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VP Managed Investments & Fund Compliance-logo
VP Managed Investments & Fund Compliance
Northwestern MutualMilwaukee, Wisconsin
Summary: The Vice President – Managed Investments and Fund Compliance leads the Managed Investments and Fund Compliance Division of Enterprise Compliance and is responsible for leading the development, implementation, administration, testing and enforcement of the separate compliance programs to manage the regulatory risks of: Northwestern Mutual Investment Management Company, LLC (Northwestern Mutual’s registered investment adviser responsible for managing the general account and certain other affiliated assets, the Northwestern Mutual Foundation, and third-party capital private investment funds and CLOs); Northwestern Mutual Series Fund, Inc. (Northwestern Mutual’s proprietary mutual fund family and only available as investment options within Northwestern Mutual’s variable products); and Mason Street Advisors, LLC (Northwestern Mutual’s registered investment adviser managing the Series Fund and the Column Funds, each a series of an unaffiliated multi-series trust, and which are only offered within Northwestern Mutual’s retail advisory programs). This position serves as the chief compliance officer for the three entities noted above and reports to Northwestern Mutual’s Vice President – Enterprise Compliance and Compliance Programs Team Lead, as well as the boards of directors of each of these entities. The position works closely with senior management of Northwestern Mutual and each of these entities to establish the compliance strategy and develop and implement risk-based compliance programs reasonably designed to ensure compliance with applicable laws and regulations. The position works closely with Northwestern Mutual’s Law Department. Primary Duties & Responsibilities Develop, implement, and maintain the entities’ compliance programs to ensure adherence to regulatory requirements and internal policies. Monitor and assess regulatory developments and best practices, partnering with management and support teams to evaluate their impact on the business and ensure timely implementation of regulatory changes. Identify, assess, and mitigate compliance risks across the entities, fostering effective risk management practices. Strengthen the risk and compliance culture across the organization, ensuring alignment with the three lines of defense model. Collaborate with business units (first line of defense) to integrate compliance controls into daily operations and ensure effective advisory, oversight, and challenge of operational activities. Collaborate with risk management and other risk oversight functions (second line of defense) to ensure integrated compliance and risk management efforts. Support internal audit (third line of defense) by providing necessary documentation and insights for independent assessments of the compliance program. Conduct regular reviews, testing, and surveillance to monitor compliance with policies and procedures. Provide ongoing training and guidance to employees on compliance-related matters, enhancing regulatory awareness and fostering a strong culture of compliance. In partnership with the enterprise regulatory response team and the Law Department, support regulatory examinations and other inquiries by engaging with, and responding to, regulators to ensure timely and accurate responses. Lead the evaluation of compliance violations, collaborating with applicable business and support teams to implement corrective actions and prevent recurrence. Design, maintain, and periodically assess written policies and procedures to comply with applicable laws, regulations, to address risk and ascertain operational effectiveness. Prepare and present regular reports to senior management and entity boards on the status of the compliance program, including emerging risks, regulatory changes, and operational effectiveness. Develop and maintain a compliance oversight program for sub-advisors and other key service providers, evaluating the design and effectiveness of their compliance programs. As a divisional leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing divisional responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. QUALIFICATIONS: 10+ years of relevant securities related legal, compliance or regulatory experience. JD, MBA, or CFA preferred. Self-motivated with the ability to work both independently and through others. Ability to effectively lead and influence teams. Must excel at collaboration, partnership and relationship building. Highly analytical with strong critical thinking skills and ability to provide compliance guidance that balances relevant regulatory requirements, risk mitigation and business objectives. Strong attention to detail and ability to spot relevant issues and solve problems through a practical business lens. Exceptional oral and written communication and presentation skills. Compensation Range: Pay Range - Start: $187,320.00 Pay Range - End: $347,880.00 Geographic Specific Pay Structure: 240 - Structure 110: 206,080.00 USD - 382,720.00 USD 240 - Structure 115: 215,390.00 USD - 400,010.00 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 1 week ago

Vice President, Corporate Compliance (Code of Ethics)-logo
Vice President, Corporate Compliance (Code of Ethics)
Ares OperationsLos Angeles, New York
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry. Job Description The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations. Ares is seeking a Vice President to join our Compliance team to serve as a member of the Firm’s Code of Ethics program. The ideal candidate will bring a balance of strong management skills and experience managing a team with a demonstrated knowledge of and experience with compliance with a global Code of Ethics program, including a forensic testing and training program. This role will particularly focus on enhancement of policies, procedures and technology of the Firm’s Global Code of Ethics program in coordination with the Heads of Compliance for EMEA and APAC. Primary Functions and Essential Responsibilities Specific responsibilities include, but are not limited to: Administer, along with other team members, the Firm's Global Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activity, political contributions, and conflicts of interest Assist in the review for other policy requests related to political contributions, gifts and entertainment, outside business activity, etc. Lead the global training program for the Legal and Compliance Department and assist with the development of compliance training materials Assess initial disclosure information for potential conflicts of interest Act as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policies Coordinate the team’s work with brokers for addition of new brokerage accounts or to code new broker feeds into compliance system Assist with the Firm’s lobbyist registrations and GMETL requisitions related to government officials in coordination with the Firm’s Head of Financial Crime Prevention Generate relevant metrics for management regarding Code of Ethics supervisory activities Identify, investigate, and properly address potential or actual violations Supervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the process Facilitate quarterly, annual, and ad hoc policy certifications Act as one of the primary contacts for responding to policy questions, mostly related to the Code of Ethics Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows Maintain strong working knowledge of the firm's compliance policies and procedures Appropriately escalate material compliance issues Identify and inform of any changes to regulatory requirements relating to Code of Ethics matters Qualifications Education: Bachelor’s Degree required, preferably from a top university with strong academic achievement Advanced Degree preferred Experience Required: 8 – 10 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus 7+ years of Code of Ethics related work A strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940 Experience with non-U.S. regulatory requirements for investment managers Proven people leader – hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teams Ability to effectively partner with global staff inside and outside of the department Proven ability to develop long-term strategy, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives Exceptional critical thinker Strong business judgment Ability to manage up and communicate efficiently and effectively Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint) General Requirements: Strong management skills, including proven experience of managing and/or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversight Strong sense of ownership and accountability Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages Expertise with SEC regulatory review and interpretation of regulations Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment Ability to successfully manage multiple priorities and competing demands; result oriented High accuracy and detail orientation Organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion Excellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activity Strong written, verbal and interpersonal skills An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes Experience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolution Ability to be flexible in terms of hours in order to coordinate with team members across time zones Comfort in dealing with ambiguity and uncertainty in a dynamic environment Dependable, great attitude, highly motivated and a team player Ability to handle confidential information appropriately Reporting Relationships Compensation The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role. $180,000-$225,000 The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit. Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more. There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.

Posted 3 days ago

Chisolm Compliance - Coordinator 2-logo
Chisolm Compliance - Coordinator 2
University of New OrleansBaton Rouge, Louisiana
T hank you for your interest in The University of New Orleans. Once you start the application process, you will not be able to save your work, so you should collect all required information before you begin. The required information is listed below in the job posting. You must complete all required portions of the application and attach the required documents in order to be considered for employment. Department Compliance Operations Job Summary Job Description Acts as the lead of the Chisolm notice review process. Executes the approval and denial determination process appropriately and per guidelines/regulations. Efficiently monitors and tracks the review process. Creates and reviews internal reports to ensure all monitoring activities remain on schedule and are completed within the required timelines; submits to Chisolm compliance officer for review. Assist in researching, and developing Applied Behavior Analysis (ABA) policies. Assist the Chisholm compliance office in tracking and fielding ABA issues from both providers and members. Assist the Chisolm compliance officer in monitoring the Medicaid managed care organizations (MCOs) and the Medicaid fiscal intermediary for compliance with all Chisolm orders and stipulations. Analyzes each prior authorization (PA) to ensure that the notice meets all Chisholm requirements and communicates any issues with that notice to the MCO, Medicaid’s fiscal intermediary and the internal Chisholm compliance officer. If a request is denied: Determines if it should have gone to the internal (Medicaid) prior authorization liaison (PAL). Determines if the PA went to the internal PAL. Determines if the PAL process was properly followed. Coordinates with the Louisiana Department of Health (LDH) EPSDT PCS and home health manager to determine if policy was appropriately applied when denying services. Determines if the case was Chronic Needs. Determines if the member was previously approved to receive the service by the Medicaid fiscal intermediary or another MCO. Determines if the member was previously approved for the service and if so was there a change in condition. Documents all of the above and forwards to the program manager for review and approval before communicating issues to the MCO or the Medicaid fiscal intermediary. Conducts random reviews of the MCO external PAL (PAL that tracks and receives PAL referrals from support coordinators). Acts as Chisolm training subject matter expert Identifies training opportunities with internal and external stakeholders. Develops and manages training content of department educational materials, including Chisolm guides and staff manuals. Supports Chisolm compliance officer in delivery of trainings, as needed. Assists Chisolm compliance officer in training of new staff. Plans and coordinates Chisholm compliance meetings with MCOs and providers for Chisholm and ABA related issues. Assists the Chisolm Compliance Officer with researching and resolving compliance issues by researching and reviewing Chisolm orders and stipulations. Assists in organizing and reviewing LDH responses to requests from Plaintiffs’ Counsel. Compiles performance indicators quarterly report; submits to supervisor for review and dissemination. Develops, tracks and maintains various electronic tracking systems. Conducts and participates in meetings, workgroups, public meetings, and other activities as directed. Receives and fulfills special request or projects as assigned by supervisor. Reviews and recommends revisions to processes for efficiency and efficacy. Collaborates with LDH staff, other programs and state agencies, on items related to development, planning and implementation of Chisolm compliance. Other tasks and non-complex projects as directed. QUALIFICATIONS REQUIRED: Bachelor's degree or 6 years of professional work experience in lieu of degree. Minimum 1 year of professional experience working with federal/state healthcare programs. Working knowledge of Microsoft Suite and Zoom. Excellent analytical skills, effective organizational and time management skills. Great attention to detail and follow up, and verbal/written communications skills. Able to set, follow, and meet scheduled deadlines. DESIRED: Advanced degree. Minimum 2 years of EPSDT PCS, legal/paralegal, or home health background/experience. Minimum 2 years of professional experience with federal/state health care programs. Minimum 2 years pf professional experience with compliance and/or project management activity. Minimum 1 year professional experience in editing documents based on court orders/legal stipulation/legislation. Relevant industry related certifications. Required Attachments Please upload the following documents in the Resume/Cover Letter section. Detailed resume listing relevant qualifications and experience; Cover Letter indicating why you are a good fit for the position and University of Louisiana Systems; Names and contact information of three references; Applications that do not include the required uploaded documents may not be considered. Posting Close Date This position will remain open until filled. Note to Applicant: Applicants should fully describe their qualifications and experience with specific reference to each of the minimum and preferred qualifications in their cover letter. The search committee will use this information during the initial review of application materials. References will be contacted at the appropriate phase of the recruitment process. This position may require a criminal background check to be conducted on the candidate(s) selected for hire. As part of the hiring process, applicants for positions at the University of New Orleans may be required to demonstrate the ability to perform job-related tasks. The University of New Orleans is an Affirmative Action and Equal Employment Opportunity employer. We do not discriminate on the basis of race, gender, color, religion, national origin, disability, sexual orientation, gender identity, protected Veteran status, age if 40 or older, or any other characteristic protected by federal, state, or local law.

