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Communications Compliance Consultant-logo
Communications Compliance Consultant
MassMutual Financial GroupSpringfield, MA
Communications Compliance Consultant Communications Compliance Team Full-Time Springfield, MA or Boston, MA The Opportunity As a Communications Compliance Consultant, you are primarily responsible for reviewing advertising and marketing material submitted by Home Office business partners from areas such as Marketing and the Broker Dealer/Corporate Registered Investment Adviser (MML Investors Services, LLC), as well as, from Financial Professionals in our field offices. The Team The Communications Compliance Team is comprised of seasoned professionals with an average tenure of approximately 15 years. Our team is focused on managing the communications compliance risk for the Company through our field, home office, and social media marketing review systems. From a Home Office perspective, our team primarily reviews any marketing material created for use by our field force that is non-product related. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser including some vendor created content. From a Financial Professional perspective, our team reviews all marketing material that promotes interest in MassMutual/ MML Investors Services, LLC (our Broker Dealer/CRIA), our products and services, as well as interest in our Financial Professionals. We also review awards/rankings, titles, designation requests, and Doing Business As (DBA) names. Our team mission is to understand the goals of our business/field partners and to help them accomplish those goals by taking a risk-based, solutions-oriented approach, while also maintaining compliance with various insurance and securities regulations. The Impact To help MassMutual live up to its brand promise and improve the customer experience, advertising and marketing material must be reviewed in accordance with applicable state and federal regulations to help ensure our customers are receiving accurate, timely, and helpful information that is on point with our brand and high ethical standards. Additional duties include responsibility for fostering and sustaining collaborative business partner and field office relationships by taking a risk-based and solutions-oriented approach to reviewing material. We consistently focus on bringing our business/field partners additional resources to assist them with the creation and submission of their material and strive to improve efficiency through continuous improvement efforts. The Minimum Qualifications 3 + years of Broker Dealer and/or Corporate Registered Investment Adviser experience Series 7 and 24 registrations The Ideal Qualifications College degree Advertising review experience a plus Series 4 a plus Proficient in Microsoft Office Suite Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, collaborative, and risk-based mindset and can operate within "the gray." Is empathic to the needs and goals of our business and field partners and demonstrates a sense of urgency when handling material reviews. Motivated self-starter, excellent verbal and written communication skills, problem solver, organized, and can work autonomously once trained and with limited coaching. Team player, who can work collaboratively with business and field partners to develop or modify business operating policies and procedures to help ensure compliance with applicable regulations. Demonstrated ability to champion and adapt quickly to change, increasing data literacy, and increasing utilization of technology and automation including in the artificial intelligence space. What to Expect as Part of MassMutual and the Team Regular meetings with the Communications Compliance Team Focused one-on-one meetings with your manager Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups Access to learning content on Degreed and other informational platforms Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits #LI-FT1 Salary Range: $86,200.00-$113,100.00 At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. Why Join Us. We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard. We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual. MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status. If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need. At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.

Posted 5 days ago

Svp, Senior Compliance Officer - Alternatives-logo
Svp, Senior Compliance Officer - Alternatives
PIMCONew York, NY
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Location: There is a strong preference for the role to be based in Newport Beach, though there may be flexibility to consider New York for the right candidate. Overview PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the investment adviser compliance program and compliance matters relating to PIMCO's alternatives and private funds business. The position will be based in our corporate headquarters in Newport Beach, CA. Responsibilities Support the development and implementation of PIMCO's investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally Manage regulatory compliance aspects of PIMCO's investment adviser compliance program, with a focus on the alternatives/private funds business Implement and adapt the compliance program to respond to business needs and regulatory changes Draft and implement policies, procedures, memos and internal and external communications Participate in the Advisers' and private funds' risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures, and controls and identifying enhancements based on test results Identify and address situations involving conflicts of interest Work with various teams and departments including Legal, Portfolio Management, Operations, and client facing teams to identify and address regulatory matters Maintain an understanding of investment adviser, investment company, and broker-dealer compliance policies, regulatory focus areas, and their relevance to PIMCO's investment advisory business Must take initiative in learning and applying new skills and regulations Demonstrate integrity and a commitment to PIMCO's values and ethical principles Requirements This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Bachelor's degree or equivalent required; graduate degree or Juris Doctorate preferred Several years of relevant experience in a major financial services firm or global asset manager, with a focus on private funds and alternative strategies Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity across different investment products Demonstrate initiative, integrity, and a commitment to PIMCO's values and ethical principles Excellent problem-solving skills Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas Service-oriented; the ability to balance regulatory and policy standards along with a business perspective Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 215,000.00 - $ 260,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Posted 2 weeks ago

