Auto-apply to these compliance jobs

Position Title Vice President of Compliance Position Summary The Vice President (VP) of Compliance will be responsible for developing, implementing, and managing the organization’s overall compliance program. Reporting directly to the CEO (or General Counsel, depending on organizational structure), the VP of Compliance will ensure that all business units, including clinical operations, adhere to applicable laws, regulations, and internal policies. This leader will work collaboratively across the organization to foster a culture of transparency, integrity, and ethical decision-making. Key Responsibilities Strategic Compliance Leadership Develop and maintain a comprehensive compliance program that ensures adherence to federal, state, and local regulations, as well as industry standards (e.g., HIPAA, OSHA, CMS guidelines). Regularly review and update compliance policies, procedures, and training materials to keep pace with changing regulations. Policy Development & Enforcement Create, implement, and enforce policies and procedures designed to identify and mitigate risk. Investigate and resolve reported compliance concerns, ensuring fair and consistent application of policies. Regulatory Monitoring & Reporting Stay informed of industry developments, regulatory changes, and enforcement trends. Oversee internal audits to assess the effectiveness of the compliance program and identify areas for improvement. Prepare and present compliance reports to executive leadership and the Board of Directors. Risk Assessment & Management Lead organization-wide risk assessments, analyzing data to identify compliance vulnerabilities. Proactively recommend strategies to mitigate risk, ensuring business continuity and protecting the organization’s reputation. Team Leadership & Culture Building Recruit, train, and mentor compliance team members, fostering continuous learning and professional development. Collaborate with cross-functional teams (legal, finance, clinical operations, HR) to create a culture of compliance and ethical conduct. Internal & External Collaboration Serve as the primary liaison with external regulatory bodies and auditors. Work closely with senior leadership to integrate compliance considerations into strategic decision-making and operational planning. Qualifications & Requirements Education : Bachelor’s degree in Business Administration, Healthcare Administration, Law, or a related field. A Master’s degree or Juris Doctor (JD) is preferred. Experience : 10+ years of progressive experience in a compliance -related role, with at least 5 years in a senior leadership capacity. Demonstrated success building and managing compliance programs in a healthcare, hospital, or clinical environment. Regulatory Knowledge : In-depth understanding of healthcare laws and regulations (HIPAA, Medicare/Medicaid rules, Stark Law, Anti-Kickback Statute, etc.). Leadership Skills : Proven ability to influence and collaborate with executive leaders, department heads, and frontline staff. Experience developing high-performing teams. Analytical Abilities : Strong problem-solving and risk assessment skills; ability to interpret complex regulations and translate them into actionable policies. Communication : Excellent written and verbal communication skills, with the ability to clearly articulate compliance requirements and lead trainings or workshops. Certifications : Certified in Healthcare Compliance (CHC) or similar certification is a plus. Preferred Experience Previous experience working with Medical Groups, Palliative Care, or Hospice organizations. Familiarity with palliative and hospice-specific regulations and quality standards (e.g., CAPC guidelines, NHPCO standards). Demonstrated ability to navigate the unique compliance challenges of multi-location or integrated care networks. Key Competencies Ethical Judgment : Demonstrates unwavering integrity and moral courage. Strategic Thinker : Ability to foresee regulatory changes and proactively develop compliance strategies. Influential Leader : Can drive cultural change and secure buy-in at all levels of the organization. Adaptability : Skilled in navigating ambiguity and leading teams through change. Detail-Oriented : Ensures accuracy and thoroughness in risk assessments, audits, and reporting. Working Conditions & Other Information This position typically operates in a professional office setting with some travel to clinical sites as required. Compensation and benefits are competitive and commensurate with experience. The VP of Compliance may work closely with clinical leadership to ensure full integration of compliance standards across the continuum of care. Salary: DOE $140,000-$190,000 (DOE)

Abbott is a global healthcare leader that helps people live more fully at all stages of life. Our portfolio of life-changing technologies spans the spectrum of healthcare, with leading businesses and products in diagnostics, medical devices, nutritionals and branded generic medicines. Our 114,000 colleagues serve people in more than 160 countries. JOB DESCRIPTION: Working at Abbott At Abbott, you can do work that matters, grow, and learn, care for yourself and family, be your true self and live a full life. You’ll also have access to: Career development with an international company where you can grow the career you dream of. Employees can qualify for free medical coverage in our Health Investment Plan (HIP) PPO medical plan in the next calendar year. An excellent retirement savings plan with high employer contribution Tuition reimbursement, the Freedom 2 Save student debt program and FreeU education benefit - an affordable and convenient path to getting a bachelor’s degree. A company recognized as a great place to work in dozens of countries around the world and named one of the most admired companies in the world by Fortune. A company that is recognized as one of the best big companies to work for as well as a best place to work for diversity, working mothers, female executives, and scientists. For years, Abbott’s medical device businesses have offered technologies that are faster, more effective, and less invasive. Whether it’s glucose monitoring system, innovative therapies for treating heart disease, or products that help people with chronic pain or movement disorders, our medical device technologies are designed to help people live their lives better and healthier. Every day, our technologies help more than 10,000 people have healthier hearts, improve quality of life for thousands of people living with chronic pain and movement disorders, and liberate more than 500,000 people with diabetes from routine fingersticks. The Opportunity We are looking for our next Regulatory Operations Compliance Manager to join our team on-site out of our Maple Grove, or St. Paul, MN locations. This Compliance Manager, Global Regulatory Operations would be structured under Global Regulatory Services managing projects related to harmonized regulatory activities in the Abbott’s medical device division. As an individual contributor, the function of a Compliance Manager is to combine the knowledge of Regulatory, Quality and Compliance to manage implementation projects for emerging regulations and lead/drive quality compliance metrics for the Regulatory shared service organization. What You’ll Work On Lead procedural updates and emerging regulation implementation working with cross BU/ cross functional teams Develop new regulatory policies, processes and SOPs Facilitate procedure implementation Provide strategic input and technical guidance on regulatory requirements for process decisions Evaluate regulatory risks of division policies, processes, procedures Develop and mentor regulatory professionals Drive change order activities Create supplemental training materials Review and follow document quality system structure Lead team meetings and document meeting minutes Work on process workflow development teams collaborating with Abbott IT system enhancement teams Author communications and presentations for upper management Required Qualifications Bachelor's Degree in a related field OR an equivalent combination of education and work experience Minimum 4 years’ experience in a regulated industry (e.g., medical products, nutritionals). 2-5 years of experience in regulatory preferred but may consider quality assurance, research and development/support, scientific affairs, operations, or related area. Ability to effectively communicate verbally and in writing, prepare, and negotiate both internally and externally with diverse audiences. Domestic and international regulatory guidelines, policies and regulations. Lead functional groups in the development of relevant data to complete a regulatory submission. Preferred Qualifications Bachelor's degree in science (biology, chemistry, microbiology, immunology, medical technology, pharmacy, pharmacology), math, engineering, or medical fields. Master’s or Ph.D. in a technical area Certification is a plus (such as RAC from the Regulatory Affairs Professionals Society.) 5+ years’ experience in a regulated industry Familiarity with Regulatory Affairs departmental responsibilities and processes Proven success managing multiple projects and priorities CAPA experience Windchill experience Procedural Writing Regulatory Change Assessment International Product Registration support Ad and Promotional Material - Regulatory Review Project management skills – organize and host meetings Quality System maintenance activities Documenting Justification for change from Regulatory perspective Regulatory history, guidelines, policies, standards, practices, requirements and precedents GDP Learn more about our health and wellness benefits, which provide the security to help you and your family live full lives: www.abbottbenefits.com Follow your career aspirations to Abbott for diverse opportunities with a company that can help you build your future and live your best life. Abbott is an Equal Opportunity Employer, committed to employee diversity. Connect with us at www.abbott.com , on Facebook at www.facebook.com/Abbott and on Twitter @AbbottNews. The base pay for this position is $97,300.00 – $194,700.00 In specific locations, the pay range may vary from the range posted. JOB FAMILY: Regulatory Operations DIVISION: MD Medical Devices LOCATION: United States > Maple Grove : 6820 Wedgwood Road N. ADDITIONAL LOCATIONS: United States > Minnesota > St. Paul > Lillehei : One Lillehei Plaza WORK SHIFT: Standard TRAVEL: Yes, 5 % of the Time MEDICAL SURVEILLANCE: No SIGNIFICANT WORK ACTIVITIES: Awkward/forceful/repetitive (arms above shoulder, bent wrists), Continuous sitting for prolonged periods (more than 2 consecutive hours in an 8 hour day) Abbott is an Equal Opportunity Employer of Minorities/Women/Individuals with Disabilities/Protected Veterans. EEO is the Law link - English: http://webstorage.abbott.com/common/External/EEO_English.pdf EEO is the Law link - Espanol: http://webstorage.abbott.com/common/External/EEO_Spanish.pdf