Posted 3 weeks ago

Sr. Director Financial Reporting - Accounting, Reporting, Compliance (ARC)-logo
Sr. Director Financial Reporting - Accounting, Reporting, Compliance (ARC)
McKessonIrving, Texas
McKesson is an impact-driven, Fortune 10 company that touches virtually every aspect of healthcare. We are known for delivering insights, products, and services that make quality care more accessible and affordable. Here, we focus on the health, happiness, and well-being of you and those we serve – we care. What you do at McKesson matters. We foster a culture where you can grow, make an impact, and are empowered to bring new ideas. Together, we thrive as we shape the future of health for patients, our communities, and our people. If you want to be part of tomorrow’s health today, we want to hear from you. The Role This position reports to the VP, Business Process and Quality Assurance within the Accounting, Reporting and Compliance (ARC) function and is responsible, directly, or indirectly, for Business Unit financial and ad-hoc reporting. This role will drive the Financial Reporting area of the shared service accounting environment. This position will interact with the key accounting leadership for each BU on a frequent basis to ensure the quality, integrity, timeliness and material accuracy of financial statements and forecasting. This individual will provide key leadership and bench strength for the Accounting Leadership of McKesson’s shared service accounting. It is important that you lead and motivate a large, geographically diverse team. This position will have technical accounting competence, critical thinking, leadership capabilities and communication skills and should be able to manage the demands of a complex, global public company environment, all with the customer experience in mind. This role will drive ongoing automation and other transformation efforts. Key Responsibilities Lead team that prepares core Business Unit financials (e.g. P/L, Balance Sheet and SCF) and all related procedures and controls Critical member of the ARC Leadership Team, FSS ELT, and Corporate Controllership. Responsible for month and quarter end close processes for accounting activities within assigned topical areas; support the Business Units to produce accurate, complete and timely financial statements. Maintains key relationships with assigned process leads of the outsourced service provider and has primary oversight for accounting work within assigned area. Establishes relationships with the Controllers and other key finance leaders of each business unit. Responsible for certain schedules that facilitate quarterly and annual SEC filings. Responsible for collaboration and coordination with various Finance teams to ensure financial statements are materially accurate and reliable. Design and maintain internal controls and documentation to effectively manage financial risk. Collaborate and strengthen relationships with leaders of cross-functional corporate teams and business units to ensure efficient reporting processes across McKesson. Support transformation which includes centralizing accounting in the shared service accounting team, outsourcing accounting, and automating where appropriate, as well as contributing to continuous process improvements by focusing on value-added activities and leveraging technology for increased efficiency and automation. Implement process, system and internal control changes to ensure the month-end close processes are updated to incorporate impacts from M&A, divestitures, the adoption of new accounting standards, transformations and other changes. Actively mentor and develop team members in the department and create an environment that encourages an openness to transformation. Manage quarterly reviews, annual and ad-hoc audits with external auditors in the relevant areas, providing requested schedules, information and other requests. Qualifications Minimum Requirements 13+ years of accounting and reporting experience. 6+ years of diversified leadership, team organization, and people motivation skills. Critical Skills Hands on experience leading change and business / process transformation in a Shared Service environment of a large complex public company. Big-4 Firm audit or accounting advisory experience preferred. Experience leading large, diverse teams in a Global Fortune 100 company setting. Experience working with a global outsource provider preferred. Strong communication skills including ability to present to Senior/ Executive Leadership. Demonstrated ability to develop strong partnerships with all facets of the organization to develop and execute plans, leveraging various teams across the organization. Excellent team building skills, strategic problem-solving skills, strong project and resource management, skills, analytical and conceptual thinking skills. Thorough knowledge and understanding of accounting principles and internal control environments. Education Bachelor’s degree in accounting required. Advanced degree in accounting or finance preferred. Physical Requirements General office demands. Must have the ability to travel up to 25% of the time. We are proud to offer a competitive compensation package at McKesson as part of our Total Rewards. This is determined by several factors, including performance, experience and skills, equity, regular job market evaluations, and geographical markets. The pay range shown below is aligned with McKesson's pay philosophy, and pay will always be compliant with any applicable regulations. In addition to base pay, other compensation, such as an annual bonus or long-term incentive opportunities may be offered. For more information regarding benefits at McKesson, please click here. Our Base Pay Range for this position $150,800 - $251,400 McKesson is an Equal Opportunity Employer McKesson provides equal employment opportunities to applicants and employees and is committed to a diverse and inclusive environment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, age or genetic information. For additional information on McKesson’s full Equal Employment Opportunity policies, visit our Equal Employment Opportunity page. Join us at McKesson!

Posted 6 days ago

Compliance Technician-logo
Compliance Technician
CommonBondSt. Paul, Minnesota
Home is the foundation for everything in life. Since 1971, our model has been about supporting residents in finding stability and achieving their goals. It’s why we’re more than housing—we combine quality affordable homes with our on-site Advantage Services—because we believe that with the right support and opportunities, all people can thrive. Today, over 13,000 people—families, seniors, veterans, and people with disabilities and other barriers—call a CommonBond community “home.” Our core values are Respect, Integrity, Partnership, Innovation, and Excellence . We live these values and look for people who embody them to represent our organization in the community. If this sounds like you, please consider joining our team. Why CommonBond Communities? Work-life balance Employee referral program Benefits based on eligibility: Health insurance, Dental, Vision, PTO, Sick Time, Floating Holiday, Employer matching, 401(k), STD/ LTD, Life insurance, and a variety of employee-paid benefit options A respectful and growth-oriented workplace Employee recognition and rewards program A chance to make a difference in the community! Ongoing training and professional development Salary Range: $21.50 Per Hour CommonBond Communities invites qualified applicants to apply for the Compliance Technician position at our Wilder Square Property in Saint Paul, Minnesota . The Compliance Technician is responsible for assisting with administering the site’s subsidy program and administrative tasks involved with the day-to-day management of the site and is an important part of the Property Management Team. This team is a team of highly motivated professionals who are committed to serving our diverse resident population. ESSENTIAL FUNCTIONS Compliance Responsible for the site-based, property management program compliance Interview residents and timely process certifications by HUD rules and regulations, along with CommonBond Communities policies and procedures Accurately enters compliance information into YARDI (computer software system) Property Management Maintains resident relations to promote a positive image for the development, program, and CommonBond Communities Supports property management by professionally administering marketing, leasing, subsidy administration, and turnover operations Perform other duties as assigned MINIMUM REQUIREMENTS High school diploma or equivalent Excellent verbal, written, and interpersonal skills Proficient in Microsoft Office Suite Demonstrated proficiency and accuracy with numbers and details Ability to maintain an accurate record-keeping system Organized and able to prioritize multiple tasks Outstanding customer service Carry out CommonBond’s Mission, Vision, and Values PREFERRED REQUIREMENTS Working knowledge of federally assisted housing regulations Industry certification in HUD programs or Tax Credit One year of property management experience Experience with YARDI software Fair Housing knowledge PHYSICAL REQUIREMENTS Ability to sit for extended periods Ability to lift up to 10 pounds Ability to type data into a computer Ability to file for extended periods

Posted 4 weeks ago

Compliance Analyst, Skill Level 3-logo
Compliance Analyst, Skill Level 3
AvaloreFort Meade, Maryland
Description At Avalore, we are a mission-driven, veteran-owned small business that helps government agencies harness the power of data and emerging technologies to solve complex problems. Our team combines deep technical expertise with a passion for public service, delivering innovative, responsible solutions in AI, data governance, cybersecurity, and enterprise transformation. Joining Avalore means working alongside experts who have successfully led high-impact initiatives across the DoD and Intelligence Community, and being part of a company that values integrity, agility, and purpose. Your responsibilities will include: Responsible for providing services to Avalore’s client to ensure the organization’s compliance with relevant laws, executive orders, directions, and regulations governing mission activities. Conducts periodic and systematic evaluations of internal control systems and audit trails and makes recommendations for continuous improvement in processes and controls. Reports on status and clearance gaps to executive team. Establishes consistent control framework for all domestic and international subsidiary locations. Coordinates compliance training and initiates changes in procedures due to new or revised regulations. Continuously monitors, researches and analyzes exiting, proposed and new federal and status statues with respect to their present and future impact upon organization and company operations. Provides guidance to other departments on the identification and documentation of required actions/policies, conformance tests and ongoing monitoring issues. Requirements Five (5) years of relevant experience and a Master's Degree OR Seven (7) years of relevant experience and a Bachelor's degree, OR Eight (8) years of relevant experience and an Associate’s degree, Two (2) additional years of relevant experience may be substituted for an Associate’s degree for a total of 10 years. Degree in Law, Business, Accounting, or a related field (e.g., Finance, Economics, Management and Information Technology). Relevant experience must be performing compliance, legal, auditing, or related work, and can also include working in an area directly related to customer's mission Must possess a U.S government Top Secret security clearance with SCI eligibility and a polygraph (TS/SCI w/ polygraph). Ability to work independently and manage multiple priorities. Applicants must be currently authorized to work in the United States on a full-time basis. Avalore will not sponsor applicants for work visas for this position. Benefits Eligibility requirements apply. Health Care Plan (Medical, Dental & Vision) Retirement Plan (401k, IRA) Life Insurance (Basic, Voluntary & AD&D) Paid Time Off (Vacation, Sick & Public Holidays) Short Term & Long Term Disability Training & Development Employee Assistance Program