Compliance Specialist State & Local, Employee Benefits-Insurance Advisory Solutions-logo
Compliance Specialist State & Local, Employee Benefits-Insurance Advisory Solutions
BRP Group, Inc.Tampa, FL
The Compliance Specialist works directly with Clients to review insurance risk management information and assist with the insurance requirements of all key project documents, including partnership agreements and construction contracts. Perform strategic risk review to match project insurance coverage in accordance with new deal requirements. Review, digest and translate regulatory and legal developments for the benefit of clients and colleagues Develop client-facing educational and instructive collateral to apprise clients of their obligations and responsibilities under federal and certain state and local laws, regulations, statutes, and ordinances Review and respond to field inquiries related to the administration of employee benefits and the related employment and labor law obligations and responsibilities, occurring at the national, regional, and local levels Conduct seminars, boot camps, informational and educational webcasts, and speak at national conferences on topics related to total reward platforms and specifically, employer-provided workplace leave and worker accommodations Coordinate with other compliance teams members throughout the country to complete large-scale projects, and to coordinate day-to-day workflow and project operations Proactively and independently manage the firm's compliance-related activities and duties for an assigned geographic region of the United States, or for a designated partnership or partnerships Competently and appropriately offer specialized consultative client and colleague-facing compliance related support in the areas of state-level and local laws, statutes, and ordinances. Assist the director in other programs, activities, and requirements that may arise in the service of the firm or the compliance division (varies). Essential experience for the qualified candidate: A minimum of three (3) to eight (8) years prior workplace experience in a compliance or related employee benefits or HR related advisory function for a private company, an insurance broker, an insurer, or an industry related resource. Demonstration of ability to adapt to a quickly changing workplace environment through direct and demonstrable experience in dealing with one or more of the following: a. Human resources or legal organizational operations or change management planning and related activities; b. Development and implementation of global, national or regional marketing and/or information campaigns; c. Employee benefits related design, planning, implementation, administration or termination related workplace activities d. Direct experience in the performance due diligence activities or other operations related to, or arising in connection with, organizational mergers and acquisitions; e. Logistics and related information delivery related workplace experience, either in an operations and/or leadership role; and/or, d. Law firm, clerkship, internship, and/or legal department workplace experience, particularly respecting activities related to employee benefits law, general employment and labor law, or privacy and security related laws and regulations. A minimum of two (2) to four (4) years of workplace experience related to interpretation and administration of employer obligations arising under federal, regional, state, or local laws, ordinances, statutes, and regulations, preferably with direct experience related to one or more of the following: a. State-based personal and family worksite leave requirements; b. Local ordinances, such as commuter ordinances; c. State-based individual mandates for health insurance; d. State-based disability insurance mandates e. State-level employee benefits related statutory provisions, f. State or federal medical insurance-related regulation and/or policy. A minimum of one (1) year of workplace experience communicating and/or conducing contract or agreement negotiations with external and/or internal partners, including company leadership, colleagues, clients, third-party vendors, insurance carriers, and/or third-party administrators. Experience receiving and responding to confidential or private internal and/or external communications. Educational acumen and other knowledge gained through secondary, post-secondary, or other professional learning and education related activities (examples may include associate's degrees, bachelor's degrees, master's degrees, paralegal certifications, juris doctorates, and other professional learning and education certifications, designations, or other related course work). A strong sense of self, paired with the ability to effectively manage competing workplace expectations and obligations with skill, tact and grace. Educational Requirement: Bachelor's level education or specialty industry certification (SHRM, HRCI, IAPP, etc.) required. Education requirement may be waived upon demonstration of satisfactory work related experience. IMPORTANT NOTICE: This position description is intended to describe the level of work required of the person performing in the role and is not a contract. The essential responsibilities are outlined; other duties may be assigned as needs arise or as required to support the organization. All requirements may be subject to reasonable accommodation to applicants and colleagues who need them for medical or religious reasons. Click here for some insight into our culture! The Baldwin Group will not accept unsolicited resumes from any source other than directly from a candidate who applies on our career site. Any unsolicited resumes sent to The Baldwin Group, including unsolicited resumes sent via any source from an Agency, will not be considered and are not subject to any fees for any placement resulting from the receipt of an unsolicited resume.

Posted 30+ days ago

Administrator, Compliance-logo
Administrator, Compliance
Northern TrustChicago, IL
About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Job Responsibility: Reviews and analyze escalated OFAC/Sanction alerts related to various types of transactions, i.e. Domestic and International Wire payments, Swift payments, IAT and Securities that alert from the sanction screening system. Investigate and make accurate decisions on appropriate actions to take to determine if they are permissible under Office of Foreign Asset Control (OFAC) and/or any other applicable jurisdictional Sanctions program. Perform Quality Control Reviews on areas that perform sanction screening reviews, to assure compliance with applicable regulatory requirements and adherence to internal policies/procedures. Advises business partners on the Sanctions Compliance Program and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. Identifies any Compliance Sanction Risks associated with the Company's activities. Carries out Compliance-related activities through direct interaction with management and Risk Huddles. Collaborates on projects with Team members, exhibiting ongoing learning and basic project management skills. Collaborate with team members and internal partners as needed related to OFAC which may include: creating IntelliTrac case, corresponding with banks or partners for additional details, relaying of the details to the partners or banks, returning of payment, etc. Work on Special projects as assigned. Participate and complete required training, ie. Departmental new hire, industry, and corporate. Responsible for following established guidelines and identifying, researching, and resolving or escalating issues as appropriate. Expected to take initiative to resolve basic/routine issues independently but refers more complex problems to supervisors/experts. Prepares management and staff level reports related to various Compliance requirements. Perform tasks as assigned by management. Knowledge and experience: Knowledge of applicable U.S. Sanctions laws and regulations, usually acquired through formal education or experience, is preferred. At least 2-5 years of related work experience; prior work in an OFAC Sanction's role strongly preferred, but not required. Experience working with Fircosoft or Sanctions filtering application is a plus. Knowledge and/or previous experience with wire transactions, including understanding SWIFT payments are a plus. Organizational skills required to coordinate compliance activities and training. Strong analytical and problem-solving skills are required. Excellent oral and written communication skills are required. In-depth functional / industry knowledge is required Strong technical skills and knowledge of transaction processing systems is preferred. Ability to proactively and independently research, gather evidence for compliance documents. Hours: The hours for this position are 8:30 a.m. to 5:00 p.m. CST Salary Range: $48,000 - 72,000 USD Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component. Working with Us: As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose. We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.