Job Title: Compliance Director Location: Santa Ana, CA (Remote/Hybrid/In-Person Options Available) Salary Range: $120,000 - $170,000 per year (DOE) About Us: Brigade Health is a leading provider of medical group services, palliative care, and hospice solutions, committed to delivering high-quality, patient-centered care. We are seeking a seasoned Compliance Director to lead our regulatory and compliance efforts, ensuring adherence to all state and federal regulations. Position Overview: The Compliance Director will be responsible for developing, implementing, and overseeing compliance programs to ensure that all operations align with healthcare regulations, accreditation standards, and company policies. This role requires expertise in compliance frameworks within Medical Groups, Palliative, and Hospice Care settings. Key Responsibilities: Develop and implement comprehensive compliance programs, policies, and procedures. Monitor regulatory changes at the federal, state, and local levels and ensure timely compliance. Conduct internal audits and risk assessments to identify potential compliance issues. Provide training and education to staff on compliance-related matters, including HIPAA, Medicare/Medicaid, and other relevant regulations. Serve as the primary liaison with regulatory agencies, auditors, and legal counsel. Investigate and address compliance concerns, ensuring proper reporting and resolution. Maintain accreditation and licensing standards across all service lines. Collaborate with leadership to integrate compliance into strategic planning and decision-making. Qualifications: Bachelor's degree in Healthcare Administration, Business, Law, or a related field (Master’s preferred). Minimum of 5-7 years of experience in healthcare compliance, with specific expertise in Medical Groups, Palliative, and Hospice Care. Strong knowledge of federal and state healthcare regulations, including CMS, HIPAA, and OIG guidelines. Proven experience conducting audits, investigations, and risk assessments. Certified in Healthcare Compliance (CHC) or a related certification is a plus. Excellent communication, leadership, and problem-solving skills. Ability to work independently and collaboratively in a fast-paced environment. Why Join Us? Competitive salary and benefits package. Opportunity to shape and drive compliance initiatives in a dynamic healthcare environment. Supportive leadership and a mission-driven culture dedicated to patient care and regulatory excellence. Join us in making a meaningful impact in healthcare compliance and patient care excellence!

Own where you work. Braun Intertec is proud to be a 100% employee-owned environmental consulting, geotechnical engineering, and testing firm of 1,000 employees with offices located in ten states. As a part of our exciting growth initiatives, we are continuing to build relationships in emerging markets and recruiting new talent. Our dedication to being the Employer of Choice is instrumental in achieving our goal of becoming the Consultant of Choice. By hiring the best people and helping each other grow both professionally and personally, we ensure a bright future for our employee owners and our clients. We want our employee-owners to be fully engaged — at home, at work, and in their communities. We provide our employees with a full range of benefits including comprehensive medical, vision, and dental plans, paid time off (as well as volunteer time off), company match 401k, participation in our Employee Stock Ownership Program (ESOP), technical training and career development resources, and access to our wellness program. The ESOP is a benefit we are proud of and celebrate as it allows all employees to be owners within the company. We offer the flexibility to work from home or in an office environment on your own terms. This is a great opportunity to join our growing Environmental Compliance and Permitting group. Do you want an opportunity to truly have a say in growing and building a dynamic group? Do you want to work with an engaged team that is focused on creative solutions to complex environmental problems for a wide variety of clients? Job Description A Project Manager in our Environmental Compliance practice group works with clients to get their projects done on time, on budget, while exceeding expectations. You will contribute to the firm’s success by: Collaborating closely with other members of the firm, listening to the client’s needs, and developing solutions to meet their needs. Rallying the project team, keeping them on track, and driving projects to completion. When something comes up, you’ll keep things moving. Tracking project performance, profitability, schedule, and make sure you have the right resources to complete the project. Working with clients to help them develop or maintain compliance programs. Building relationships with clients, vendors, and partners through excellent project work. Performing technical work and supporting project deliverables on more complex environmental compliance projects including: Solid and hazardous waste management permitting and compliance, including plan development; SPCC plan development and compliance; Wastewater permitting and compliance; Stormwater permitting and compliance; Environmental compliance inspections and evaluations; Environmental audits and compliance assessments including identification and implementation of recommendations; Knowledge of environmental laws and standards and ability to research and apply them appropriately; and Environmental Reporting (i.e., Annual Waste Summaries, EPCRA Tier II Reports, SARA Toxic Release Inventory Reports, Air Emissions Inventory Reports, Annual Compliance Reports, etc.) What We’d Love to See in You BS degree or higher in Environmental Science, Engineering, Geology, or related field 5-12 years of direct environmental regulatory compliance experience. Demonstrated experience and knowledge of environmental permitting and regulatory compliance as they apply to industrial, energy, and commercial clients. Proven leadership skills with experience mentoring junior staff. Excellent communication and critical thinking skills. Valid driver’s license and satisfactory driving record. #LI-hybrid #LI-CT1 Compensation Range: $70,300.00 - $105,500.00 As an EEO/Affirmative Action Employer, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, veteran or disability status. B raun Intertec strives to ensure that its careers web site is accessible to all. If you need assistance completing your online application, please email hrhelp@braunintertec.com . As an Equal Opportunity Employer, Braun Intertec is committed to providing reasonable accommodations for qualified individuals with disabilities and disabled veterans. If you need a reasonable accommodation to assist with your job search or application for employment, please e-mail us at hrhelp@braunintertec.com . In your e-mail, please include a description of the specific accommodation you are requesting as well as the job title and requisition number of the position for which you are applying.