Posted 30+ days ago

Compliance Technician- Haskell, Texas Project-logo
Compliance Technician- Haskell, Texas Project
Primoris UsaAbilene, Texas
Company Overview: Primoris Renewable Energy, a business within Primoris Services Corporation’s Energy segment, is a leading power generation engineering, procurement, and construction (EPC) provider specializing in utility and commercial scale solar power, energy storage, solar repower, and operations and maintenance. Standing at the forefront of energy transformation, we are dedicated to doing the right thing for our customers, people, and planet – shaping a more sustainable future for generations to come. Our renewable capabilities include: Project Feasibility Engineering & Design Energy Modeling Pre-Construction Supply Chain Procurement Self-Perform Construction Power Delivery O&M Services JOB OVERVIEW: Primoris Renewable Energy is a forward-thinking organization committed to developing the next generation of industry leaders. The Compliance Technician will classify, store, maintain and monitor program files for the Labor Compliance Apprenticeship team. They will coordinate with office and site staff to gather and maintain proper documentation related to compliance. The Compliance Technician will identify best practices and make recommendations on process improvement. They will support and document all apprenticeship program related activities. This position will support the compliance team at two sites located approximately 30 minutes apart. The employee will spend full workdays at one site at a time but can expect to be present at both locations throughout the week, based on business needs. JOB RESPONSIBILITIES AND DUTIES: Track and maintain digital files of apprentice activities and performance Coordinate with site and office staff to ensure proper documentation is complete and submitted Monitor documentation and files to ensure compliance with DOL and company policy Perform data entry in a timely and efficient manner Perform Orientation Training with new hires on site Assist Compliance coordinator and field trainer with administrative duties Run B2W reports and assist Site admin with other logs required for apprenticeship program Additional duties as assigned EDUCATION & EXPERIENCE REQUIREMENTS: High School Diploma Experience with data entry Experience using multiple software platforms to track & manage data and providing accurate reporting Detail oriented, strong task management and organizational skills PREFERRED SKILLS/ABILITIES: Adept at problem solving, critical thinking and decision-making Strategic, innovative, and forward thinking High level of initiative and self-motivation Construction experience BENEFITS AND PAY: Paid Time Off We provide paid sick leave as required by Colorado’s Healthy Families and Workplaces Medical, Dental, Vision, FSA/HSA, Short Term/Long Term Disability, 401K with matching contributions Salary: 50,000-60,000 annually, dependent on experience, qualifications, and education PAY EQUITY: $50,000 - $60,000 per hour Primoris Renewable Energy provides the following compensation range and general description of other compensation and benefits that it in good faith believes it might pay and/or offer for this position. This compensation range is based on a full-time schedule and is dependent upon experience, qualifications and competencies. Primoris Renewable Energy reserves the right to ultimately pay more or less than the posted range and offer additional benefits and other compensation, depending on circumstances not related to an applicant’s sex or other status protected by local, state, or federal law. AGENCY STATEMENT: We are not accepting resumes from Third Party Recruiting Firms for this position. If you are an Agency or Search firm representative, contact the Primoris Talent Acquisition Manager directly for consideration. Primoris or its subsidiaries will not be responsible for any fees arising from the use of resumes and online response forms through this source. In addition, Primoris or its subsidiaries will not be responsible for any fees on unsolicited resumes that are submitted to any member of the Staffing or Operations team. Primoris has established an approved vendor program for this service and will only consider accepting submissions from those approved firms. EEO STATEMENT: We are an equal opportunity employer, 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. #LI-GQ1

Posted 3 weeks ago

Director, Corporate Compliance-logo
Director, Corporate Compliance
Shirley Ryan AbilityLabChicago, Illinois
By joining our team, you’ll be part of our life-changing Mission and Vision. You’ll work in a truly inclusive environment where diversity and equity are championed through words and actions. You’ll contribute to an innovative culture that is second to none, one that embraces curiosity, discovery and compassion. You’ll play a role in something that’s never been done before as we integrate science and clinical care to help patients achieve better, faster outcomes — as we Advance Human Ability, together. Job Description Summary The Director, Corporate Compliance Program (“Director, CCP”) will assist in providing daily leadership and direction for Shirley Ryan AbilityLab (“SRAlab”) Corporate Compliance Program, including Privacy Program. The Director, CCP will be responsible for assisting the Chief Compliance Officer (“CCO”) in ensuring a corporate culture that fosters ethical and compliant behavior and provides the basis for ensuring adequate internal controls and compliance with all laws and regulatory requirements applicable to SRAlab. In addition, the Director, CCP will also be SRAlab’s Privacy Officer as well as oversees the training and education related to the Corporate Compliance Program. The Director, CCP will consistently be a role model for compliant behavior and demonstrate support of the SRAlab statement of Vision, Mission and Core Values by striving for excellence, contributing to the team efforts and showing respect and compassion for patients and their families, fellow employees, and all others. The Director, CCP will demonstrate SRAlab Core Attributes: Communication, Accountability, Flexibility/Adaptability, Judgment/Problem Solving, Customer Service and SRAlab Values (Hope, Compassion, Discovery, Collaboration, and Commitment to Excellence) while fulfilling job duties. Job Description The Director, CCP will: 1. Compliance Program Development & Oversight Assist the CCO in developing, implementing, and overseeing an effective Corporate Compliance Program, ensuring adherence to laws, regulations, and policies governing SRAlab and the healthcare industry. Implement and develop a Workplan, in collaboration with the Chief Compliance Officer, Executive Leadership Team, and Enterprise Risk Management Committee, to set priorities for SRAlab’s compliance, internal audit, and regulatory programs. Develop, initiate, maintain, and revise policies and procedures for the overall compliance, regulatory, and audit programs to prevent illegal, unethical, or improper conduct. Maintain and update SRAlab’s Code of Conduct to ensure clarity and promote ethical conduct. Develop, coordinate, and oversee educational and training programs to ensure employees and applicable agents are knowledgeable of, and comply with, the Corporate Compliance Program. 2. Risk Identification, Audits & Management Identify potential areas of integrity and compliance risk, develop and implement corrective action plans or policies for resolution, and provide guidance to prevent recurrence on how to avoid or deal with similar situations in the future, including assist with annual targeted risk assessment process in both compliance and research areas to identify trends and gaps in compliance matters, potential areas of vulnerabilities and critical and emerging risks. Develop, recommend, and conduct audits to test compliance retrospectively and prospectively with established laws, rules, regulations, and policies. Avoid legal and regulatory challenges by understanding current and proposed legislation, enforcing regulations, and recommending new procedures to ensure compliance. 3. Investigations & Regulatory Reporting Investigate and oversee the resolution of compliance-related complaints and hotline calls. Respond to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct by developing processes and procedures for handling, coordinating, and tracking investigations and related data analysis and reporting. Assist the CCO in developing appropriate documentation for the Board of Directors’ Finance and Audit Committee, the CEO, and the Executive Leadership Team. Develop and assist with regulatory submissions and reporting activities to clarify and resolve issues. 4. HIPAA Privacy Oversight & Data Protection Serve as the HIPAA Privacy Officer and administer the HIPAA Privacy Office, provide leadership in planning, designing and overseeing policies on patient privacy, confidentiality, and release of patient information, as well as Chair, HIPAA Committee. Ensure all concerns related to HIPAA are investigated and addressed to maintain compliance with all regulations, policies, and procedures. Oversee privacy training and orientation for employees, volunteers, medical staff, business associates, and other relevant parties. Work closely with the HIPAA Security Officer and key stakeholders to ensure privacy protections align with technological advances. Ensure a process is in place for receiving, documenting, tracking, investigating, and addressing patient complaints related to privacy policies and breaches in compliance with the HITECH Act. 5. Research Compliance & Oversight Supervise the research compliance program and team members. Develop and implement a Workplan for Research Compliance. Work closely with the Office of Research Administration to provide guidance on regulatory compliance in sponsored projects administration. Provide guidance on regulatory compliance in clinical trials, IRB studies, and other research matters. Coordinate research-related conflict of interest matters. Collaborate with the CCO and research leaders to develop and implement research compliance education and training programs for research staff, including clinical research billing, research misconduct, human research protections, conflict of interest, effort reporting, and responsible conduct of research. 6. Additional Responsibilities Perform all other duties that may be assigned in the best interest of SRAlab. Reporting Relationship Reports directly to the President, Chief Administrative Officer. Knowledge, Skills & Abilities Required Experience, Education & Certifications Juris Doctor and/or Master’s Degree in a related field of Health Care or Corporate Compliance required. At least five (5) years of privacy-related/compliance work experience in a healthcare/provider setting or privacy certification required within the first twelve (12) months of employment; Leadership & Strategic Thinking Strong leadership skills and an understanding of the importance of embedding an effective compliance plan throughout all levels of the organization. Strong critical thinking and influencing skills across all organizational levels with an unbiased approach to situations. Communication & Interpersonal Skills Excellent oral and written communication skills. Ability to clearly explain complex issues to diverse audiences and represent SRAlab’s interests externally with regulators, agencies, and others. Demonstrated positive, respectful, direct, and open communication across all organizational levels. Ability to manage conflict effectively while being receptive to others' ideas and concerns. Problem-Solving & Decision-Making Excellent research, analytical, and organizational skills. Demonstrated initiative, ability to institute quality control procedures, and a strong understanding of problem-solving processes. Integrity & Professionalism Ability to maintain a high degree of credibility, independence, integrity, confidentiality, and trust. Adaptability & Time Management Strong work ethic with the ability to work in a matrixed environment, influence leadership as needed, and meet deadlines while adjusting to workload changes, policies, and priorities. Collaboration & Teamwork Acts as a team player, anticipating the needs of others and delivering with timeliness and accuracy while understanding urgency. Strategic Thinking & Business Acumen Pragmatic decision-maker with the ability to assess business consequences, develop innovative solutions, and transition between hands-on operational focus and strategic outlook. Working Conditions Normal office environment with little or no exposure to dust or extreme temperature. This role operates in a dynamic, fast-paced environment requiring adaptability to shifting priorities. Pay and Benefits*: Pay Range: $110,805.00 annually - $183,925.00 annually Benefits: Shirley Ryan AbilityLab offers a comprehensive benefits program that is competitive with our industry peers in our geographic locations: https://www.sralab.org/benefits *Benefits and benefits’ eligibility can vary by position. Actual compensation will vary based on applicant’s experience and qualifications, as well as internal equity. The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified. Equal Employment Opportunity ShirleyRyan AbilityLab is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.