Posted 3 weeks ago

Trust Compliance Manager-logo
Trust Compliance Manager
Tolleson Wealth ManagementDallas, Texas
DUTIES AND RESPONSIBILITIES: Assist with the administration of the Trust department’s Compliance Management program with focus on the rules and regulations applicable under OCC regulations (e.g., 12 CFR 9, CFR 12), FDIC exam manual covering fiduciary topics and RC-T reporting Provide support to Trust Regulatory Compliance Director with the on-going monitoring, reporting and testing of the Trust Department’s Compliance Management program to make modifications that will prevent, detect and correct trust regulations and laws violations and mitigate risks to the firm Assist with drafting and amending policies and procedures to reflect the current business practices of the firm and the rules that govern them Assists with compliance review process by ensuring frequency and scope of reviews and self-tests are in alliance with compliance-related risk assessments Assist with firm external trust audits and trust examinations, including responding to interview requests, on-site questions and assembling detailed responses to requests for information Ensure compliance with regulations and controls by conducting research of various rules, reviewing compliance publications and participating in industry conferences and webinars Coordinate, prepare and take minutes for all Compliance Meetings Other duties as assigned by management MINIMUM POSITION REQUIREMENTS: Bachelor's degree required Minimum of six (6) years' experience in personal trust required with at least four (4) years' experience in trust compliance highly preferred CFIRS or CRCM certifications is a plus Strong working knowledge of trust regulatory environment and applicable trust banking regulations, including managing compliance related audits and examinations Functional understanding of trust product areas including internal control structures Excellent analytical, organizational, and problem-solving skills OTHER ESSENTIAL CANDIDATE TRAITS: Proficient using Microsoft Suite (Excel, PowerPoint, Word, Outlook) Superior attention to detail, excellent verbal and written communication skills Strong team player with demonstratable thoroughness and ability to work independently and collaborate across teams when needed Must consent to and have favorable consumer report and background check Ability to maintain extreme confidentiality NO AGENCIES PLEASE No calls or agencies please. Any Employment Agency, person or entity that submits an unsolicited resume to this site does so with the understanding that the applicant's resume will become property of Tolleson Wealth Management and that Tolleson Wealth Management will have the right to hire that applicant at its discretion and without any fee owed to the submitting Employment Agency, person or entity. Employment Agencies that have entered into agreements with Tolleson Wealth Management must submit applicants in accordance with the terms of the applicable agreements in order to be eligible for payment of placement fees. Tolleson Wealth Management is an Equal Opportunity Employer

Posted 3 weeks ago

Director- Compliance & Permitting-logo
Director- Compliance & Permitting
Braun Intertec CorporationBloomington, Minnesota
Own where you work. Braun Intertec is proud to be a 100% employee-owned environmental consulting, geotechnical engineering, and testing firm of 1,000 employees with offices located in ten states. As a part of our exciting growth initiatives, we are continuing to build relationships in emerging markets and recruiting new talent. Our dedication to being the Employer of Choice is instrumental in achieving our goal of becoming the Consultant of Choice. By hiring the best people and helping each other grow both professionally and personally, we ensure a bright future for our employee owners and our clients. We want our employee-owners to be fully engaged — at home, at work, and in their communities. We provide our employees with a full range of benefits including comprehensive medical, vision, and dental plans, paid time off (as well as volunteer time off), company match 401k, participation in our Employee Stock Ownership Program (ESOP), technical training and career development resources, and access to our wellness program. The ESOP is a benefit we are proud of and celebrate as it allows all employees to be owners within the company. Key Responsibilities A Director in our Environmental Consulting Division is primarily responsible for providing strategic direction, overseeing project delivery, managing client relationships, and contributing to business development efforts. The successful candidate will be expected to: Maintain primary responsibility for the oversight, management, and financial performance of multiple business units in the Upper Midwest Region, including Environmental Health and Safety, Compliance and Permitting, and Natural and Cultural Resources. Drive and implement strategy for the department’s performance and growth, particularly in the renewable energy, oil & gas, and transmission market sectors. Manages the total flow of work through the workforce, ensuring compliance with client expectations of cost, schedule, and quality. Provide leadership and guidance to subordinate teams through the performance management process. Execute respective business plans and show commitment to Braun Intertec to achieve goals within a division, business unit, or department. Conduct internal and external business development activities for environmental compliance services while partnering with other business units to cross-sell applicable Braun Intertec services to new and existing clients. As needed, provide senior-level technical review of project deliverables and senior technical support for more complex projects including: Environmental Reporting (i.e., Annual Waste Summaries, EPCRA Tier II Reports, SARA Toxic Release Inventory Reports, Air Emissions Inventory Reports, Annual Compliance Reports, etc.) Environmental Auditing and Site Inspections Water and Wastewater compliance and permitting SPCC and SWP3 plan development and compliance Air Quality compliance and permitting Wetlands and NEPA regulations You will contribute to the firm’s success by: Collaborating with leadership to establish goals that ensure the realization of the strategic plan. Working with the team to develop and implement innovative solutions to facilitate improved workflows. Mentoring and coaching staff members, fostering their professional development and growth. Cultivating and maintaining relationships with clients, stakeholders, and regulatory agencies. Creating annual budgets for multiple business units and ensuring adherence to financial goals. Keeping up with industry trends, best practices, and regulatory requirements to ensure the continued excellence of our services. Partnering with leadership in the Upper Midwest, South-Central, and Southeast Regions to provide operational excellence to client and market sector programs. Conducting internal and external business development activities while partnering with other business units to cross-sell applicable Braun Intertec services to new and existing clients, including proposal writing, client presentations, and networking events. What We’d Love to See in You BS degree or higher in Geology, Engineering, Environmental Science, or related field. Minimum 10 years of direct environmental regulatory compliance experience with a proven track record of team leadership and program management. Ability to collaboratively work with other offices to address national or regional client concerns. Demonstrated experience and high-level of knowledge of environmental permitting and regulatory compliance as they apply to industrial, energy, oil and gas, and commercial clients. Significant consulting experience including experience with SPCC, SWPPP, SARA III, RCRA, air and industrial wastewater permitting. Demonstrated commitment to continuous learning and professional development. Proven leadership skills with experience mentoring and developing staff. Excellent communication and critical thinking skills. PE, PG, CIH, CSP, CHMM or other professional certification preferred 40-hour HAZWOPER certification with annual refreshers preferred Valid driver’s license and satisfactory driving record Excellent communication and interpersonal skills, with the ability to effectively interact with clients, colleagues, and stakeholders at all levels. #LI-CT1 #LI-hybrid Compensation Range: $133,300.00 - $199,900.00 As an EEO/Affirmative Action Employer, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, veteran or disability status. B raun Intertec strives to ensure that its careers web site is accessible to all. If you need assistance completing your online application, please email hrhelp@braunintertec.com . As an Equal Opportunity Employer, Braun Intertec is committed to providing reasonable accommodations for qualified individuals with disabilities and disabled veterans. If you need a reasonable accommodation to assist with your job search or application for employment, please e-mail us at hrhelp@braunintertec.com . In your e-mail, please include a description of the specific accommodation you are requesting as well as the job title and requisition number of the position for which you are applying.

