, and maintain supplier quality management systems aligned with IATF 16949, ISO 9001, and other relevant quality standards. Lead supplier audits, assessments, and qualification processes to ensure compliance with quality and regulatory standards. Collaborate with suppliers to improve product quality, reduce defects, and implement corrective actions through 8D, PPAP, FMEA, and APQP methodologies. Develop and monitor Supplier Quality KPIs (e.g., PPM, on-time corrective actions, audit performance) and drive continuous improvement initiatives. Oversee and guide Supplier Quality Engineers, ensuring they have the resources, training, and leadership support needed to succeed. IATF 16949 Compliance and Supply Chain Transformation: Lead initiatives to align the supply chain with IATF 16949 certification requirements, ensuring full compliance with automotive industry quality management systems. Work cross-functionally with engineering, procurement, and manufacturing teams to integrate IATF 16949 principles into supplier management processes. Support suppliers in implementing and maintaining IATF 16949 certification, including training, documentation, and process improvements. Sustainability Strategy Development and Execution: Collaborate with cross-functional teams to develop and implement a comprehensive sustainability strategy aligned with company goals and industry best practices. Drive initiatives to enhance transparency throughout the supply chain, including supplier assessments, audits, and monitoring mechanisms to identify and mitigate ESG risks. Promote responsible sourcing practices and supplier engagement in environmental, social, and governance (ESG) initiatives. Lead and develop a team of sustainability professionals, ensuring they are empowered to drive impactful change and stay ahead of evolving sustainability trends and regulations. Regulatory Compliance and Product Quality: Ensure products meet all relevant environmental and regulatory standards, including EU Battery Directive, IMDS, PROP 65, CDX, CMRT, REACH, RoHS, WEEE, CE Marking, PFAS, EMRT, KE07, and other regional/country-specific regulatory requirements. Develop and maintain compliance tracking systems, ensuring adherence to global regulatory requirements and industry best practices. Facilitate the implementation of tools and processes needed to perform Due Diligence activities, ensuring robust compliance monitoring and risk mitigation. Engage with internal and external stakeholders, including suppliers, industry associations, and NGOs, to promote compliance and sustainability initiatives. Provide leadership and career development for the regulatory compliance team, ensuring they remain updated on regulatory changes and best practices. Continuous Improvement and Risk Management: Identify and assess supplier-related risks, develop mitigation strategies, and implement robust risk management processes to safeguard against potential disruptions. Lead continuous improvement efforts to optimize supplier quality performance, leveraging data-driven decision-making and best practices. Drive innovation in supplier collaboration, defect reduction, and process standardization to enhance overall supply chain resilience. Champion a culture of excellence, teamwork, and professional development, ensuring that all direct reports have opportunities for growth, training, and leadership exposure. Qualifications: Bachelor's degree in supply chain management, engineering, quality management, environmental science, or related field; Master's degree preferred. 10+ years of experience in supplier quality management, automotive supply chain, and product compliance, with at least 5 years in a leadership role. Strong knowledge of IATF 16949, ISO 9001, ISO 14001, and automotive industry quality standards. Proven track record of leading supplier quality improvements, driving compliance initiatives, and managing cross-functional teams. Expertise in APQP, PPAP, FMEA, SPC, and 8D problem-solving methodologies. Excellent communication and stakeholder management skills, with the ability to influence and engage at all levels. Strong analytical and problem-solving skills, with experience using data-driven quality management tools. Experience managing and developing teams, with a passion for mentoring and professional growth. Certification in quality management (e.g., Six Sigma, CQE, CQA) is a plus. Experience in sustainability and regulatory compliance within a global supply chain is highly desirable. About Proterra Designed and assembled in the United States, Proterra's innovative battery platform offers industry-leading energy density, durability, performance and safety systems - enabling Proterra EV batteries to be the premium choice for commercial vehicles and industrial equipment. Proterra's battery technology offers industry-leading energy density, safety systems, and durability. Proudly designed in Silicon Valley and assembled in Greer, South Carolina, Proterra batteries are the premier choice to electrify commercial vehicles ranging from buses and trucks to construction equipment and more. Proterra is building innovative battery technology to power a better, more sustainable world. Location: Greer SC - Onsite #LI-EP1