Posted 30+ days ago

(Military Personnel ONLY) Dod SkillBridge Intern: Contracts Compliance Analyst-logo
(Military Personnel ONLY) Dod SkillBridge Intern: Contracts Compliance Analyst
Technology Service CorporationDahlgren, Virginia
(Military Personnel ONLY) DoD SkillBridge Intern: Contracts Compliance Analyst *******Do not apply unless you are transitioning out of the US Military********* Position Location: Remote Headquartered in Arlington, Virginia, TSC is an employee-owned company that has been providing high-quality technical services and solutions for our customers’ for over 50 years. Our diverse portfolio includes providing; Airborne Sensors and Intelligence, Surveillance, and Reconnaissance (ISR); Electronic Warfare Systems; Air and Missile Defense; Space Systems, and Intelligence and Information Systems. TSC offers a professional working environment, a competitive salary, and an excellent benefits package. Come and join our team! Job Description: Technology Service Corporation is seeking an energetic and transitioning U.S. Military service member for a SkillBridge Internship as a Contract Compliance Analyst. This internship is designed to provide valuable training and experience in contract compliance and administration, supporting the Contracts Department with various administrative tasks to ensure departmental and company goals and objectives are met. Responsibilities: Reviews Contract Management and Proposal Management Systems for accuracy and completeness Analyzes trends and interpret data across companies’ business systems Prepares and disseminates information regarding contract status, compliance, modifications, etc. Reviews, negotiates and executes non-disclosure agreements and teaming agreements Assists Contracts Administrators with the completion of Reps & Certs Achieves a reasonable level of understanding of TSC’s major business areas to communicate effectively with stakeholders and provide relevant advice. Identifies risks and issues and suggests alternatives or process improvements that lead to the best solution Collaborates with cross-functional teams to contribute to various process improvement initiatives. Assists with the creation and updating of policies, desk guides, and procedures. Actively involved in Contract Management initiatives. Preferred Qualifications: Bachelor's degree in business administration, management, or a related field is preferred but not required. Current role as a Contract Specialist, Compliance Officer, Administrative Officer, Legal Specialist, Logistics Analyst, Supply Chain Analyst, Financial, or a similar Administrative role Keen attention to detail with strong organizational skills. Excellent written and verbal communication skills. Strong customer service skills with the ability to respond promptly and professionally. Proficiency in Microsoft 365, including Word, PowerPoint and Excel. Ability to perform in a fast-paced work environment supporting highly visible tasks with relative autonomy. Ability to manage workload based on knowledge and understanding of priorities. Ability to set and achieve goals, working successfully in a professional and constructive manner, as an individual contributor or as part of a team. Aptitude to learn and develop proficiencies with new concepts, processes, and technology. What You Will Gain: Hands-on experience in contract compliance and administration within a dynamic and supportive environment. Exposure to various aspects of contract management and business operations. Opportunity to develop and enhance your skills in data analysis, risk management, and process improvement. Professional development and mentorship from experienced professionals in the field. Potential for future employment opportunities with TSC upon successful completion of the internship. U.S. Citizenship Required: Yes DoD Security Clearance Required for this Position: No Travel: Yes; 5% or less Relocation Assistance Available: No Position Contingent Upon Award of Contract: No TSC Employee Benefits: TSC offers a stable work environment, a competitive salary, and a comprehensive benefits 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.

Posted 3 weeks ago

Loan Operations Compliance Manager-logo
Loan Operations Compliance Manager
FargoFargo, North Dakota
The Loan Operations Compliance Manager will be responsible for managing and overseeing all aspects of the bank’s flood operations, specifically focusing on compliance with the Flood Disaster Protection Act (FDPA) and related rules and regulations. This position will be responsible for building and enhancing operational compliance as it relates to flood insurance with the potential for additional lending related regulations over time. This position will collaborate closely with lending, credit, operations, compliance, and risk teams and play a crucial leadership role in identifying, assessing, and mitigating risk to ensure a compliant first line. This role will foster a culture of compliance, ethical behavior, and risk awareness while also safeguarding the bank’s reputation and financial stability. Responsibilities Process Development and Implementation: In collaboration with first line team members and compliance and risk, develop, implement, and maintain a comprehensive review process for flood and potentially other lending regulations with up-to-date procedures and compliance training materials. Development and Training: Establish clear roles and responsibilities for the development of a centralized flood team covering originations and servicing flood requests (i.e., ordering/reviewing flood determinations and proper due diligence associated with flood positive loans, FEMA map changes, and annual reviews). Coordinate the development and delivery of ongoing education associated with applicable regulations and bank policies and procedures for lending team members. Regulatory Compliance: Ensure all flood operations and any other applicable lending operations, comply with federal, state, and local regulations. Oversee regulation specific reviews, identify issues and patterns, research root cause(s), and make informed proposals and/or decisions related to risk management and compliance resolution. Oversee the implementation of corrective actions and validation as needed. Act as a first line of defense compliance resource for lending operations. Continuous Monitoring: Continuously monitor and seek to enhance first line compliance accuracy, anchored in regulatory standards and guidance, promoting automation when possible, and ensuring consistency and effectiveness. Reporting and Analysis: Prepare and provide analysis on the adherence to applicable regulations to management, including trend analysis and any necessary remediation. Audit & Examination Coordination: Coordinate and provide internal audit or regulatory examination responses for internal and external audit/exam requests and findings. Cultural Alignment: Cultivate a trusted relationship with business partners through collaborating on procedural and process enhancements. Strengthen the bank’s culture through strong compliance risk management aligned with Choice’s Vision, Values, and Goals, and creating a workplace where team members across the company feel safe raising concerns. Project a positive image of Choice Financial, keeping our Cultural Mindsets and Key Attributes top of mind, representing and supporting the organization. Manage compliance related vendor relationships and support/influence loan vendor relationships. Support additional initiatives and strategic projects outside normal scope as needed. Maintain the highest level of confidentiality with all information obtained. Leadership Lead a team of subject matter experts, provide guidance and mentorship, and foster a positive working environment. Conduct regular one-on-ones to align cultural & business objectives, prioritize the most important work, and coach to high performance. Facilitate execution through effective situational leadership tools. Support engagement and action by listening to team member feedback – what’s working, what’s not – support them in initiating and executing positive changes and provided them with adequate resources. Support in the team members’ professional and personal development. Catch team members being approximately right through timely, individualized recognition. Promote collaboration and face to face interaction. Qualifications Minimum of 10-12 years of relevant experience with requisite competencies. Bachelor’s degree in business, finance, or related field and/or 5+ years banking compliance experience. Strong understanding of federal and state laws, rules and regulations for financial institutions. In-depth knowledge of and experience with regulatory compliance in lending directly associated with The Flood Disaster Protection Act, Community Reinvestment Act, HMDA, and other supporting regulations/laws. Proven ability to effectively manage and lead a team of professionals, provide guidance and mentorship, and foster a positive working environment. Proficiency in data analysis and demonstrated experience identifying issues, trends, patterns, and root causes and making informed decisions related to risk management and compliance resolution. Excellent written and verbal communication skills are essential for reporting, providing guidance to team members, and collaborating with various internal departments and external stakeholders, including regulatory agencies and auditors. Strategic and innovative thinker with a proactive approach to problem solving. Strong ability to manage multiple priorities and adapt to change in a fast-paced environment. Technically competent with various software programs, including but not limited to Microsoft Excel, Word, PowerPoint, Teams and SharePoint. Must be able to learn, understand, and apply new technologies. A strong commitment to ethical behavior, integrity, and professional standards. Cultural Alignment Choice is #PeopleFirst, banking second. People don’t need just another bank. People need to be supported by a team of trusted partners who will get to know them and their business, understand their challenges, discover their dreams, and recognize the success in bringing people and banking together in our communities. In contributing to our culture, Choice team members are guided by our core values. Embrace change and encourage innovation. Know when to ask for help and know when to offer help. Better the places we live. Work hard. Do the right thing. Have a little fun. Our vision of Diversity at Choice is supported by our #PeopleFirst mission and our core values. Being #PeopleFirst means that Choice is committed to focusing attention and resources towards creating an environment where everyone feels respected and valued and can do their best work. Doing the right thing means encouraging employees to share their experiences and ideas, and to bring their whole authentic selves to work. Together, we can build an inclusive culture that seeks out, supports, and celebrates diverse voices. We can use our diversity to fuel creativity and innovation and bring us closer to our customers and the communities we serve. Be welcome at Choice. We can see you here. The base salary for this role will begin at $85,590 and up to $128,381 annually. This pay range is posted to comply with wage transparency laws. The base salary may vary based on skill, ability, knowledge, experience and geographic location. Full time employees are also eligible for a competitive bonus and benefits package. Check out bankwithchoice.com/careers for an outline of current benefit offerings.