Job Title Compliance Manager Job Description Summary Job Description Summary · The Compliance Manager oversees program, policies, and procedures related to safety/health and environmental quality in multiple healthcare facilities. · The job encompasses a large variety of occupational, facility, and individual safety responsibilities and requires knowledge of OSHA and EPA standards. Facilities compliance/ safety knowledge is a requirement, within the healthcare field preferred Job Description Proactively leads the ongoing evaluation, planning and support of the continuous readiness infrastructure and processes to ensure Joint Commission accreditation and other regulatory accreditation, certifications, and applicable Healthcare organizational licenses. Identifies regulatory vulnerabilities and collaborates with client to identify corrective action plans to meet Joint Commission standards Collaborates with Account leadership to ensure implementation of EHS systems. Provides guidance on Joint Commission standards interpretation and other regulatory requirements as they apply to client account. Supports CW Facility teams by collecting and coordinating internal compliance data with engineering technicians, external resources and Facility Management Leadership. Provides administrative support by implementing systems, procedures, and policies; completing projects in support of compliance requirements. Responsible for monitoring federal, state, regional, and local safety and environmental regulations for impact and effective application for C&W and the client. Develops plans and implementation strategies and recommends these to C&W and Client management teams. Reviews, updates, and/or develops and implements safety and environmental policies and programs as required. Coordinates with site property and facility managers. Conducts site needs assessments to determine impact to C&W staff and develops initial site safety and quality plans. Investigates Incidents in conjunction with facilities management and maintains with OSHA 300 reporting. Implements the Cushman & Wakefield EHS Learning Management System and Software platforms. Identifies risk associated with the management of Cushman & Wakefield contractors. Facilitates maintenance of site-specific Policies and Procedures with focus on safety/regulatory issues. REQUIREMENTS & COMPETENCIES: Bachelor’s Degree required or equivalent and relevant years of experience. Minimum 3 years’ experience in an EHS role. Healthcare Compliance and Joint Commission Experience required Experience in EHS implementation, risk assessments, hazard assessments and loss prevention. Knowledge of Occupational Health, regulations (OSHA/NFPA). Ability to travel for client site visits Ability to communicate effectively with all levels of management Self-motivated and able to work independently to find solutions Ability to manage multiple projects simultaneously. Detail-oriented with strong analytical skills Proficiency in Excel, Word, Outlook, Access Excellent written and verbal communication skills Cushman & Wakefield is an Equal Opportunity employer to all protected groups, including protected veterans and individuals with disabilities. Discrimination of any type will not be tolerated. In compliance with the Americans with Disabilities Act Amendments Act (ADAAA), if you have a disability and would like to request an accommodation in order to apply for a position at Cushman & Wakefield, please call the ADA line at 1-888-365-5406 or email HRServices@cushwake.com . Please refer to the job title and job location when you contact us. INCO: “Cushman & Wakefield”

Who We Are: Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the world – and we’re building the products and services to make that future a reality.   Our institutional digital assets platform spans trading, investment banking, asset management, staking, self-custody, and tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S.   We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.   Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.   To learn more about our businesses and products, visit www.galaxy.com. What We Value: We are a diverse team of free thinkers, and fast movers united to help investors and creators energize the global economy. We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. Our culture shapes our way of working and gets us where we want to be. Seek Excellence. Be Selective To Be Effective. Be Highly Aligned, Loosely Coupled. Disagree Transparently. Encourage Independent Decision-Making. Build Dream Teams. Who You Are: We are seeking an experienced regulatory affairs and compliance specialist to join the Galaxy Data Centers team where you will assist in ensuring compliance with grid related market rules or statutes for data centers. In addition to ensuring compliance, you will attend Independent System Operator (“ISO”) or Public Utility Commission (“PUC”) stakeholder meetings, workshops, and discussions to advocate for Galaxy’s position within the relevant market. You will also attend trade association meetings, advocating for Galaxy’s position within those organizations. You should have at least three years of experience within an ISO or PUC stakeholder environment. You should have experience translating regulatory requirements into planning or operational goals within complex organizations and advocating for reasonable market rules within the market. You should have the ability to work independently, have strong analytical and problem-solving skills, with a desire to own issues and see them through to resolution. What You’ll Do: B ecome a subject matter expert on the regulatory and compliance requirements for large data center campuses B ecome an expert at advocating for data center positions within a stakeholder setting T ranslate regulatory and compliance mandates from stakeholder settings to internal operational roadmaps What We’re Looking For: E xperience working within an ISO or PUC stakeholder environment Experience advocating for a specific stakeholder class within a political environment or trade organization Experience translating regulatory or compliance related requirements into operations or planning requirements Bonus Points:   Direct, recent experience within the ERCOT and PUCT stakeholder environment Experience advocating for industrial loads or utility scale generation resources within stakeholder environments Direct, recent experience working on regulations related to Large Loads What We Offer: Competitive base salary and discretionary bonus Paid Time Off Company-paid health and protective benefits for employees, partners, and other dependents Company Paid Holidays (11) 3% 401(k) company contribution Generous paid Parental Leave Free virtual coaching and counseling sessions through Headspace Opportunities to learn about the Crypto industry Free daily snacks and weekly meal in-office Smart, entrepreneurial, and fun colleagues Employee Resource Groups Apply now and join us on our mission to engineer a new economic paradigm. Galaxy respects diversity and seeks to provide equal employment opportunities to all employees and job applicants for employment without regard to actual or perceived age, race, color, creed, religion, sex or gender (including pregnancy, childbirth, lactation and related medical conditions), gender identity or gender expression (including transgender status), sexual orientation, marital or partnership or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, protected medical condition as defined by applicable state or local law, genetic information or predisposing genetic characteristic, or other characteristic protected by applicable federal, state, or local laws and ordinances. We will endeavor to make a reasonable accommodation to the known limitations of a qualified applicant with a disability unless the accommodation would impose an undue hardship on the operation of our business. If you believe you require such assistance to complete the application process or to participate in an interview, please contact careers@galaxy.com.  