Posted 5 days ago

Director, Healthcare Compliance-logo
Director, Healthcare Compliance
Aurobindo Pharma USAEast Windsor, New Jersey
Description Develop, implement and manage the company’s compliance program for compliance with applicable laws and regulations relating to the sale of branded and generic pharmaceutical products. Managing the company’s compliance with state and federal law program requirements (including Sunshine Act). Developing and delivering training on Aurobindo compliance policies and industry laws, regulations and guidance, managing investigations, participating in the promotional review processes, and providing guidance to employees on compliance and ethics matters. The Director, Healthcare Compliance will be expected to be able to bring to bear independent judgment in the conduct of investigations, the provision of guidance and advice to employees on compliance and matters, and interactions with senior management and vendors and other internal and external stakeholders.

Posted 5 days ago

Compliance Manager-logo
Compliance Manager
Rite of Passage BrandHaleiwa, Hawaii
✨Join a group of passionate advocates on our mission to improve the lives of youth! Rite of Passage Team is hiring for a Compliance Manager at Pearl Haven in Haleiwa, HI ✨ Pearl Haven is a specialized facility on the north shore of Oahu that provides trauma informed therapeutic services for girls ages 11-18 who have experienced complex trauma or are diagnosed with serious emotional and behavioral disturbances to try and help them heal from their trauma. Pay: $65,000 annually Perks & Benefits: Medical, Dental, Vision and company paid Life Insurance. Paid Time Off that you can use as soon as it accrues, free meals on shift and more! Pearl Haven Benefits & Perks What you will do: As a Compliance Manager you will be responsible for ensuring full compliance with state and federal licensing requirements, including PREA, through regular internal audits, monitoring, and risk assessments. It involves collaboration with HR and external agencies, oversight of the CQI process, and the development of corrective actions to address compliance vulnerabilities. The position also requires accurate documentation and reporting, staff training and development, and the ongoing review of policies to maintain high operational standards. Additionally, the role promotes a positive and respectful work environment, models professional behavior, and supports staff and student welfare. To be considered you should: Have a high school diploma or equivalent. Applicants should be at least 21 years of age. Be able to pass a criminal background check, drug screen, physical and TB test. Applicants should be empathetic, patient and have a desire to work with troubled teens. Information regarding Schedule: Monday to Friday 40 hours a week 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 Manager, 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 1 week ago