Posted 30+ days ago

Risk and Compliance Counsel-logo
Risk and Compliance Counsel
Barnard CollegeNew York City, New York
If you are a current Barnard College employee, please use the internal career site to apply for this position. Job: Risk and Compliance Counsel Job Summary: Barnard’s Office of the General Counsel is looking for a proactive and organized Risk and Compliance Counsel to provide strategic leadership in risk management and legal compliance. This role ensures effective governance, enterprise risk management (ERM), and policy development to mitigate legal and financial risks while advancing institutional priorities. Job Description: Duties & Responsibilities: Oversees and monitors and advises on the College’s compliance with applicable Federal, State, Local laws, rules, and regulations including reporting requirements. Monitors legislative, regulatory actions and court rulings to ensure that the College is meeting any new or modified compliance and risk management requirements. Serve as the primary lead and liaison for risk management and compliance matters. Serve as a liaison between the Office of General Counsel, Finance & Operations, and external legal counsel on risk, insurance and compliance matters. Oversee the College’s enterprise risk management (ERM) program, identifying, assessing, and mitigating institutional risks. Provide legal and risk analysis for College policies, contracts, and initiatives to ensure compliance with applicable laws and regulations. Ensures appropriate insurance coverage and risk mitigation requirements are present in all contracts being entered into by the College Oversee insurance policies, renewals, claims management, and risk transfer strategies , working across all units of the College and in close coordination with the Finance division Manage the annual non-medical insurance renewal process, collaborating with the College’s external insurance broker and internal departments. Partner with the General Counsel on policy development, governance, regulatory compliance, and institutional risk strategy. Works closely with internal stakeholders on disaster recovery planning and business continuity strategies. Develop and implement institutional policies and processes to streamline risk, compliance, and operational efficiencies. Maintains and improves the College’s Compliance Matrix. Performs other other tasks as assigned. Skills, Qualifications & Requirements: Knowledge, Skills & Abilities: Strong legal and risk management expertise, with the ability to assess and mitigate institutional risks. Excellent contract negotiation, compliance, and policy development skills. Experience overseeing insurance, claims management, and regulatory compliance. Exceptional strategic, analytical, and problem-solving abilities. Strong project management and organizational skills. Ability to interact and collaborate effectively with senior administrators, trustees, faculty, and external stakeholders. High level of integrity, discretion, and ability to handle confidential and sensitive matters. Qualifications: Juris Doctor (J.D.) degree required. Admission to the state bar (New York preferred) and in good standing. Minimum of 7 years of legal, risk management, or compliance experience, preferably in higher education, nonprofit, or corporate sectors. Experience in enterprise risk management, contract negotiation, insurance, and compliance. Supervisory experience with the ability to lead staff, set goals, and manage performance across different College functional areas. Higher education experience is a plus. Primarily on-campus with the possibility of some remote work. Salary Range: $160,000 - $175,000 annually The salary of the finalist selected for this role will be set based on a variety of factors, including but not limited to departmental budgets, qualifications, experience, education, licenses, specialty, and training. The above hiring range represents the College's good faith and reasonable estimate of the range of possible compensation at the time of posting. Company: Barnard College Time Type: Full time

Posted 1 week ago

Compliance Coordinator/Trainer-logo
Compliance Coordinator/Trainer
Rite of Passage BrandAndersonville, Tennessee
✨Join a group of passionate advocates on our mission to improve the lives of youth! Rite of Passage Team is hiring a Compliance Coordinator/trainer at Norris Academy in Andersonville, TN ✨ Are you ready to make an IMPACT from day one? Nestled just outside the Great Smoky Mountains, around 30 miles North of Knoxville, in a small, quaint, beautiful town, called Andersonville, sits Norris Academy, a residential treatment facility that offers comprehensive, holistic services to youth with autism spectrum disorders, and/or other neurodevelopmental diagnosis. Compensation Range: $50,000 per year. Negotiable, with experience/education/license. Perks & Benefits: There are SO many benefits that come with working at ROP! Free meals on shift Opportunities for career growth, nationwide Earn PTO from day one of employment Be sure to check out all the benefits ROP has to offer here: ROP Perks and Benefits What you'll do: A day in the life of a Clinical Director at Norris Academy is rarely the same, HARD WORK, EXCITING, IMPACTFUL, and very REWARDING. As the site Compliance Coordinator, you will oversee the program CQI process, while understanding and implementing all licensing requirements per site guidelines. Conduct quarterly internal standard audits with a subsequent follow-up to ensure all employees are trained and aware of all licensing, state and federal regulations including PRE as well as identifies potential areas of compliance vulnerability and risk; develops corrective action plans. As the Trainer you will coordinate and deliver oreintation curriculum to new hires and update current employees on annual training requirements. To be considered you should: Be at least 21 years of age Bachelors degree preferred. Can be substituted with HSD and experience At least 4 years prior experience in auditing and training Be able to pass a background screening, drug test, and physical Have a passion to work with and help children Schedule/hours/shifts: Monday through Friday, 8-hour shifts Apply today and Make a Difference in the Lives of Youth! After 40 years of improving the lives of youth, we are looking for passionate advocates to continue the legacy of helping young people become successful adults. As a Compliance Coordinator/Trainer you will have the unique opportunity to create a positive, safe and supportive environment for the youth we serve while building a career rich in growth opportunities and self-fulfillment. Follow us on Social! Instagram / Facebook / Linkedin / Tik Tok / YouTube

Posted 6 days ago

Trade Compliance Officer-logo
Trade Compliance Officer
Edge AutonomySan Luis Obispo, California
Description WORK LOCATION : San Luis Obispo, CA , Huntsville, AL, Ann Arbor , MI , option for hybrid work S ALARY RANGE : $ 1 2 5 ,000 - $1 75 ,000 FLSA S TATUS : Exempt SUMMARY Edge Autonomy seeks an experienced Trade Compliance Officer to lead its global trade compliance program and serve as a strategic partner in international operations. As a key member of our organization, you'll lead the development and implementation of our international trade compliance strategy, ensuring our worldwide business success while navigating complex regulatory environments. This influential position offers the opportunity to serve as our primary subject matter expert on export control, sanctions, and trade compliance, directly impacting our company's global growth and success. R ESPONSIBILITIES The following job functions are a basic requirement but are not limited to and may be assigned other duties. Lead the monitoring and analysis of global trade regulations, including EAR, ITAR, OFAC sanctions, and foreign trade controls, to proactively assess impact on business operations and develop strategic compliance solutions Establish, document, and continuously improve export compliance policies, procedures, and internal controls Classify products, technologies, and software according to export control lists and determine license requirements Conduct due diligence screening of customers, vendors, and other third parties against restricted party lists Provide export compliance training and guidance to employees across the organization Investigate and respond to potential export compliance incidents, implement corrective actions, and report violations to appropriate authorities in accordance with federal regulations and company policies Collaborate with cross-functional teams ( e.g. , Legal, Supply Chain, Sales) to ensure export compliance is embedded throughout the business Serve as the primary point of contact for export-related audits, inquiries, and correspondence with government agencies Lead strategic classification of cutting-edge products, technologies, and software according to export control lists, directly impacting our global market access Determine export license requirements and submit license applications as needed Foster a culture of compliance within the organization Assist with other duties, projects, and initiatives as assigned. REQUIRED QUALIFICATIONS The following sets forth the required qualifications for the Export Compliance Officer role at Edge Autonomy. Candidates must meet the following minimum qualifications to be considered for employment: Candidates must meet one of the following requirements: Bachelor's degree in business, management, international trade, supply chain, or a related field, plus six (6) years of relevant work experience in export compliance; OR Ten (10) years of relevant work experience in export compliance Demonstrated expertise in ITAR/EAR regulations, OFAC sanctions compliance, and successful implementation of comprehensive trade compliance programs. Experience with aerospace, defense, or high-technology sectors preferred. Professional certifications required (minimum one of the following: CUSECO, ECoP , or CITLS) within 12 months of employment if not already obtained. Additional certifications such as CPCM, CTCS, or CFCM are strongly preferred. The company provides support for obtaining these certifications through our professional development program, including training resources and certification fee reimbursement. Expert-level knowledge of U.S. export control regulations (EAR, ITAR, OFAC), international trade laws, customs regulations, and demonstrated success in managing complex compliance matters across multiple jurisdictions Demonstrated ability to develop and implement effective export compliance programs Strong analytical, problem-solving, and critical thinking skills Excellent communication and interpersonal skills, with the ability to work cross-functionally Proficient in using compliance software and databases Strong leadership and people management skills, with the ability to influence across organizational levels and develop a culture of trade compliance excellence throughout the organization Ability to work independently, handle multiple priorities, and meet deadlines. Positive attitude Self-motivated with strong organizational skills Ability to work independently and collaboratively with multidisciplinary teams Detail-oriented with excellent organizational and time management skills Thrive in our dynamic, fast-paced environment while managing multiple strategic priorities. Demonstrate your leadership by effectively communicating with our diverse, global team to drive compliance excellence across the organization. Receptive to constructive feedback Ability to continually learn and grow, enhancing your knowledge of your area and current trends both in the industry and as a leader. E DGE AUTONOMY BENEFITS Matching 401(k) Paid PTO Paid holidays Medical, vision, and dental insurance Group Short-Term & Long-Term Disability HSA and FSA Options Critical Care Plan Accident Care Plan HIRING REQUIREMENTS If an offer of employment offer is extended, applicant must have the ability to pass a background check and the ability to be insured by the Company’s Auto-policy. An Offer of Employment is contingent upon the results. CLEARANCE REQUIREMENTS This position may require access to information that is subject to compliance with the International Traffic Arms Regulations (“ITAR”) and/or the Export Administration Regulations (“EAR”). To comply with the requirements of the ITAR and/or the EAR, applicants will be asked to provide specific documentation to verify a US person’s status. EDGE AUTONOMY IS AN EQUAL OPPORTUNITY EMPLOYER All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, disability, age, sexual orientation, gender identity, national origin, veteran status, or genetic information. Edge Autonomy is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. To request reasonable accommodation, contact [email protected] Continued employment remains on an “At-Will” basis.