Frameworks Compliance Officer, VP Morgan Stanley is seeking a Compliance Officer to join the Swap Dealer Compliance group (the Group) in its Global Compliance Department. The Group is responsible for the implementation and management of the overall compliance program for the Firm's CFTC-regulated swap and SEC-regulated security-based swap business activities globally. On a day-to-day basis, the position supports the Head of Swap Dealer Compliance and works closely with various businesses and control functions to help ensure that the Firm appropriately addresses the regulatory risks relative to its swap and security-based swap business activities. The Group also operates a similar global framework to assist the Firm's non-U.S. entities with respect to compliance with Regulation K under the Federal Reserve Act The principal responsibilities of this position include: > Assisting in developing and maintaining a robust global compliance program for the Firm's swap and security-based swap dealers, including assisting each applicable Chief Compliance Officer (CCO) in satisfying their duties and responsibilities under CFTC and SEC rules. > Assisting with annual gap analyses to identify and update impacted policies globally based on new or amended swap and security-based swap regulations or guidance promulgated by the CFTC, NFA, and SEC. > Assisting with the development and implementation of policies/procedures to comply with international regulation applicable to the Firm's swap and security-based swap activities, particularly those activities implicating U.S. jurisdiction. > Works with regulators, regional Compliance coverage, internal and external subject matter experts, and business unit management to continue to enhance and implement consistent global standards for the Firm's global swap dealer and security-based swap dealer compliance framework. > Assisting in developing and maintaining a robust global compliance program to ensure that the Firm's non-U.S. banking operations are operating pursuant to the restrictions and conditions set forth in Regulation K of the Federal Reserve Act, including those provisions applicable to non-U.S. banks. > Recommending and implementing enhancements to the compliance programs described above and related policies/procedures to ensure that they are reasonably designed to achieve compliance with applicable requirements. > Advises the business on regulatory developments and related control enhancements > Developing and maintaining reports for review by senior management analyzing compliance issues, conflicts of interest, or other matters including tracking status of issues disclosed in annual reports. > Working with business management and compliance surveillance, testing, and audit staff on the development of applicable controls and surveillance. > Working with compliance training staff on the development and coordination of initial and ongoing training for employees on requirements impacting the frameworks maintained by the Group. Qualifications > At least 4-7 years of compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a risk management function or law firm > Strong knowledge of Title VII of the Dodd-Frank Act as pertains to the obligations of swap and security-based swap dealers and/or Regulation K > Familiarity with global derivatives and/or banking regulation > Self-starter who is able to execute time-sensitive projects against plans > Strong inter-personnel skills with a focus on developing relationships at all levels and across functions > Experience in presenting to management > Exceptional attention to detail and strong analytical skills > Proficiency in Excel, PowerPoint, and Microsoft Office Bachelor of Arts degree or equivalent required; advanced degree preferred. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Salary range for the position: $120,000 and $205,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

WHO WE LOOK FOR An SEI-er is a master communicator and active listener who understands how to navigate an audience. Self-aware, almost to a fault, SEI-ers keenly understand how to adjust their support and problem solving based on the situation. Following a logical, fact-based approach, SEI-ers possess the superior ability to see correlations others may not, ask the right questions and drive solutions. As super-connectors, they connect not only people, but data, trends and experiences. Mature, humble, and genuine, SEI-ers frequently go above and beyond for both their clients and their colleagues. SEI-ers are ethical and trustworthy individuals who consistently and repeatedly follow through, and hold true to their values in difficult situations. SEI-ers have an insatiable curiosity and love to learn. These individuals are commonly tech savvy and early adopters. Their passion for learning is infectious and excites others. As every project is different, an SEI-er must be adaptable and comfortable with unexpected situations. SEI-ers define ambition differently. They are authentic, low-maintenance individuals who truly enjoy one another- they like to hang out with colleagues outside of work, collaborate and hold one another accountable. SEI-ers enjoy working with genuine, thoughtful folks who want to steer clear of the traditional grind and share the joy of day-to-day life and activities with colleagues, friends, and family. WHAT WE DO Our Security, Risk and Compliance consultants work with clients at all levels of the organization, from the C-suite to the shop floor, helping them to deliver on their most strategic initiatives. We’re known for making realistic, data-driven decisions that deliver value in tangible ways to our clients. Our clients ask for us on projects that require a superior combination of technical and business capabilities, people and management skills, and a collaborative mindset. We excel in understanding complex programs and strategic initiatives and breaking them into actionable pieces. We are actively looking for professionals in the following areas: Compliance Information Security Risk Management Data Privacy The ideal candidate’s experience may include but is not limited to the following: Management or participation in Cybersecurity, Information Security, Risk, Compliance and/or Data Privacy Programs or Projects Sample projects/programs could include but are not limited to: Compliance framework mapping and implementation, Regulatory mapping and implementation Audit, risk or regulatory remediation management, Readiness for new laws and regulations, Risk, Compliance or Information Security risk reporting and monitoring Creation of roadmaps to mature or advance Risk, Compliance or Information Security Strategies/Programs/Controls Design and enablement of cyber controls functions and processes Change management related to regulatory adoption or compliance changes Audit or certification readiness Familiarity or direct experience with GRC/Cybersecurity solutions, tools and technologies Control design or maturation for high-demand technical areas such as ERP, Identity and Access Management, Business Continuity and Resiliency, Cloud Knowledge of and/or application of industry specific regulations, laws, and standards such as the EU-GDPR, CCPA/CPRA, HIPAA, PCI Knowledge of and/or application of compliance and security frameworks and standards such as COSO, NIST, ISO Management of regulatory, internal or external audits, or experience as an auditor Projects or roles requiring coordination across lines of defense working with technical, business, compliance, risk and audit teams to deliver solutions Work or projects with military or federal government agencies in Risk, Compliance or Information Security/Cyber Security sectors Certifications: CIPP, CRCM, CRM, ARM, CISSP, CISM QUALIFICATIONS Required- Alignment to our core values: Excellence, Participation, Integrity, and Collaboration Hungry, Humble, Smart Demonstrated business and technology acumen Strong written and verbal communication skills Understanding and experience solving real business problems Proven track record of delivering results Experience working with and/or leading a team Ability to work across industries, roles, functions & technologies Authorization for permanent employment in the United States (this position is not eligible for immigration sponsorship) Preferred- Bachelor’s degree 8+ years professional experience Experience across our service offerings Systems Evolution, Inc. (SEI) is an equal opportunity employer (EOE) and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law