Life Sciences – Compliance, Risk Management and Investigations | Director-logo
Life Sciences – Compliance, Risk Management and Investigations | Director
Ankura Consulting GroupLexington, Illinois
Ankura is a team of excellence founded on innovation and growth. Ankura’s Global Disputes and Economics Healthcare and Life Sciences Practice is searching for a talented individual to join our team. This exciting position will focus on driving value to Life Sciences clients and external counsel through compliance, disputes, investigations and advisory services. The position has tremendous growth potential with one of the leading professional services firms in the United States. Ankura’s Disputes and Economics Healthcare and Life Sciences Practice is the largest industry group within the firm. This position is ideally based in one of our large office locations (Washington, D.C., New York, Chicago) to work with key leaders and team members as needed. However, a remote option may be available on a case-by-case basis. As a key member of our Life Sciences Practice, you will be working with practice leadership to provide exemplary compliance, disputes, investigations and litigation support (e.g., expert witness) services across the Life Sciences sector in matters relating to compliance with the federal False Claims Act; Anti-Kickback Statute; Food Drug and Cosmetic Act; Department of Justice and Health and Human Services Office of Inspector General guidance; trade association guidance; and international compliance standards governing pharmaceutical and medical device operations. You will be joining a team of industry experts with backgrounds in compliance, regulatory, legal, audit, operations, nursing, pharmacy, medical science, economics, accounting, and data science. As a Director, you can expect to: Demonstrate the highest degree of professionalism, ethics, quality, and integrity Grow Ankura’s Disputes & Economics Life Sciences Practice by bringing expertise and an expansion mindset as you join the team Be a key contributor to project delivery teams Serve as project manager for client services Support expert witness reports and testimony with respect to fraud and abuse, competition, government healthcare program and prescription drug pricing, investigations, and commercial litigation matters Support project teams on advisory matters relating to corporate and healthcare compliance, including risk assessments, compliance program effectiveness evaluations, development, implementation and oversight of key compliance controls Assist clients with implementation and oversight of compliance enforcement decrees such as Corporate Integrity Agreements, Deferred Prosecution Agreements, and independent monitorships I nteract with clients throughout all phases of consulting engagements Demonstrate exceptional teamwork and collaborative skills Encourage relationship building by participating in the firm’s networking activities and initiatives Contribute meaningfully to various practice development efforts, such as attendance at industry conferences and generation of thought leadership Key Components of the Role will Include: Technical Expertise : Previous or current consulting experience at a public accounting firm or large- to mid-sized consulting firm with a substantial focus on clients in the Life Sciences (pharmaceuticals, biotech, medical devices, medical technology, or diagnostics), with experience working in a transformative environment. A strong working knowledge of the industry and applicable laws, regulations and trends is required. These include: The Federal Food, Drug, and Cosmetics Act; FDA regulations; The Federal False Claims Act and Anti-Kickback statute; CMS and Veteran’s Administration regulations regarding pharmaceutical price reporting; and sales and marketing requirements for prescription drugs and medical devices. Familiarity with expert reports and/or testimony with respect to fraud and abuse matters, monitorships, government proceedings, and class actions is preferred. Client Service Experience : A proven track record in delivering exceptional and effective service across a broad spectrum of compliance, disputes, investigations, and advisory projects is essential. This individual has experience communicating effectively with client executives and professionals at all working levels. Growth : You will be supported by a practice that highly values professional growth and career development. A passion for being a part of a growing, entrepreneurial team is essential. Other Expectations Include: Providing best-in-class experience for our clients Delivering timely, exceptional work product Strong time management and project management skills with a high level of attention to detail, planning and follow-through Managing multiple projects, including large engagements, evaluating work quality and performance of other team members, including qualitative and quantitative tasks Strong writing and presentation skills Minimum Qualifications 4-year degree 5-10 years’ experience in positions of progressive responsibility in Life Sciences companies and/or professional service firms (e.g., consulting, law, accounting) Advanced degree (e.g., J.D., MBA) is preferred Ability to travel depending upon client demand Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future Ankura’s Disputes and Economics Healthcare and Life Sciences Practice is a recognized leader in providing compliance, investigations, and litigation support to organizations across the healthcare continuum. Ankura provides unparalleled subject matter, technical and analytical expertise that Healthcare and Life Sciences clients and their legal counsel can rely upon to successfully navigate complex matters. Ankura is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against based on disability. Equal Employment Opportunity Posters, if you have a disability and believe you need a reasonable accommodation to search for a job opening, submit an online application, or participate in an interview/assessment, please email accommodations@ankura.com or call toll-free +1.312-583-2122. This email and phone number are created exclusively to assist disabled job seekers whose disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages left for other purposes, such as following up on an application or technical issues unrelated to a disability, will not receive a response.

Posted 3 weeks ago

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

Posted 6 days ago

Manager, Debt Compliance-logo
Manager, Debt Compliance
CalpineHouston, Texas
Calpine Corporation is America's largest generator of electricity from natural gas and geothermal resources with operations in competitive power markets. Its fleet of 76 power plants in operation and one under construction represents nearly 26,000 megawatts of generation capacity. Through wholesale power operations and its retail businesses, Calpine serves customers in 22 states, Canada and Mexico. Its clean, efficient, modern and flexible fleet uses advanced technologies to generate power in a low-carbon and environmentally responsible manner. The company was established on the premise that a strong commitment to the environment is inextricably linked to excellence in power generation and corporate responsibility. Since its founding in 1984, Calpine has led the power industry in its unwavering commitment to environmental stewardship. In addition, its renewable geothermal plants use steam generated deep below the earth's surface to produce clean, renewable electricity. Job Summary (includes but is not limited to the following, other duties may be assigned) The Manager Financial Compliance will play a key role in the administration of debt instruments for Calpine Corporation and its subsidiaries to ensure compliance with all provisions of the debt instructions and within established SOX and internal audit procedures. Job Responsibilities Responsible for insuring compliance with all provisions of assigned financing transactions and certain asset management duties for the financed projects. Review new and amended debt agreements and related documents and develop compliance calendars to ensure all compliance requirements are captured in the compliance database. Preparation of monthly and quarterly waterfall certificates, monitoring required reserve balances and bank account balances. Preparation of debt rollover notifications for banks, confirm interest rate settings, prepare variable interest payments and create interest worksheets and providing interest accrual calculations and reports to the accounting, treasury and tax departments as required. Review monthly and quarterly operating reports, major maintenance and capital expenditure reports for completeness and accuracy prior to deliver to the lenders. Coordinate with plant managers, business managers, accounting and independent engineers in the preparation of annual lender budgets and the monitoring of variance during the budget year. Preparation of quarterly restricted payment requirements for assigned projects and the review and sign off by project management, treasury, accounting and legal prior to making the payment. Request financial statements for assigned projects and review to ensure that the description of the financing transaction is correct and to ensure any non-compliance issues are disclosed. Special projects as assigned. Job Requirements Bachelor’s degree in Finance, Accounting, Business or Legal and 7-10 years’ related experience in finance and debt instruments. A thorough understanding of the fundamental principles of accounting and financial analysis is required. An understanding of power generation, transmission and power markets would be plus. The primary prerequisite is a high level of motivation and demonstrated aptitude in the finance profession. The position requires the individual to be analytically proficient and adept at problem solving. Must be highly proficient in MS Excel. The ability to work effectively in a team environment is essential and strong verbal and written communication skills are required. The ability to handle multiple assignments on a timely basis with a high degree of accuracy is essential. Must be motivated to work independently and complete these responsibilities with little supervision. Additional Calpine Information Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities. Calpine is committed to Equal Employment Opportunity and providing reasonable accommodations to applicants with physical and/or mental disabilities. If you are interested in applying for employment and need special assistance or an accommodation to use our website or to apply for a position, please send an e-mail with your request to hrrecruitment@calpine.com . Determination on requests for reasonable accommodation are made on case-by-case basis. Please view Equal Employment Opportunity Posters provided by OFCCP here