Posted 2 days ago

Senior Auditor / Specialist, Supplier Compliance-logo
Senior Auditor / Specialist, Supplier Compliance
BA Candidate GatewayIrwindale, California
Position: Sr. Auditor / Specialist, Supplier Compliance [Contractor] Department: Corporate Food Safety & Quality Reports To: Sr. Manager, Supplier Compliance Salary Type: Contractor (Immediately). Could be a contractor to hire in the future. Location: Remote w/ ability to travel to Irwindale, CA regularly What if your job had a real impact? By joining Bonduelle, the world leader in ready-to-use plant-based food, you decide to make a positive and sustainable impact on yourself, others and the planet. You will play an active part in our mission: "inspire the transition toward a plant-based diet to contribute to people's well-being and planet health". Bonduelle is a family-run company of 14,600 people which provides over one hundred countries with vegetables. Well established in the United States, our business unit includes three production facilities with more than 3,200 associates. We process fresh vegetables, salads, and meal solutions with our own brands: Ready Pac Foods® and Bistro®. Join us at Bonduelle to start an adventure where people come first and contribute to a better future through plant-based food! Position Summary: The Senior Auditor/Specialist is an individual contributor that is responsible for supporting food safety and quality within the Bonduelle Supplier Compliance pillar, under Corporate Food Safety & Quality. The position will provide support through ensuring Bonduelle food safety, quality and regulatory programs are implemented and adhered to across our supply chain. The main function of the Senior Auditor/Specialist will be as a food safety and quality audit for supply chain providers. Likewise, the role will collaborate closely with the Sr. Manager, FSQA Supplier Compliance and cross-functional teams to identify, qualify, onboard, and continuously monitor supply based providers in relation to food safety and quality. Additionally, this role is pivotal in implementing strategies that enhance supplier programs and performance and ensure compliance with all relevant food safety regulations. Responsibilities Lead overall supplier compliance audits across Bonduelle food safety, quality and regulatory system. Manage overall audit programs, including planning, scheduling, risk assessment, execution, report generation and closure across our supply chain. Experienced in auditing, audit principles and audit report generation/closure across a range of different product and platform types, including contract manufacturing, contract packers, ingredients suppliers, packaging suppliers, warehouses, distribution centers, etc. Outside of auditing, the role will provide support to the Bonduelle Americas Supplier Compliance team in identifying, qualifying, onboarding, and continuously monitoring supply based providers in relation to food safety, quality and compliance programs. This may include sample reviews, trials/commercialization support, supplier meetings, etc. Assist in driving actions that contribute to improvements in key performance metrics within the Supplier Compliance areas. Provide technical and project management support to improve Food Safety and Quality programs and minimize organizational risks with suppliers. Support stakeholders by driving towards reduced risk through program/process alignment, collaboration, continuous improvement, root cause analysis, corrective/preventive action planning, troubleshooting, etc. Assist in performing product analysis/shelf-life review, as needed. Arrange all travel plans, provide directions and other relevant information to audit team members. Investigate Vendor Non-Compliance Reports (VNCRs) and manage corrective action follow-ups. Drive continuous improvement initiatives. Assist in maintaining supplier documentation within the Supplyline system. Assist with special projects or other duties, as required / assigned Minimum Qualifications: Bachelor’s degree in food science or related field required. Minimum of 5 years of Food Safety or Quality Assurance Experience in the food industry. Minimum 2+ years of performing 2nd and 3rd party audits, using a recognized audit scheme. Lead Auditor certification on a GSFI recognized scheme (BRC, SQF, FSSC 22000) or recognized audit certification (ASQ CQA, etc.) Understanding of relevant regulatory standards from agencies, such as FDA, USDA, CFIA, etc. PCQI Certificate (preferred). HACCP Certificate (required). Familiarity with equipment hygienic design and sanitation principles (preferred). Proficiency with auditing checklists, and corrective action management systems. Comprehensive knowledge in: Current Good Manufacturing Practices (cGMPs) for food manufacturing and distribution Pre-requisite programs for the food industry Food safety plans and HACCP Plans Quality auditing principles and management Current regulations within the food industry, i.e. FSMA, etc. Familiarity with GFSI schemes for food manufacturing facilities for food products, food packaging, storage and distribution. Prior experience with FDA and/or USDA (preferred). Experience with Excel and/or Google Sheets (required). Experience with Tableau or similar data visualization/analytics tools preferred. Personable - able to communicate and engage well with internal and external stakeholders. Good analytical, communication, and collaboration skills. Ability to ask questions and present findings. Ability to travel 75-80%. Ability to conduct supplier audits and climb stairs.

Posted 30+ days ago

Compliance Analyst II- Primoris Energy Services-logo
Compliance Analyst II- Primoris Energy Services
Primoris UsaHouston, Texas
Lead with integrity, shape policy, and drive compliance—join Primoris Energy Services in Houston, Texas as a Compliance Analyst II. Play a key role in setting and maintaining the standards that fuel our success. Ready for your next challenge? Apply today and build your future with us! Job Summary: The Compliance Analyst II is responsible for ensuring adherence to corporate policies, business unit standards, and regulatory requirements. This role involves reviewing, revising, and managing corporate policies, conducting audits, and supporting compliance initiatives across the organization. The Compliance Analyst II works closely with senior leadership to maintain a culture of compliance and drive continuous improvement. Key Responsibilities/Accountabilities: Locate and review corporate policies to ensure alignment with business unit standards and regulatory requirements. Revise and update business unit policies, incorporating feedback and changes in regulations or business processes. Collaborate with the Director – Business Administration and Project Services to obtain approval from Senior Vice President for policy revisions and additions to business unit corporate standards. Conduct compliance audits for projects and business units to assess adherence to established standards and identify gaps. Prepare detailed audit reports with findings, corrective action plans, and recommendations for improvement. Monitor regulatory changes and industry best practices to update compliance frameworks accordingly. Provide guidance and training to employees and management on updated policies and compliance requirements. Act as a liaison between business units and leadership to address compliance concerns and implement corrective measures. Work with our Learning and Development Team to incorporate our business unit corporate policies into our training program. Requirements: Bachelor’s degree in business administration, Legal Studies, Compliance, or a related field. 3+ years of experience in compliance, auditing, or policy development. Proficient in policy management, compliance monitoring, and audit processes. Strong analytical, organizational, and communication skills. High attention to detail and the ability to handle confidential information with discretion. Knowledge of compliance frameworks and regulatory standards relevant to the industry. Certification in compliance or auditing (e.g., Certified Compliance & Ethics Professional (CCEP), Certified Internal Auditor (CIA)) is preferred but not required. Proficiency in Power BI for data visualization, reporting, and analysis. Experience with Smartsheet for project tracking, collaboration, and workflow automation. Benefits: Competitive compensation paid weekly Best-in-class; Medical, Dental, Vision, and LTD/STD 401(k) with company match, vested day-one Employee Stock Purchase Plan [ESPP] Tuition Reimbursement Paid Time Off, Holiday Pay, and Community Service Paid Time Off Pet Coverage "For our Furry Friends" Legal Assistance Coverage Award winning safety programs Company Overview: Primoris was formed in 2004 as the parent company and is traded on the NYSE under the symbol PRIM. We provide a wide range of construction, maintenance, and engineering services for power generation, oil and gas, chemical, pipeline, utilities and distribution, and civil infrastructure clients. Primoris is ranked in the top 1% of the prestigious Top 600 Specialty Contractors List by Engineering News-Record (ENR), having built projects throughout the U.S. and Canada. For additional information, please visit www.prim.com . Primoris Energy Services is a major direct-hire contractor in the U.S. delivering self-performed turnkey industrial construction and EPC services. We offer these services to our clients within the refining, gas processing, chemical/petrochemical, hydrogen, power generation, mining, pulp and paper industries from the first groundbreaking activity all the way through commissioning and start-up of the project. Primoris forms a partnership with our customers and major stakeholders from early-stage engineering through construction completion and commercial operation, safely, on-time, and within budget. EEO Statement: We are an equal opportunity employer, 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. Third-Party Agency Notice: Primoris will not accept any unsolicited resumes from any third-party recruiting agencies either domestic or international. Primoris nor its subsidiaries will be responsible for any fees from the use of any unsolicited resumes either through our ATS or via electronic mail systems from any agency representative or agency consultant unless your firm is an approved vendor partner with a current executed agreement. #LI-GR1

Posted 30+ days ago

VP of Compliance-logo
VP of Compliance
Brigade HealthSanta Ana, California
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)