Posted 3 weeks ago

Compliance Officer - Payments-logo
Compliance Officer - Payments
AdyenSan Francisco, CA
This is Adyen We took an unobvious approach to starting a payments company, building a platform from scratch. Today, we're the payments platform of choice for the world's brightest companies. Our unobvious approach is a product of our diverse perspectives. This diversity, of backgrounds, cultures, and perspectives, is essential in helping us maintain our momentum. Our business challenges are unique, we need as many different voices as possible to join us in solving them - voices like yours. So no matter where you're from, who you love, or what you believe in, we welcome you to be your true self at Adyen. Card Scheme Compliance Officer Our fast-paced Compliance team is looking for an experienced Card Scheme Compliance Officer for our San Francisco Office. Experience with Card Networks, payments and/or finance industry is required. The successful candidate must have strong analytical skills and be able to work as a business partner to connect with a wide range of teams, including risk, legal, finance and sales, and provide pragmatic advice and guidance to build sustainable growth. What you'll do Proactively identify compliance obligations based on Card Networks and Local Payment Methods Rules. Translate identified obligations into relevant Policies and Procedures to be communicated and implemented across the global business; Represent the team on a variety of work streams and products to establish strategies that align with global objectives and ensure controlled and compliant growth; Strengthen knowledge and education management across the global business; Participate in Product Risk Assessments and advise other compliance verticals; Support and maintain oversight of the first line; Handle escalations from global internal and external stakeholders; Consider opportunities and risks from a variety of angles to achieve compliant solutions that align with commercial and strategic objectives; Advise internal stakeholders and liaise with external stakeholders as well as relevant auditors. Who you are You have 3 to 5 years' experience in payments/Credit Card industry and/or second line compliance functions; Your knowledge of the finance and/or payment industry will be well established; with experience dealing with Card Networks and Scheme Rules; You bring knowledge of the US/CA markets and have exposure to global business. You are an analytical thinker who can both draft, and monitor on the implementation of, relevant Policies and Procedures; You have solid interpersonal skills, specifically you will be able to liaise and connect with a variety of internal and external stakeholders and Merchants from varying disciplines and cultures; You feel comfortable addressing senior management. You are able to influence across all levels of the organization; You have a good sense of business and technical acumen; Your strong sense of initiative and self-motivation will add value to a fast-growing business. Who we are Adyen is the payments platform of choice for the world's leading companies, delivering frictionless payments across online, mobile and in-store channels. It is the only provider of a modern end-to-end infrastructure, connecting directly to Visa, Mastercard, and consumers' globally preferred payment methods. With offices around the world, Adyen serves nine of the 10 largest U.S. internet companies and many worldwide retailers. Customers include Facebook, Uber, L'Oreal, Casper, Bonobos, and Spotify. The annual base salary range for this role is $120,000 - $155,000; to learn more about our compensation philosophy, please click here. This role is based out of our San Francisco office. We are an office-first company and value in-person collaboration; we do not offer remote-only roles. Our Diversity, Equity and Inclusion commitments Our unique approach is a product of our diverse perspectives. This diversity of backgrounds and cultures is essential in helping us maintain our momentum. Our business and technical challenges are unique, and we need as many different voices as possible to join us in solving them - voices like yours. No matter who you are or where you're from, we welcome you to be your true self at Adyen. Studies show that women and members of underrepresented communities apply for jobs only if they meet 100% of the qualifications. Does this sound like you? If so, Adyen encourages you to reconsider and apply. We look forward to your application! What's next? Ensuring a smooth and enjoyable candidate experience is critical for us. We aim to get back to you regarding your application within 5 business days. Our interview process tends to take about 4 weeks to complete, but may fluctuate depending on the role. Learn more about our hiring process here. Don't be afraid to let us know if you need more flexibility. This role is based out of our San Francisco office. We are an office-first company and value in-person collaboration; we do not offer remote-only roles.