Posted 1 week ago

Specialist, Compliance Support-logo
Specialist, Compliance Support
THR Property Management LPPhoenix, Arizona
Invitation Homes is a fast-paced evolving publicly traded REIT that is pioneering a new industry with over 80,000 single family rental homes and a market capitalization of over $25 billion. We are a team of more than 1,400 associates who come from all walks of life. We call different communities “home,” but our shared values bind us together. Invitation Homes is a place where possibility lives. The HOA & Compliance Specialist is to manage property compliance by ensuring the property adheres to rules and regulations inside the community mandated by an HOA or Municipality. The HOA & Compliance Specialist will be corresponding with various departments within corporate headquarters, field personnel, and external sources preserving and resolving compliance matters. What You’ll Do Review HOA documents recording in software provided the restrictions and rules of the community Establish relationships with community partners (i.e. HOA & Municipalities) Notify and correspond with residents over resident related violation matters for resolution Facilitate and monitor the resolution of compliance concerns using resources available (i.e. vendors, field personnel, corporate personnel or community partners) Researches HOA statements, phone calls and discrepancies Communicate effectively and negotiate fines with community partners Assist in the administrative functions concerning licensing, registrations, inspections, BTR’s and any other municipal mandated administrative tasks Attend hearings arranged by HOA’s or Municipalities pertaining to compliance matters if necessary Interact and communicate with team members explaining escalated concerns when additional assistance is necessary. Who We’re Looking For High School or GED Minimum four years of customer service and/or HOA/property management experience (4) year degree or (4) years in property management or relative field preferred Property Management experience preferred ARM, CAM, CPM, PCAM accreditations preferred YARDI knowledgeable preferred Familiarity with federal fair housing laws and applicable local housing provisions Ability to multitask using a variety of IT platforms simultaneously Knowledge of Yardi is preferred Must be proficient in Microsoft software applications Ability to solve problems constructively Excellent customer service skills both internal and external Proficient verbal and writing skills Excellent organizational skills and ability to multi-task with accuracy Able to commute to the office 5 days a week. (Monday-Friday) Why Invitation Homes We stand for flexibility, opportunity, and a home that people can make their own. It’s as true for our associates as it is for our residents. Just like we help our residents live freer, we liberate our associates’ careers, too. Our associates know that at Invitation Homes goals matter, potential is unlocked, and careers thrive. Invitation Homes isn’t just a work place it is a possibility place. Invitation Homes offers the below to each new associate: Competitive pay and an annual bonus program for all associates Generous paid time off plans including vacation accrual, sick time, volunteer time, and standard and floating holidays 401k with matching company contributions Awesome work environment with casual dress Team events and gatherings Employee resource groups: Together with Women, Asian Alliance, Black Collective, Juntos, Gen Next, and Open Invitation. Invitation Homes truly is where possibility lives, pour a new foundation here! Salary Range The salary range for this position is: $16.37 - $28.38, plus individuals may be eligible for an annual discretionary bonus. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications, location, and applicable employment laws. Compensation and Benefits To attract and retain top talent, we're pleased to offer competitive compensation and benefits, including: Annual bonus program Health, dental, vision, and life insurance Long-term and short-term disability insurance Generous paid time off plans include vacation accrual, sick time, standard holidays and floating holidays 401(k) with company matching contributions Awesome work environment with casual dress Team events and gatherings (Pre- and Post-Covid) Invitation Homes is an equal opportunity employer committed to fostering a diverse, inclusive and innovative environment with the best associates. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, Veteran status or any other factor protected by applicable federal, state or local law. If you have a disability or special need that requires accommodation, please contact us at humanresources@invitationhomes.com . To all recruitment agencies: Invitation Homes does not accept agency resumes. Please do not forward resumes to Invitation Homes employees. Invitation Homes is not responsible for any fees related to unsolicited resumes. #LI-AM1