Posted 30+ days ago

Senior Regulatory Compliance Engineer (onsite)-logo
Senior Regulatory Compliance Engineer (onsite)
Johnson ControlsGlendale, Arizona
About Johnson Controls Johnson Controls is a global leader in building products and technology, integrated solutions, energy storage, and information-based retail solutions. We are committed to creating a safe, comfortable, and sustainable world. As a global organization spanning 2,000 locations with more than 130,000 employees worldwide, we are dedicated to creating a safe, comfortable, and sustainable world through innovative, intelligent, and integrated building solutions, technologies, and infrastructure. As a Senior Regulatory Compliance Engineer, you will play a critical role in upholding our standards of safety and reliability in the products that connect and control the environments in which people live and work. What you will do Are you dedicated to product safety and interested in being part of a global company that prioritizes sustainability? Johnson Controls is seeking an experienced Senior Regulatory Compliance Engineer to join our Engineering team to lead and execute regulatory compliance and agency certification efforts for our products. This role ensures that all products meet relevant safety standards, directives, and regulations throughout the entire product lifecycle—from initial concept and design, through testing and production, to ongoing product support. You will collaborate closely with cross-functional design, engineering, and manufacturing teams as well as external certification bodies, while also operating independently to drive compliance projects to completion. Your expertise in certification processes (UL, CE, UKCA) and regulations will be critical in achieving and maintaining necessary approvals to ensure our products can be confidently marketed and used worldwide. Johnson Controls is a global leader in manufacturing, delivering compliant products to every region worldwide. There will be counterpart roles in the company’s three major global regions. While each role primarily focuses on regional needs and compliance, there will be times when cross-regional standards work is required. This position is based onsite at our office located in Glendale, WI. Candidates must be commuting distance, or able/willing to relocate. How you will do it Regulatory Intelligence • Serve as the internal subject matter expert (SME) for regulatory requirements and trends in product safety/integrity and electromagnetic compatibility. • Build a strong compliance network team across regions (peers in China, US, and EMEA). • Lead product compliance planning, strategy, and execution for new product development projects and sustaining engineering efforts. • Drive product lifecycle management around safety compliance during the new product development process (NPI). • Support cross-functional design reviews and risk assessments by providing expertise on safety and compliance considerations. • Develop conformity assessment plans, processes and procedures to ensure harmonized global compliance strategy for JCI Global Products & Solutions. • Interpret and apply relevant safety standards, directives, and regulations related to Johnson Controls' products. • Facilitate risk assessment/hazard analysis and compliance checks for products. • Represent Johnson Controls and influence technical committees on key consensus standards organizations (CENELEC, ETSI, IEC, ISO, in EMEA and ANSI, ASHRAE, CSA, NEMA, NFPA, UL in NA). Compliance Management • Own and manage the end-to-end agency certification process, including compliance planning, documentation preparation, coordinating lab testing, and obtaining final approvals. • Work with Notified Bodies as required to obtain/maintain EC Type Examination Certificates as dictated by regulatory framework per defined module type conformity assessment protocols. • Implement tools and processes to support compliance documentation and own those documents within engineering (technical file). • Generate and maintain compliance documentation and support quality audits and continuous improvement initiatives. Regional Compliance Requirements • Ensure compliance with regional regulations and related normative consensus standards as outlined below: o North America: USA Regulations: 10 CFR (DoE) Part 431, 29 CFR (OSHA) Part 1910, 40 CFR (EPA) Part 82, 47 CFR (FCC) Part 15 Canadian Regulations: ISED, Energy Efficiency (SOR/2016-311), OHS (SOR/86-304), EPA (SC/1999-33), Radiocommunications (RSC/1985-R-2) Applicable Codes & Standards: NFPA 70 (NEC), CSA C22.1-1990 (CEC), ICES-003, UL (50/E, 508/A/C, 555/S, 275, 796, 864, 916, 2034, 2043, 2075, 60730-x, 60335-x, 60079-x, 60947-x, 60950-x, 61010-x, 61800-5 121201, ) and equivalent CSA standards as well as other applicable normative standards (i.e. ASHRAE, AHRI, BACnet, FM, NEMA). o Europe Regulations: EU Directives: ATEX, EMC, Low Voltage, Machinery, Pressure Equipment, Radio Equipment, RoHS UKCA Regulations: ATEX, Electrical Equipment, EMC, Machinery, Pressure Equipment, Radio Equipment, RoHS. Applicable Standards (IEC/ETSI): EN (18031-1, 50491-5-x, 55022/32, 60730-x, 60335-x, 60079-x, 60947-x, 60950-x, 61000-3-x, 61000-6-x, 61000-361010-x, 61800-5, 62311, 62368-1,62479, 63000, 300 328, 301 489-x, 301 908 o Middle East/Africa Regulations: CITC, ECAS, ICASA, NTRA, SASO, SABER, SABS, VoC, TRA, TDRA o Latin America Regulations: ANATEL, ENACOM, NOM 01, NOM-019, IFT /NOM-208, SUBTEL o Asia-Pacific Regulations: BIS (ISI & CRO), MIC, BSMI , CCC, CQC, KC, NCC, OFCA, NBTC, PSE, RCM (ACMA), SDPPI, SIRIM, SRRC, TEC, WPC(ETA) o International Regulations: IEC standards and IECEE CB Scheme Certification What you will need Required • Bachelor's degree or university degree in Electrical Engineering or a related technical field. • Demonstrated experience in driving product safety and regulatory compliance. • 8+ years related industry experience and 5 in product safety and/or risk analysis compliance. • Deep understanding of certification requirements and processes, especially for building controls and HVAC applications. • Strong working knowledge of IEC/EN EMC standards and testing (e.g., EN 61000 series). • Proven ability to manage product compliance and certifications from concept through launch. • Excellent project management, organizational, communication, and documentation skills. • Ability to troubleshoot and resolve compliance-related issues during product development and testing. • Demonstrated leadership skills. Preferred • Professional certification related to product safety or compliance (e.g., UL Certified Functional Safety Professional). • Experience in building automation systems or HVAC control product development. • Familiarity with international certification schemes (CE, UKCA, CB Scheme). • Understanding of quality management systems (ISO 9001) and regulatory integration in product development. • Basic understanding of software or firmware as it relates to compliance (e.g., software safety classifications, EMC considerations). Johnson Controls International plc. is an equal employment opportunity and affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, protected veteran status, genetic information, sexual orientation, gender identity, status as a qualified individual with a disability or any other characteristic protected by law. To view more information about your equal opportunity and non-discrimination rights as a candidate, visit EEO is the Law . If you are an individual with a disability and you require an accommodation during the application process, please visit here .

Posted 1 week ago

Compliance Officer – Bank Holding Company Controls Monitoring Officer - Assistant Vice President-logo
Compliance Officer – Bank Holding Company Controls Monitoring Officer - Assistant Vice President
Deutsche BankJacksonville, Florida
Job Description: Job Title Compliance Officer – Bank Holding Company Controls Monitoring Officer Corporate Title Assistant Vice President Location Jacksonville, Florida Overview The Bank Holding Compliance team is responsible for the development and maintenance of the Compliance Framework for Deutsche Bank’s Combined U.S. Operations (Deutsche Bank CUSO), and associated bank/ bank holding company policies and compliance programs. The BHC team supports the US Compliance Monitoring Program (US CMP) as part of that framework. This professional will focus on providing support for an expanded approach to US CMP, a program that reviews (monitors) the adequacy of existing controls for the population of US Compliance risk related rules, creates and executes monitoring approach documents and reporting, and will adapt current processes as the program matures and enhanced toolsets are adopted. The Monitoring team must work closely with the Global Compliance Monitoring- Compliance Testing & Assurance team for alignment, leveraging of toolsets and approaches, and possible resource alignment longer term. This role will have a matrix reporting line into the US Compliance Risk Assessment (CRA) team to support the CRA Rules Inventory and related controls in a Risk managed Controls Inventory. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups that support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits Educational resources, matching gift, and volunteer programs What You’ll Do Assist the Vice President to manage frequency of reviews, create reporting and governance forum materials and perform quality assurance (QA) for 100 -200 monitoring reviews annually, some which may leverage Deutsche Bank Group level monitoring reviews Utilize and contribute technology/systems knowledge to implement improved tracking, reporting and adapt processes to use the Deutsche Bank Group monitoring tool, and maintain the Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework Follow regulatory changes that impact the Bank regardless of business, including helping the Business to determine the impact and to implement necessary changes. The candidate must be able to read, understand and apply complex banking regulations to the Business. Support the US Compliance Monitoring program by providing input on the framework documents and completing quality checks as outlined in the annual monitoring plan Escalate issues with proposed solutions to the team lead in a timely fashion Skills You’ll Need Bachelor’s degree or equivalent; PMP (Project Management Professional) a plus Audit or Compliance testing subject matter experts (SME) knowledge to contribute to creating a strong CMP with improved metrics, and reporting Functional knowledge of how to apply US regulations and associated Deutsche Bank policies, including but not limited to Financial Industry Regulatory Authority (FINRA) & Securities and Exchange Commission (SEC), Federal Reserve Bank (FRB), Outbound Control Centers (OCC), Federal Deposit Insurance Corporation (FDIC) and other financial services firm regulators Experience working in Compliance, Testing or Audit, ideally in a financial institution, Analytical, with the ability to provide practical solutions within Deutsche Bank Group standards An enthusiastic team player; able to build strong, open dialogue-based relationships with relevant Stakeholders Skills That Will Help You Excel Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, Compliance CT&A, the Business and other infrastructure functions The ability to work across Deutsche Bank office locations in the US and globally ( UK, Germany and India most likely) Action-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities Ability to project confidence and professionalism in dealings with senior business personnel Proficiency to work with Excel, Word, PowerPoint, and SharePoint and workflow tools, Able to work independently to manage projects and deliverables to completion Expectations It is the Bank’s expectation that employees hired into this role will work in the Jacksonville, Florida office in accordance with the Bank’s hybrid working model. Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion. The salary range for this position in Jacksonville is $78,000 to $111,800. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration. Deutsche Bank Benefits At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authenti­cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more! Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com . #LI-HYBRID We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; and Employee Polygraph Protection Act .