Posted 30+ days ago

Compliance Technician Associate-logo
Compliance Technician Associate
SAN MANUEL INDIAN BINGO & CASINOHighland, CA
Under the direction of the Supervisor, Gaming Technical, the Gaming Compliance Technician Associate utilizes technical knowledge to ensure game integrity, conducting preventive maintenance, machine evaluations, and software testing for compliance. Assists in regulatory compliance, security, and project completion while maintaining accurate regulatory records and conducting detailed observations of gaming machines for comprehensive analysis, supporting department efficiency. ESSENTIAL DUTIES AND RESPONSIBILITIES Executes technical understanding to protect game integrity by identifying, escalating, and effectively dealing with technical issues. Performs preventive maintenance and machine evaluations, as well as conduct software game integrity testing to ensure compliance. Assists in enforcing regulatory compliance, maintaining security, and completing technical projects. Maintains the accuracy and integrity of regulatory records. Conducts observations of gaming machines, utilizing historical data and technical behaviors. Accurately identify and escalate any findings for comprehensive analysis records. Performs other duties as assigned to support the efficient operation of the department. EDUCATIONAL, EXPERIENCE AND QUALIFICATIONS High School Diploma or GED required. Bachelor's Degree in Information Technology (IT) or Engineering preferred. KNOWLEDGE, SKILLS AND ABILITIES (KSA) Experience in technology, engineering, Gaming industry or Regulatory/Compliance preferred. Ability to learn electronics, electromechanics, and data communications. Basic computer literacy and good mechanical and/or electrical aptitude required. Ability to learn, retain, and apply AC/DC fundamentals. Ability to learn, retain, interpret, and apply Technical Standards, Tribal, State, and Federal Laws. Basic proficiency in Microsoft Word, Excel, Power Point and Outlook required. Proficiency in internet research is mandatory. REQUIRED 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. A+ or N+ certification preferred. Select One of the Following for Driving Responsibilities: 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 otheroffice 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

Compliance Manager - GRC-logo
Compliance Manager - GRC
Chicago Board Options ExchangeChicago, IL
Job Description: The Manager, Compliance - GRC will lead Compliance's implementation and use of a Governance, Risk, and Compliance ("GRC") framework tool. This includes working with stakeholders to document controls, mapping those controls and policies to regulations, and developing control and regulatory change management workflows. The role involves developing applications and functionality to support GRC workflows, reporting, and dashboards to support the needs of Cboe's Compliance function. Additionally, this role includes ongoing collaboration with Risk and Internal Audit to support management of a robust GRC tool. Effective project management, stakeholder communication, and company-wide education to ensure user engagement and support are also pivotal components of this position. Duties and Responsibilities: Lead the GRC framework implementation effort for Compliance, providing guidance on best practice design and strong data governance, working closely with Risk and Internal Audit. Collaborate with users throughout the company to create effective process and control documentation, load data into the GRC tool (Onspring), and map to regulatory obligations, policies/procedures, and risks. Manage regulatory obligation data feeds (Ascent into Onspring), ensuring data integrity and supporting mapping of regulatory obligations to processes, controls, and risks. Collaborate with the Compliance Monitoring Program ("CMP"), Policy Governance, and other Compliance teams on cross-functional topics like risk assessment/management, control testing/monitoring, policy and control reviews, and records management. Coordinate with the GRC system administrator to support development of apps, reports, dashboards, workflows, and other functionality to satisfy Compliance GRC use cases. Support control and regulatory change management workflows within the GRC tool. Develop and maintain GRC-related policies, procedures, and job aids as needed. Help users understand Compliance functionality within the GRC tool through communications and training. Execute special project support, work, and other duties for the Chief Compliance Officer and Compliance leadership in advancement of divisional goals, requirements, and objectives. Education: Bachelor's degree required Required Experience: Significant experience working within a GRC framework, including documenting controls and connecting GRC data to regulatory obligations and compliance risk. 8+ years of experience working in a complex regulated environment, in the field of compliance monitoring, internal audit, and/or risk management. Knowledge, Skills, and Abilities: Highly skilled in documenting business processes and controls, evaluating regulatory obligations, and assessing compliance risk. Excellent written and verbal communication skills, including the ability to create clear messaging targeted to different audiences and to support others in learning GRC framework concepts. Ability to serve as a liaison between Compliance, other control functions, and global business lines to ensure collaboration and coordination. Strong project leadership skills, including the ability to manage requirements from various stakeholders across the global organization. Ability to manage multiple projects/assignments concurrently to be successful in a fast-paced and high-growth environment. Strong organizational skills and attention to detail. Ability to work both independently and in a dynamic team-oriented environment. GRC tool system administrator experience is a plus. More About Cboe Global Markets We're reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We're investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed. We celebrate the diversity in our communities, inside and out, and welcome new perspectives with equity, inclusion and belonging. We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We're an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes. Learn more about life at Cboe on our website and LinkedIn. Equal Employment Opportunity We're proud to be an equal opportunity employer - and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. #LI-CP1 Our pay ranges are determined by a number of factors, including, but not limited to, role, experience, level, and location. The national new hire base pay range for this job in the United States is $110,500-$136,500. This range represents the minimum and maximum base pay the company expects to offer for new hires working in the position full time. If you live in one of the following areas or if you work in a Cboe office in the following areas, the range may be higher according to the geographic differentials listed below: US Geographic Differentials: 110%: Austin TX, Chicago IL, Denver CO, San Diego CA 115%: Los Angeles CA, Seattle WA 120%: Boston MA, Washington DC 125%: New York City NY 130%: San Francisco CA Within the range, individual pay is determined by a number of factors, including, but not limited to, work location, job-related skills, experience, and relevant education or training. In addition to base pay, our total rewards program includes an annual variable pay program and benefits including healthcare (medical, dental and vision), 401 (k) with a generous company match, life and disability insurance, paid time off, market-leading tuition assistance, and much more! Your recruiter will provide more details about the total compensation package, including variable pay and benefits, during the hiring process. For further information on our total rewards program, visit TOTAL REWARDS @CBOE. Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.