Posted 6 days ago

Information Security Governance Risk Compliance Analyst - # 2696-logo
Information Security Governance Risk Compliance Analyst - # 2696
Wade TrimDetroit, Michigan
What We Offer: Our excellent salary and benefits package includes medical, dental, vision, life insurance, short and long-term disability coverage, education reimbursement, 401(k), performance bonuses, and an employee stock program. Employee Resource Groups and Programs offered include the Young Professionals Group, Women at Wade Trim, Diversity, Equity and Inclusion, Professional Development, Leadership Development, Rotation Program, Mentor Program, Sustainability Program, and Wellness Program. Position Description: We are looking for an Information Security Governance Risk Compliance Analyst to join our IT Team to improve infrastructure in our Detroit office. The candidate must have a bachelor's degree in Computer Science with a focus on Cybersecurity or a closely related field and 3-5 years of experience. Operation knowledge of Azure, O365, CrowdStrike, KnowBe4, Mimecast, ZenGRC+, and Archer. Candidate should also have strong leadership and project management skills, with the ability to manage multiple priorities and deliver results within deadlines. The candidate must also be self-motivated, work well with others, and have excellent writing, organizational, and communication skills. A flexible hybrid-remote work schedule is available after 30 days of employment. Typical responsibilities include: Responsible for monitoring and tracking regulatory changes, ensuring that the organization remains compliant with all relevant laws, standards and industry regulations. Conduct comprehensive risk assessments to identify potential threats and vulnerabilities within the organization’s operations. Assist in the development, implementation, and revision of corporate policies and procedures to align with the best practices and compliance requirements. Collaborate with internal and external audit teams, providing documentation and evidence as needed to demonstrate compliance and adherence to governance standards. Assist in the development and maintenance of incident response plans to effectively address and mitigate security incidents or compliance violations. Prepare and distribute regular reports to IT & IT Security leadership as well as business leadership summarizing risk assessments, compliance status, and recommendations for improvement. Assist IT Security operations in the development and delivery of training programs to educate users on governance, risk, and compliance matters, fostering a culture of awareness and accountability. Identify opportunities for enhancing governance processes and recommend improvements to reduce risk exposure and enhance operational efficiency. Maintain a safe working environment. Education: Bachelor's degree in Computer Science with a focus on Cybersecurity or a closely related field is required. Certifications in ISC2 CGRC (formerly CAP) or ISACA CISA are required. Certifications in ISC2 CISSP, and ISACA CRISC are not required, but preferred. Skills/Expereince: Minimum of 3 years of related experience Strong leadership and project management skills, with the ability to manage multiple priorities and deliver results within deadlines is required Strong operating knowledge of platforms such as Azure, O365, CrowdStrike, KnowBe4, Mimecast, ZenGRC+, and Archer Excellent communication and interpersonal skills, with the ability to communicate complex security concepts to both technical and non-technical audiences is required Excellent organizational skills in order to accommodate multiple tasks simultaneously Excellent understanding of technology infrastructure and systems, including networks, databases, and cloud computing is required Maintain a professional demeanor at all times and be conscious of confidentiality issues when dealing with individuals at all levels Must be easily understood by other employees, clients, and vendors Strong analytical and problem-solving skills, with the ability to assess risks and develop practical solutions Professional certifications in information security, such as ISC2 CISSP, ISACA CRISC, ISACA CISA, and ISC2 CGRC (formerly CAP) are highly desirable About Wade Trim: Wade Trim is committed to maximizing the value of infrastructure investments. We’ve been solving complex engineering challenges for nearly a century. We customize our work approach to fit each project using a collaborative, friendly style to deliver solutions our clients can stand behind. Our supportive culture recognizes and strives to fulfill collective client, company, and individual needs. Mentoring and building skills of Wade Trim staff is a priority. Frequent interaction among staff is encouraged, company leadership is easily accessible, and opportunities are provided for staff to help shape the firm’s future through strategic planning. Work/life balance is supported through a flexible, hybrid work schedule that brings team members together in the office at least two days a week and connects them virtually when working from home. To solve our clients’ toughest challenges, we’ve devoted ourselves to delivering innovative solutions. Our Office of Applied Technology (OAT) is dedicated to seeking new technologies or ways to apply existing technologies to enhance value to our clients and positively impact communities. All staff are encouraged to share ideas and suggestions for innovative technologies or processes to adopt. This open-minded approach enables us to advance technology, foster innovation, and stay ahead of our clients’ needs. Wade Trim’s success is shared by the employees that make it happen. Since our beginning, our firm has been 100% employee owned. This cultivates an ownership mindset that benefits our work approach, collaborative culture, and ability to deliver client solutions. We believe employee ownership drives the sustainability and growth of our firm and provides all our employees with opportunities for financial success. If you are looking for a challenging and rewarding career in a friendly environment, please submit your resume by visiting the Careers section of our website at http://www.wadetrim.com/careers . Wade Trim is an Affirmative Action/Equal Opportunity Employer.