Posted 6 days ago

Customer Success Manager - Governance, Risk & Compliance (GRC) Success-logo
Customer Success Manager - Governance, Risk & Compliance (GRC) Success
WorkivaDenver, Colorado
Workiva Customer Success Managers (CSM) are a critical part of our customer-facing team. CSMs serve as the primary point of contact for customers, managing the entire customer lifecycle by focusing on business outcomes; and identifying opportunities for growth within their named accounts post-sale. As a CSM, your primary mission will be to maximize our customers return on investment (ROI) in the Workiva Platform. You will develop and maintain close relationships with management, product adoption sponsors, and/or key stakeholders throughout the customer lifecycle. You will work closely with Workiva’s Services team, Support team, Marketing team, and Sales team to drive adoption by ensuring customers are effectively onboarded, trained, and supported throughout the customer journey. What You’ll Do Drive customer adoption of Workiva solutions Ensure continuous ROI to your customers Consult on best practices, workflows, and management business reviews Develop multi-purpose relationships throughout customer organizations Identify risks within named accounts & take appropriate actions to manage and/or escalate to an efficient resolution Ensure all customers are continuously working toward key milestones of the Customer Journey using customer-facing Success Plans Advocate for customers internally by providing continuous feedback to Workiva’s Sales, Services, Marketing, Product, & Engineering teams Work with Sales to understand the details of upcoming renewals Teach customers how to use the Workiva Platform Use customer management tools to track customer communication, issues, and metrics What You'll Need Minimum Qualifications Undergraduate degree or equivalent combination of experience and education in a related field; an advanced degree may be considered in lieu of professional experience 2 years of related experience (Customer Success, Customer Service, Account Management or Sales) Preferred Qualifications Experience supporting a SaaS application preferred Deep commitment to customer success - not just satisfaction Ability to understand complex problems and explain the source of those problems simply Strong communication and presentation skills with a high level of comfort in delivering consultative recommendations Self-starter with strong time management and prioritization skills Travel Requirements & Working Conditions Willingness to travel up to 10% for team and corporate meetings, fostering relationships and representing company interests Reliable internet access for any period of time working remotely, as we embrace flexible work arrangements How You’ll Be Rewarded ✅ Salary range in the US: $57,000.00 - $91,000.00 ✅ A discretionary bonus typically paid annually ✅ Restricted Stock Units granted at time of hire ✅ 401(k) match and comprehensive employee benefits package The salary range represents the low and high end of the salary range for this job in the US. Minimums and maximums may vary based on location. The actual salary offer will carefully consider a wide range of factors, including your skills, qualifications, experience and other relevant factors. Employment decisions are made without regard to age, race, creed, color, religion, sex, national origin, ancestry, disability status, veteran status, sexual orientation, gender identity or expression, genetic information, marital status, citizenship status or any other protected characteristic. Workiva is committed to working with and providing reasonable accommodations to applicants with disabilities. To request assistance with the application process, please email talentacquisition@workiva.com . Workiva employees are required to undergo comprehensive security and privacy training tailored to their roles, ensuring adherence to company policies and regulatory standards. Workiva supports employees in working where they work best - either from an office or remotely from any location within their country of employment. #LI-JW1

Posted 6 days ago

Federal Compliance Specialist-logo
Federal Compliance Specialist
HendrickEast Independence, Hawaii
Charlotte Consolidated Accounting Office - HIC Location: 6030 East Independence Blvd, Charlotte, North Carolina 28212 Summary: The Accounting Clerk is responsible for computing, classifying, recording, and verifying numerical data for use in maintaining accounting records. Supervisory Responsibilities: This job has no direct supervisory responsibilities. Essential Duties and Responsibilities may include the following: Compile appropriate information in order to file the 8300 form Ensure all 8300s are filed with the IRS timely for the stores assigned Ensure compliance with all 8300 laws Review daily 8300 reports for each store Ensure that all documents for the 8300 are uploaded into Box Ensure that notification letters are mailed out to customers in accordance with 8300 law Reconciles report discrepancies and problems. Codes data for input to financial data processing system according to company procedures. Reviews, balances, and interprets computer reports, and makes corrections. Assists employees, vendors, clients, or customers by answering questions related to accounts, procedures, and services Qualifications: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with medical conditions to perform the essential functions. Desired Education: o GED o High School Diploma √ Associate Degree o Bachelor Degree o Master Degree o Doctorate Degree Field of Study: √ Accounting o Automotive o Business o Human Resources o Information Technology Desired Work Experience: √ up to 3 years o 3-5 years o 5+ years Education/Experience: Associate's degree (A. A.) or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience. Previous Accounting experience in a high volume environment desired. Strong organizational skills required. Certificates and Licenses: o Valid Driver’s License o Automobile Salesperson License Computer Skills: Intermediate knowledge of Microsoft Office Products. Ability to learn the Dealership Management System, Spreadsheet software, accounting software, and inventory software. Communication Skills: Ability to understand and follow instructions. Ability to communicate effectively with company personnel. Attendance Expectations: The position requires regular and predictable attendance. Scheduled shifts may include evening hours, weekends, and some holidays. Physical Demands: While performing the duties of this job, the employee is regularly required to talk or hear. The employee is regularly required to sit; use hands to finger, handle, or feel. Environment Demands: Duties are performed primarily at a desk in an office setting. Work includes frequent clerical and administrative responsibilities and interaction with managers and employees. Verbal and Writing Ability: Ability to read and comprehend instructions, correspondence, and memos. Math Ability: Ability to add, subtract, multiply and divide. Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Reasoning Ability: Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Core Values: To perform the job successfully, an individual should demonstrate the following Core Values: Servant Leadership Servant Leaders consciously put the needs of others before their own, because to serve people is to value them. Teamwork through Trust & Respect Diversity is strength, and when we trust and respect one another we can work as a team to achieve at a high level. Integrity Being honest and transparent with people, in an effort to do the right thing within the letter and spirit of the law, drives every action we take and every decision we make. Commitment to Customer Enthusiasm Every day we recommit ourselves to the customer experience, and we are empowered to exceed the expectations of our customers. Passion for Winning Hendrick’s tradition of winning is based on the idea of striving to be the best, not the biggest, and is therefore defined by how we treat our people. Accountability at All Levels Taking ownership of our actions and our decisions allows us to grow as individuals, and support each other as a team. Commitment to Continuous Improvement Every day we soften our hearts as well as our egos, in order to seek out and improve upon areas of opportunity within ourselves and our team. This job description in no way states or implies that these are the only duties and responsibilities to be performed by this employee. The employee will be required to follow any other instructions and to perform any other duties and responsibilities upon the request of a supervisor. This job description is subject to revision at the discretion of the company. Hendrick is an Equal Opportunity employer. Minorities, women, veterans, and individuals with disabilities are encouraged to apply. For more information regarding the EEOC, please visit https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12ScreenRdr.pdf .

Posted 2 weeks ago

Northwestern Mutual logo
VP Managed Investments & Fund Compliance
Northwestern MutualMilwaukee, Wisconsin
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Job Description

Summary:

The Vice President – Managed Investments and Fund Compliance leads the Managed Investments and Fund Compliance Division of Enterprise Compliance and is responsible for leading the development, implementation, administration, testing and enforcement of the separate compliance programs to manage the regulatory risks of:

  • Northwestern Mutual Investment Management Company, LLC (Northwestern Mutual’s registered investment adviser responsible for managing the general account and certain other affiliated assets, the Northwestern Mutual Foundation, and third-party capital private investment funds and CLOs); 
  • Northwestern Mutual Series Fund, Inc. (Northwestern Mutual’s proprietary mutual fund family and only available as investment options within Northwestern Mutual’s variable products); and
  • Mason Street Advisors, LLC (Northwestern Mutual’s registered investment adviser managing the Series Fund and the Column Funds, each a series of an unaffiliated multi-series trust, and which are only offered within Northwestern Mutual’s retail advisory programs).

This position serves as the chief compliance officer for the three entities noted above and reports to Northwestern Mutual’s Vice President – Enterprise Compliance and Compliance Programs Team Lead, as well as the boards of directors of each of these entities.  The position works closely with senior management of Northwestern Mutual and each of these entities to establish the compliance strategy and develop and implement risk-based compliance programs reasonably designed to ensure compliance with applicable laws and regulations. The position works closely with Northwestern Mutual’s Law Department.  

Primary Duties & Responsibilities

  • Develop, implement, and maintain the entities’ compliance programs to ensure adherence to regulatory requirements and internal policies.
  • Monitor and assess regulatory developments and best practices, partnering with management and support teams to evaluate their impact on the business and ensure timely implementation of regulatory changes.
  • Identify, assess, and mitigate compliance risks across the entities, fostering effective risk management practices.
  • Strengthen the risk and compliance culture across the organization, ensuring alignment with the three lines of defense model.
  • Collaborate with business units (first line of defense) to integrate compliance controls into daily operations and ensure effective advisory, oversight, and challenge of operational activities.
  • Collaborate with risk management and other risk oversight functions (second line of defense) to ensure integrated compliance and risk management efforts.
  • Support internal audit (third line of defense) by providing necessary documentation and insights for independent assessments of the compliance program.
  • Conduct regular reviews, testing, and surveillance to monitor compliance with policies and procedures.
  • Provide ongoing training and guidance to employees on compliance-related matters, enhancing regulatory awareness and fostering a strong culture of compliance.
  • In partnership with the enterprise regulatory response team and the Law Department, support regulatory examinations and other inquiries by engaging with, and responding to, regulators to ensure timely and accurate responses.
  • Lead the evaluation of compliance violations, collaborating with applicable business and support teams to implement corrective actions and prevent recurrence.
  • Design, maintain, and periodically assess written policies and procedures to comply with applicable laws, regulations, to address risk and ascertain operational effectiveness.
  • Prepare and present regular reports to senior management and entity boards on the status of the compliance program, including emerging risks, regulatory changes, and operational effectiveness.
  • Develop and maintain a compliance oversight program for sub-advisors and other key service providers, evaluating the design and effectiveness of their compliance programs.

As a divisional leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing divisional responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support.  The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations.

QUALIFICATIONS:

  • 10+ years of relevant securities related legal, compliance or regulatory experience.
  • JD, MBA, or CFA preferred.
  • Self-motivated with the ability to work both independently and through others.
  • Ability to effectively lead and influence teams.
  • Must excel at collaboration, partnership and relationship building.
  • Highly analytical with strong critical thinking skills and ability to provide compliance guidance that balances relevant regulatory requirements, risk mitigation and business objectives.
  • Strong attention to detail and ability to spot relevant issues and solve problems through a practical business lens.
  • Exceptional oral and written communication and presentation skills.

Compensation Range:

Pay Range - Start:

$187,320.00

Pay Range - End:

$347,880.00

Geographic Specific Pay Structure:

240 - Structure 110: 206,080.00 USD - 382,720.00 USD

240 - Structure 115: 215,390.00 USD - 400,010.00 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.