Discover your next career opportunity with Morgan Stanley, where we are committed to helping our employees build meaningful careers, and where you can learn, achieve, and grow. Across the globe, we believe our greatest asset is our people. As part of our commitment to excellence, and to you, we offer a comprehensive suite of benefits, programs, and perks. We stand for doing the right thing, putting clients first, leading with exceptional ideas, committing to diversity and inclusion, and giving back. About Global Financial Crimes In Global Financial Crimes (GFC), you will play a critical role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system. GFC coordinates day-to-day implementation of the Firm's financial crime prevention efforts. Including governance, oversight, and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. If you are passionate about financial crimes prevention, seeking a rewarding and dynamic career, and focused on making a difference, then GFC might be the right team for you. Your Key Responsibilities: The Deputy Head of Sanctions Compliance will report to the Global Head of Sanctions Compliance and help to lead a global team of in-house financial crimes specialists collectively responsible for coverage of legal, compliance, and regulatory economic sanctions issues arising in all business units. As the Deputy Head of Sanctions Compliance, you will: > Handle compliance and regulatory matters pertaining to economic sanctions programs adhered to under the Firm's Global Sanctions Policy, including the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC), His Majesty's Treasury of the United Kingdom's Office of Financial Sanctions Implementation (OFSI), the United Nations Security Council (UNSC), and the Council of the European Union (EU Council) > Support the Global Head of Sanctions Compliance in managing a team of sanctions compliance officers based in various locations globally, covering the Firm's enterprise-wide program > Play a leading role in the ongoing development, administration, and implementation of the Firm's economic sanctions compliance program > Develop, recommend, and implement risk-based processes and controls to ensure business unit compliance with economic sanctions > Provide written and verbal communication on issues to the lines of business, performing and reviewing highly sensitive client and transaction search information, reporting, escalating and documenting results > Maintain awareness of regulatory changes related to economic sanctions, ensuring proper communication and timely implementation of new procedures and/or enhanced due diligence programs in compliance with any change in laws and regulations > Supervise the drafting and implementation of economic sanctions policies and procedures > Coordinate with GFC's Monitoring and Screening Controls function on Global Screening Standards and the implementation of screening rules > Coordinate with the Risk Assessment team on the yearly economic sanctions Risk Assessment > Supervise the review and investigation of escalated payments and/or transactions identified for potential matches to OFAC and other related sanctions lists; ensure prompt handling and response > Develop content for and deliver specialized training to relevant internal audiences concerning economic sanctions for both in-person and Firm-wide online training modules > Conduct ad hoc due diligence projects arising from the administration of the economic sanctions program > Lead OFAC filing efforts in consultation with Financial Crimes Legal > Assist with responding to U.S. regulatory exams and other inquiries, and internal audits, including overseeing document productions What We're Looking for in You > Strong academic credentials > 10+ years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body > Detailed understanding of the laws, rules, regulations, and industry best practice pertaining to economic sanctions, in particular the sanctions programs administered and enforced by OFAC and in the EU > Ability to understand and assess a wide variety of complex commercial transactions > Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program > Experience in configuration of client and transactional screening technologies and management of alert disposition processes > Strong project management skills > Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment > Strong written and verbal communications skills, attention to detail, and effective time management > Sound judgment and an ability to appropriately escalate issues internally > Strong interpersonal skills and team-player attitude > Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment Where You'll be Working This role will require in office attendance 3 days/week. Two of those days will be Anchor Days where you will be in the office with your teammates to learn, grow, and collaborate in person. Equal Opportunities Statement Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

TSC is a growing leader in aerospace and defense, and we are excited to expand our team with the addition of a Senior Trade Compliance Specialist . This key role will oversee all aspects of trade compliance, and ensure our operations adhere to U.S. government regulations. We’re looking for a strong leader with expertise in import/export compliance, excellent problem-solving skills, and a collaborative mindset. This role offers the flexibility of a hybrid remote schedule but requires proximity to our Arlington, VA office, with 1-2 days per week onsite as needed. Key Responsibilities: Ensure compliance with U.S. export and import control laws and regulations, including drafting and managing ITAR and BIS licenses (e.g., DSP-5, DSP-73). Act as an Empowered Official and provide training and guidance on trade compliance regulations. Develop, implement, and review international trade compliance controls, policies, and procedures. Collaborate with functional teams to meet export/import needs, including authorizations, classifications, and compliance strategies. Support international programs by reviewing contracts, advising on trade compliance risks, and managing licensing requirements. Conduct audits, deliver training, and ensure proper recordkeeping for trade compliance activities. Oversee Harmonized Tariff Schedule (HTS) classification, export classifications (ITAR/EAR), and country-of-origin requirements. Advise senior leadership on trade compliance risks and strategies. Lead and manage a small trade compliance team, providing oversight for all trade compliance actions. Required Qualifications: 10+ years of experience in international trade compliance (imports/exports). U.S. citizenship with the ability to obtain and maintain a security clearance. Expertise in HTS/Schedule B classification, FTR, and AESDirect filings. Exceptional communication skills and a track record of policy/procedure development. Preferred Qualifications: Proficient with OCR/EASE Previous experience serving as Empowered Official (EO) TSC Benefits: TSC offers a stable work environment, a competitive salary, and a comprehensive benefit package; including ESOP participation, 401k Plan, Flexible Work Schedules, Tuition Reimbursement, Co-Sponsored Health Plan, Paid Leave and much more. Applying to TSC: Only those candidates invited for an interview will be contacted. Employment at TSC is contingent upon the successful completion of a comprehensive background check, security investigation, and a drug screening. TSC is committed to hiring and retaining a diverse workforce. We are proud to be an Equal Opportunity Employer/Affirmative Action Employer, making decisions without regard to race, color, religion, creed, sex, sexual orientation, gender identity, marital status, national origin, age, veteran status, disability or any other protected class . This contractor and subcontractor shall abide by the requirements of 41 CFR 60–1.4(a), 60–300.5(a) and 60–741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity, national origin, or for inquiring about, discussing, or disclosing information about compensation. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Job Description: WE CREATE EMPOWERED LEADERS! At Milwaukee Tool, we believe our people and culture are the keys to our success. We are committed to empowering employees with the resources and opportunities to redefine the industry. With a fast-paced, innovative environment, we foster growth, development, and excellence in every aspect of our operations. Join us to lead the transformation of power tools manufacturing on a global scale. Behind our doors you'll be empowered every day to own it, drive it, and do what it takes to support the biggest breakthroughs in the industry. Meanwhile, you'll have the support and resources of the fastest-growing brand in the construction industry to make it happen. The Regulatory Compliance Engineer – Hazardous Substances will assist with the development and execution of a product safety and regulatory compliance program that focuses on the applicable chemical, recycling, and extended producer responsibility (“EPR”) requirements affecting Milwaukee products. . You’ll be DISRUPTIVE through these duties and responsibilities: Establish strategies and procedures to identify and communicate applicable requirements effectively and efficiently. Drive continuous improvement by identifying and escalating gaps in processes, systems, and technologies. Collaborate with New Product Development teams to ensure integration of compliance with applicable requirements. Where requirements are unclear, assist in obtaining an interpretation from the appropriate authority. Build strong relationships with cross-functional teams, including engineering, supply chain and packaging, to ensure alignment with business objectives. Evaluate information, review data and develop opinion(s) related to compliance of a concept, design, or product. Review and provide feedback for operator's manuals and on-product markings. Other Duties as assigned. The TOOLS you’ll bring with you: Bachelor’s degree in Engineering, Environmental Science, Chemistry, or related technical field. Minimum of 3 years of experience assessing chemical, environmental and/or EPR regulation compliance (e.g. EU’s RoHS and REACH Directives, California Prop 65), preferably related to power tools, batteries, or appliances. Strong verbal, written and organizational skills essential to professional communication. Strong business judgment with the ability to prioritize and articulate high-impact initiatives. Show an emphasis on and adherence to schedule and attention to detail. Other TOOLS we prefer you to have: Familiar with product related EPA regulations (e.g. TSCA and RCRA) Ability to travel both domestically and internationally, as necessary. High interest in Power Tools and tools of the trade. We provide these great perks and benefits: Robust health, dental and vision insurance plans Generous 401 (K) savings plan Education assistance On-site wellness, fitness center, food, and coffee service Milwaukee Tool is an equal opportunity employer.