Posted 2 days ago

Apollo Global Management logo
Trading Compliance Associate
Apollo Global ManagementNew York, NY
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Job Description

Position Overview

At Apollo, we're a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 30 years of proven expertise across Private Equity, Credit and Real Estate, regions and industries, we're known for our integrated businesses, our strong investment performance, our value-oriented philosophy - and our people.

Apollo is seeking a Compliance Associate to join the Legal, Regulatory, Tax, and Compliance ("LRTC") team covering broker-dealer compliance associated with Apollo's Alternative Trading ("AAT") business. The Compliance Associate will work closely with senior members of Apollo's AAT business and members of Apollo's LRTC team to ensure compliance across Apollo's global investment platform. Primarily, the function will focus on compliance matters related to secondary market institutional fixed-income activity in AAT and across Apollo's broker-dealer business. The Compliance associate will drive the implementation of compliance controls relating to, among others:

  • Information barriers
  • Inter-affiliate transactions
  • Conflicts of interest
  • FINRA rules

Apollo is looking for an individual with excellent analytical and communications skills who thrives in a fast-paced, dynamic, and collaborative environment with a strong understanding of broker-dealer regulation and working knowledge of the Advisers Act.

Primary Responsibilities:

  • Monitoring controls related to the information wall between AAT Trading and Apollo

  • Coordinating with Compliance colleagues and the business to drive the review and approval process for inter-affiliate transactions

  • Be the key contact in conflicts clearance and trade reviews related to AAT activity

  • Implement and monitor controls regarding resales of restricted securities

  • Conducting surveillance focused on information safeguarding and secondary market trading rules

  • Preparing material and documents related to supervisory meetings and governance committees

  • Maintaining and developing internal policies and procedures and current regulatory guidance with respect to broker-dealer and other related compliance matters

  • Leading general compliance matters, and other projects related to AAT

Qualifications & Experience

Apollo seeks to hire individuals who are highly motivated, intelligent, energetic and can quickly assess a situation and exercise sound business judgment. More specifically, the successful candidate should have:

  • Bachelor's degree with an excellent record of academic achievement

  • 4-6+ years of prior experience as a Compliance Officer in a broker-dealer or in a capital markets/investment banking environment

  • Knowledge of fixed income and ETF products

  • Experience operating on a trading floor a plus

  • Ability to adapt and work well within a fast-past environment; manage and prioritize competing tasks simultaneously

  • Confident and effective communicator

  • Ability to work independently while remaining a strong team player

  • Strong attention to detail and exceptional analytical skills

  • Initiative, creative and driven

Pay Range

$190,000 - $250,000

Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity.

The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law.

The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered.

The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.