About the Company Our client is a rapidly growing, VC-backed startup on a mission to transform compliance from a costly bottleneck into a powerful growth driver for modern, AI-driven businesses. Founded by top AI researchers, the company offers an industry-leading platform that leverages advanced AI agents to automate and streamline regulatory compliance with a specific focus on SOC 2, HIPAA, GDPR, and ISO 27001 security certifications, in days instead of months. Their platform saves organizations hundreds of hours on compliance tasks, empowers them to win bigger deals, and enables accelerated growth. The Mission Eliminate “compliance busywork” for innovative companies and unlock new revenue streams by making enterprise-grade compliance effortless, fast, and agent-powered. By combining world-class AI with human expertise, our client ensures security, trust, and agility for high-growth teams in the fast-evolving world of SaaS and AI. The Opportunity As an Account Executive , you will play a pivotal role in scaling revenue by helping high-growth tech companies adopt the most advanced AI-native compliance automation in the market. Your work will directly impact how quickly and securely companies can complete security reviews, win enterprise contracts, and unblock sales pipelines. This is a unique opportunity to join a mission-driven, high-growth organization at the forefront of compliance and AI, and to help shape the future of the regulatory automation landscape. What You’ll Do Own the full sales cycle - from outbound prospecting to closing deals Build a robust sales pipeline of mid-market and early enterprise customers Deliver compelling demos and presentations to C-suite executives, and build feedback loops with product Collaborate directly with company founders to shape go-to-market strategy from an early stage. What You Bring Proven track record of independently closing deals - strong ability to run every stage by yourself and deliver strong results Consistent history of meeting or exceeding sales quotas Experience with $10K-40K ASP Skilled in outbound prospecting, pipeline management, demos, and deal closing Excellent written/verbal communication and negotiation skills Able to engage with both technical and executive stakeholders (CTO, CISO, VP/Director levels) Adaptability to startup or high-growth SaaS environments Key Success Drivers Ability to thrive in a startup environment — handling rapid change, learning quickly, and pushing through setbacks to deliver results Strong ownership and accountability mentality, taking responsibility for outcomes, and holding yourself to high standards Eagerness to continually learn, adapt, and drive improvement in yourself and the organization You are a Team Player who collaborates openly, shares knowledge, and helps create a culture of winning together Why Join? Employment Type: full-time contract Base salary of $100K–$110K with OTE up to $300K Health, dental, and vision insurance coverage Unlimited Paid Time Off Direct access to the YC network Early-stage ownership with a fast & clear promotion track Join a rocket-ship startup funded by Insight Partners and top global investors, with a recent $32M Series A and 10x valuation growth in one year Interviewing Process HR screening Level 1: Phone Interview Level 2: Skill Assessment Interview Reference and Background Checks: conducted after successful interviews Job Offer: provided to the selected candidate We are proud to be an equal opportunity workplace and are committed to equal employment opportunity regardless of race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, genetic information, veteran status, gender identity, or expression, sexual orientation, or any other characteristic protected by applicable federal, state or local law.

Vasion is looking for a Governance, Risk, and Compliance Analyst that exemplifies our core values and wants to be part of our growing team. We are committed to making digital transformation attainable to everyone by building an affordable, integrated SaaS solution that simplifies business processes. Vasion offers a flexible working environment for our 300+ employees worldwide, including at our global headquarters in St. George, Utah, or in one of our other offices in the UK, Germany, and Lehi, Utah. POSITION SUMMARY As a Governance, Risk, and Compliance Analyst with a specialization in FedRAMP (Federal Risk and Authorization Management Program), you will play a critical role in ensuring the security and compliance of our organization's information systems and cloud services, particularly when dealing with federal government clients. You will be responsible for implementing, maintaining, and enhancing security measures and controls to meet and exceed FedRAMP requirements. Your expertise in FedRAMP will be instrumental in safeguarding sensitive data, ensuring confidentiality, integrity, and availability, and facilitating the successful authorization of cloud services for federal government use. KEY RESPONSIBILITIES Lead efforts to achieve and maintain FedRAMP compliance for the organization's cloud services. This includes conducting security assessments, documenting security controls, and ensuring adherence to FedRAMP standards throughout the system's lifecycle. Participate in comprehensive security assessments and audits to identify vulnerabilities, threats, and risks within the organization's information systems. Develop and execute test plans, assess security controls, and provide remediation recommendations to the Product and Engineering teams. . Collaborate with cross-functional teams to design and implement secure architecture solutions for cloud-based systems that align with FedRAMP requirements and industry best practices. Continuously monitor and evaluate security risks, both internal and external, and develop strategies to mitigate them. This includes conducting risk assessments, threat modeling, and vulnerability management. Prepare detailed security documentation required for FedRAMP authorization, including Security Assessment Plans (SAPs), Security Assessment Reports (SARs), and Continuous Monitoring Plans (CMPs). Maintain accurate records and reports related to security assessments. Develop and implement incident response plans and procedures, ensuring a swift and effective response to security incidents or breaches. Coordinate incident investigations, containment, and recovery efforts as needed. Educate and train employees, contractors, and stakeholders on security best practices and FedRAMP compliance requirements. Foster a culture of security awareness and accountability. Evaluate and assess the security posture of third-party vendors and cloud service providers to ensure they meet FedRAMP standards and align with organizational security policies. Stay updated on emerging security technologies, tools, and trends. Recommend and implement security solutions that enhance the organization's security posture. Prepare for and participate in external audits and assessments related to FedRAMP compliance. Address audit findings and ensure timely resolution. Requirements Bachelor's degree in Computer Science, Information Security, or a related field (Master's degree preferred). Certified Information Systems Security Professional (CISSP) or Certified Information Security Manager (CISM) certification is a plus. Experience (2-4 years) in information security, with a focus on compliance and regulatory requirements, particularly FedRAMP. Demonstrable expertise with FedRAMP requirements, guidelines, and the authorization process Proven experience in cloud security, risk management, and conducting security assessments Strong communication skills with the ability to effectively liaise with both technical and non-technical stakeholders Proven experience in delivering effective training sessions on complex security subjects to a diverse audience In-depth knowledge of incident response protocols and remediation techniques Ability to think strategically and act decisively in high-pressure situations Must live in the United States Prior experience working as an ISSO in a similar industry Familiarity with advanced cloud technologies and architectures Ability to manage multiple high-priority tasks simultaneously Proven leadership and team-building skills Benefits Flexible work environment Discretionary Vacation bonus Flexible paid time off Paid parental leave Competitive pay A full suite of traditional benefits Training/Advancement opportunities 401k with company-match Mental Health Wellness Support Financial wellness education Company-contributed HSA Headquarter perks include gym, pickleball, snacks & drinks, arcade, theater room, monthly All Hands lunch, etc. Lehi, Utah office perks include gym access, snacks & drinks, monthly All Hands lunch Our Core Values Vasion looks for people who will exemplify its core values and are driven to become: Action Owners (Extreme Ownership by Jocko Willink and Leif Babin) Candor Seekers (Radical Candor by Kim Scott) Relationship Builders (Leadership and Self-deception by The Arbinger Institute) Storytelling (Building a StoryBrand: Clarify Your Message So Customers Will Listen by Donald Miller) More About Vasion Visit https://www.vasion.com and https://vasion.com/careers/ Additional Information Vasion is an equal opportunity employer. We evaluate qualified applicants without regard to race, age, color, religion, sex, national origin, disability, veteran status, gender identity, sexual orientation, and other legally protected characteristics.

Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. Job Description Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program. Responsibilities The primary responsibilities of the Compliance Testing Officer include: Managing the firm’s annual compliance testing program Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices. Execute the firm’s compliance testing program, Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff. Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings. Tracking compliance testing findings from discovery to remediation. Other Core Compliance activities as needed. Qualifications At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM.  Experience in a compliance testing or audit role is strongly preferred. Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures. High degree of comfort and fluency with computers and technology. Outstanding oral and written communication skills. Ability to work both independently and to multi-task with minimal supervision. Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia. Experience with Atlassian Confluence/JIRA preferred. Company Benefits & Perks Competitive salary, annual performance-based bonus and stock grant Retirement plan 401(k) with a competitive company match Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium. Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack Corporate events, including team outings, dinners, volunteer activities and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups  

Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is a hybrid role (3 days in the office/2 days remote). About your team: We seek a Market Data Compliance Analyst to join our team. In this role, you will ensure compliance around market data administration, focusing on vendor audits, contract/policy management, and vendor communication. This role requires extensive knowledge of the market data and information services industry and how an executing broker uses these services.   What will be your responsibilities within IBKR:  Audit review and preparation: Act as the primary contact on all audit requests and are directly responsible for communication around audits. Work independently and with internal teams to compile statistics and other audit requirements. Strong data analytical and technical skills to review, analyze and identify anomalies. Make recommendations for controls to increase efficiency and accuracy. Vendor Compliance: Oversight on current and new products/offerings to ensure compliance with agreements and policies. Ensure full compliance with agreements and policies to minimize risk. Work with internal teams to resolve any issues identified. Regulatory Compliance: Stay current on regulatory changes affecting market data use and distribution to ensure full compliance with all relevant market data regulations and minimize legal and regulatory risks. Contract and Policy Management: Ability to read and interpret Contracts, Policies and Agreements. Able to document and communicate policies in a clear, concise manner. Identify Cost-Saving Initiatives: Stay engaged in industry changes with new products and services that could potentially benefit our clients.   Which skills are required: Bachelor Degree Strong understanding of the securities industry, including current and proposed policies, regulations and changes Extensive knowledge of the market data industry with a minimum of 5+ years of experience.   To be successful in this position, you will have the following: Microsoft Suite of Products Financial Information Associate and FISD Data Licensing. Self-motivated and able to handle tasks with minimal supervision. Superb analytical and problem-solving skills. Excellent collaboration and communication (Verbal and written) skills. Outstanding organizational and time management skills. Company Benefits & Perks Competitive salary, annual performance-based bonus and stock grant Retirement plan 401(k) with competitive company match Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium. Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks Corporate events, including team outings, dinners, volunteer activities and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups  

Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.   About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote).   Interactive Brokers Group has been consistently at the  forefront of trading innovation , starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a  leader in the financial services industry .   Interactive Brokers is looking to hire a full-time Analyst - Quality Assurance Financial Crime Compliance at the Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago office and will assist with ensuring the firm complies with the Bank Secrecy Act, the USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.   Responsibilities:  Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, sanctions connection and public domain activity, to determine if the activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends Perform quality assurance on regulatory filings. Contribute to streamlining current processes and identifying areas for improvement. Review trading data for suspicious activity or patterns of unusual trading.   The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization. Alternatively, experience in internal audit, legal, accounting or other control functions of a financial services firm or regulator would be beneficial. Absent direct industry experience, we will also consider applicants with excellent bachelor-level educational credentials who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills. Candidates must be focused, adaptable, collaborative and have strong time management skills to thrive and succeed in Interactive Brokers’ work environment.   Qualifications & Skills: 2+ years’ work experience in Sanctions. High comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems. Excellent oral and written communication skills Detail-oriented with outstanding organizational and project management skills Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus Capital Markets   To be successful in this position, you will have the following: Self-motivated and able to handle tasks with minimal supervision. Superb analytical and problem-solving skills. Excellent collaboration and communication (Verbal and written) skills Outstanding organizational and time management skills   Company Benefits & Perks Competitive salary, annual performance-based bonus and stock grant Retirement plan 401(k) with a competitive company match Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack Corporate events, including team outings, dinners, volunteer activities and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups  

About AQR Capital Management AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by looking past market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Our focus on practical insights and analysis has made us leaders in alternative and traditional strategies since 1998. At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and we believe transparency and openness to new ideas leads to innovation. Your Role: We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Vice President level, depending on prior experience and other qualifications.  The ideal candidate will play a key role in supporting the firm’s global marketing and business development initiatives by reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.   Responsibilities Include: Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content. Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies. Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance. Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices. Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance. Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters. Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures. Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.   What You’ll Bring: Bachelor's degree 6-8 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer Series 7 and 24 licenses required Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance Well organized, strong communication skills, detail-oriented and responsive Ability to provide accurate, direct and practical advice in a timely fashion Proactive time management skills and the ability to manage projects independently Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment Role requires work outside of regular business hours on an as needed basis, including monitoring email during evenings and weekends The salary range for this role is expected to be $150,000 to $175,000.  This is the range that we in good faith believe is accurate for this role at the time of this posting.  We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs.  This wage range may also be modified in the future.   This job is also eligible for an annual discretionary bonus.   We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.   AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY

A Career with Point72’s Compliance Department   The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you’ll do Act as the primary compliance liaison for research analysts within our fundamental research team, Canvas Conduct on-boarding due diligence of new consultants to Canvas Fundamental Research GroupRG, LLC and oversee annual evaluations Chaperone and document consultant calls for Canvas research analysts Monitor communications between Canvas research analysts and discretionary investment professionals Monitor and document chaperoned calls in the proprietary compliance management system while ensuring proper chaperone coverage for consultants Coordinate with the finance department to manage quarterly invoicing and payments in compliance with applicable data privacy law Participate in compliance training for Canvas research analysts Develop and execute strategies to enhance compliance processes. Monitor and stay current on applicable laws, regulatory initiatives, and case law Recommend and draft enhancements to policies and procedures What’s required 1-4 years of experience in financial services GPA 3.0 or greater Demonstrate exceptional attention to detail, strong organizational skills, and a structured, process-driven approach, with the ability to work independently or collaboratively Ability to manage and prioritize multiple tasks and see each task to completion Exceptional reading and writing skills, as well as outstanding communication and interpersonal skills Commitment to the highest ethical standards We take care of our people We invest in our people, their careers, their health, and their well-being. We want you to concentrate on success and leave the rest to us. When you work here, we provide: Fully-paid health care benefits Generous parental and family leave policies Volunteer opportunities Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community Mental and physical wellness programs Tuition assistance A 401(k) savings program with an employer match and more About Point72 Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry’s brightest talent by cultivating an investor-led culture and committing to our people’s long-term growth. For more information, visit https://point72.com/ . The annual base salary range for this role is $100,000-$120,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.

A World-Changing Company Palantir builds the world’s leading software for data-driven decisions and operations. By bringing the right data to the people who need it, our platforms empower our partners to develop lifesaving drugs, forecast supply chain disruptions, locate missing children, and more. The Role As a Federal Compliance Engineer, you will help manage and architect our Federal Compliance program (including FedRAMP, IL5, and IL6). You’ll work closely with many different teams to scale the Federal Compliance program, including identifying automation opportunities. You will navigate & interpret complex Federal regulatory frameworks (e.g. FedRAMP, DoD CC SRG) in order to provide practical guidance on technical architecture, documentation & operational concerns, and sustainable processes that will allow us to continue to grow quickly & efficiently. Core Responsibilities Oversee operational and regulatory outcomes across our US Government client portfolio, including FedRAMP, IL5, and IL6 continuous monitoring and compliance audits. Propose and implement ideas for operational improvements and facilitate automation for procedural compliance controls. Evaluate and advise the business on new and evolving US Government certification programs (ex. FedRAMP 20x), requirements, and technologies. Maintain and lead partnerships with various agencies (DoD, HHS, etc.) and the FedRAMP PMO, staying atop of all industry updates and changes to the program. Drive enterprise-wide compliance strategies and cross-functional initiatives. What We Value 7+ years experience with compliance audits (FedRAMP, PCI, SOC2, HIPAA, etc.) and prior US Government compliance and audit experience (FedRAMP, FISMA, NIST 800-53, NIST 800-171, US Government ATOs, etc). Experience with managing distributed compliance teams and scaling programs. Deep understanding of complex cloud infrastructure and security concepts, including ephemeral technologies (ex. containers). Experience implementing security controls and assessing compliance in distributed applications on cloud infrastructure (e.g Amazon AWS, Microsoft Azure). Strong Project Management skills, being able to balance and track multiple projects going on at the same time to completion. Proficiency with security concepts (encryption, authentication, etc.) and tooling for continuous monitoring (Tenable Security Center, Burp, SIEMs, etc.). What We Require Willingness and eligibility to obtain a U.S. security clearance. Salary The estimated salary range for this position is estimated to be $90,000 - $150,000/year. Total compensation for this position may also include Restricted Stock units, sign-on bonus and other potential future incentives. Further note that total compensation for this position will be determined by each individual’s relevant qualifications, work experience, skills, and other factors. This estimate excludes the value of any potential sign-on bonus; the value of any benefits offered; and the potential future value of any long-term incentives. Our benefits aim to promote health and wellbeing across all areas of Palantirians’ lives. We work to continuously improve our offerings and listen to our community as we design and update them. The list below details our available benefits and some of the perks that can be enjoyed as an employee of Palantir Technologies. Benefits • Employees (and their eligible dependents) can enroll in medical, dental, and vision insurance as well as voluntary life insurance • Employees are automatically covered by Palantir’s basic life, AD&D and disability insurance • Commuter benefits • Take what you need paid time off, not accrual based • 2 weeks paid time off built into the end of each year (subject to team and business needs) • 10 paid holidays throughout the calendar year • Supportive leave of absence program including time off for military service and medical events • Paid leave for new parents and subsidized back-up care for all parents • Fertility and family building benefits including but not limited to adoption, surrogacy, and preservation • Stipend to help with expenses that come with a new child • Employees can enroll in Palantir’s 401k plan Life at Palantir We want every Palantirian to achieve their best outcomes, that’s why we celebrate individuals’ strengths, skills, and interests, from your first interview to your longterm growth, rather than rely on traditional career ladders. Paying attention to the needs of our community enables us to optimize our opportunities to grow and helps ensure many pathways to success at Palantir. Promoting health and well-being across all areas of Palantirians’ lives is just one of the ways we’re investing in our community. Learn more at Life at Palantir and note that our offerings may vary by region. In keeping consistent with Palantir’s values and culture, we believe employees are “better together” and in-person work affords the opportunity for more creative outcomes. Therefore, we encourage employees to work from our offices to foster connectivity and innovation. Many teams do offer hybrid options (WFH a day or two a week), allowing our employees to strike the right trade-off for their personal productivity. Based on business need, there are a few roles that allow for “Remote” work on an exceptional basis. If you are applying for one of these roles, you must work from the state in which you are employed. If the posting is specified as Onsite, you are required to work from an office. If you want to empower the world's most important institutions, you belong here. Palantir values excellence regardless of background. We are proud to be an Equal Opportunity Employer for all, including but not limited to Veterans and those with disabilities. Palantir is committed to making the application and hiring process accessible to everyone and will provide a reasonable accommodation for those living with a disability. If you need an accommodation for the application or hiring process , please reach out and let us know how we can help.