Posted 30+ days ago

Compliance & Risk Analyst-logo
Compliance & Risk Analyst
VertexKing of Prussia, Pennsylvania
Job Description: This position is responsible for owning and driving the third-party audits and certification program and streamlining the internal processes and controls while maintaining a high degree of quality. This includes full ownership of the SOC audit and ISO certification program and other third-party audit/certifications of the organization's products, practices, and services. ESSENTIAL JOB FUNCTIONS AND RESPONSIBILITIES: Implements and manages new third party audit and certification programs, including the coordination, execution and monitoring of controls testing, exceptions and remediation Partners with internal control owners and business areas to conduct walkthroughs, audit readiness exercises, assess control design, and test control operating effectiveness of processes across the organization Acts as a liaison to the company’s external auditors and internal control owners to facilitate various internal audits/assessments such as SSAE 18 SOC 1, SOC 2, ISO certification and other third-party audit and certifications Coordinates with business areas and internal control owners across the business to map controls to relevant standards, prioritize implementation, and ensure that control language is crafted so that it can be implemented in a way that will meet all necessary qualifications, standards and audits. Drives control optimization and automation opportunities, data analytics and process improvements. Ensures continuous control evidence is collected and filed for ongoing/future audit Oversees the ISO certifications process for the organization, ensuring policies are designed and followed to meet the continuous ISO qualifications Assists business areas with responses to customer specific questions and concerns. Supports Customer discussions and communications regarding third party certifications Ensures third party certification reports, bridge letters and other documentation are maintained and appropriately accessible. Contribute to on-going efforts to standardize and improve audit readiness testing techniques and program level process/documentation. Develops customer facing materials covering topics related to security, compliance, and audit to help customers manage their own audit efforts more effectively Collaborates with the Compliance and Legal Departments on compliance issues Assists with special projects such as operational audits and other department projects Assists with cross team remediation project tasks Prioritizes and manages multiple projects simultaneously and follows through on issues in a timely manner. Participates in projects and performs other duties as assigned. SUPERVISORY RESPONSIBILITIES: N/A KNOWLEDGE, SKILLS AND ABILITIES: Knowledge of the COSO and NIST Frameworks. Knowledge of reporting procedures and record keeping A business acumen partnered with a dedication to legality Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls. Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process risks; ability to apply this knowledge appropriately to diverse situations. Detailed knowledge of business workflows, excellent communication skills, and a highly adaptable approach Identify and develop process strategies that meet and exceed client and stakeholder expectations Ability to lead projects in such a way as to promote teamwork, effective collaboration, and high levels of employee engagement. Superior organization, project management skills and attention to detail High level of commitment to quality work product and organizational ethics, integrity, and compliance Ability to work effectively in a fast-paced, team environment Strong interpersonal skills and the ability to effectively communicate, both written and verbally Demonstrated decision making and problem-solving skills Detail-oriented with the ability to multi-task and meet deadlines with minimal supervision Ability to manage projects and make decisions across multiple opportunities and/or priorities Must be able to multitask and work under tight deadlines. Excellent judgment and decision-making capability Ability to work with little instruction on day-to-day work, general instructions on new assignments Ability to network with senior internal and external personnel in own area of expertise Must possess strong interpersonal, organizational, presentation and facilitation skills. Proficiency in Microsoft Office Packages Working knowledge of major ERP systems (Workday, Jira, ServiceNow) a plus. Ability to apply professional concepts, experience and company objectives in order to perform an in-depth analysis of situations or data to resolve complex issues in creative ways EDUCATION AND TRAINING: Bachelor’s Degree (e.g. Business Administration, Risk Management, Quality Assurance, Business Performance) Six (6) plus years of experience in security assurance and trust frameworks, including PCI DSS, ISO 2700X, NIST 800-53, and SOC Audit programs/ISO certification processes. Experience with designing and managing SOC controls within an organization. Experience with designing and managing ISO quality program Or equivalent combination of education and/or experience Other Qualifications The Winning Way behaviors that all Vertex employees need in order to meet the expectations of each other, our customers, and our partners. • Communicate with Clarity - Be clear, concise and actionable. Be relentlessly constructive. Seek and provide meaningful feedback. • Act with Urgency - Adopt an agile mentality - frequent iterations, improved speed, resilience. 80/20 rule – better is the enemy of done. Don’t spend hours when minutes are enough. • Work with Purpose - Exhibit a “We Can” mindset. Results outweigh effort. Everyone understands how their role contributes. Set aside personal objectives for team results. • Drive to Decision - Cut the swirl with defined deadlines and decision points. Be clear on individual accountability and decision authority. Guided by a commitment to and accountability for customer outcomes. • Own the Outcome - Defined milestones, commitments and intended results. Assess your work in context, if you’re unsure, ask. Demonstrate unwavering support for decisions. COMMENTS: The above statements are intended to describe the general nature and level of work being performed by individuals in this position. Other functions may be assigned, and management retains the right to add or change the duties at any time.

Posted 2 weeks ago

Director of Security Privacy Compliance 100% Remote-logo
Director of Security Privacy Compliance 100% Remote
Vori HealthNashville, Tennessee
Who We Are: Vori Health is an award-winning, nationwide, virtual-first, musculoskeletal medical practice focused on evidence-based care that treats the whole person. Using a unique care model to help patients find the best path forward, Vori Health connects patients to a trained care team that includes a nonoperative physical medicine physician, a health coach navigator, and a physical therapist who manage the initial patient assessment and then work to coordinate all aspects of care. We are on a mission to empower humanity to lead a healthier life. Reporting to the Chief Technology Officer, you will work closely with other members of the information technology team, as well as cross-functional stakeholders. As the Director of Security, Privacy, and Compliance, you’ll be responsible for designing, implementing, and optimizing the security and compliance infrastructure that supports our virtual-first clinical care model. You will lead Vori Health’s information protection strategy across patient data, clinical workflows, and vendor ecosystems, ensuring regulatory readiness and operational resilience. This role will lead, operationalize and maintain security controls to protect patient data and maintain SOC2, HIPAA, GDPR and HITRUST compliance. You will lead Vori Health’s information protection strategy across patient data, clinical workflows, and third-party ecosystems, ensuring regulatory readiness, operational resilience, and patient trust. This position involves strategic decision-making, system implementations, and the adoption and testing of new processes and procedures which improve the security and robustness of Vori Health’s infrastructure and associated IT systems. You will oversee key outside vendors, working to identify and safeguard Vori Health from intrusion, security threats, security weaknesses, software bugs and exploits. You will be responsible for Vori Health’s data, systems, patients, customer, and user security. What You’ll Do: Security & Compliance Leadership Lead the development and execution of security and privacy programs that ensure HIPAA, HITECH, NIST, GDPR, SOC2, HITRUST, and emerging frameworks (e.g., CCPA/CPRA, 21st Century Cures Act) compliance. Develop, implement, and maintain security policies, procedures, and governance documentation. Serve as the primary point of contact for all internal and external audits, including regulatory and client assessments. Conduct risk assessments, security audits and penetration tests to identify vulnerabilities and develop remediation plans Privacy Management Oversee the enterprise privacy program including PHI protections, breach notifications, consent management, and OCR compliance. Act as liaison with legal and clinical leadership for interpretation and application of data privacy requirements. Third-Party Risk & Vendor Security Own vendor security assessments, third-party due diligence, and contract negotiation support. Maintain a centralized vendor risk registry and monitor compliance on an ongoing basis. Secure Architecture & Development Practices Collaborate with engineering teams to ensure adoption of secure development practices (DevSecOps). Leverage frameworks such as NIST, OWASP, and ISO for secure coding, CI/CD pipelines, and system design. Risk Management & Incident Response Conduct regular risk assessments, vulnerability scans, penetration tests, and threat modeling. Develop and lead security incident response processes, including forensic investigations and breach communications. Training & Enablement Develop and deliver ongoing employee security and privacy training programs. Promote a security-first culture across clinical, product, and operational teams. Customer & Partner Engagement Support the completion of RFPs, due diligence requests, and customer security questionnaires. Participate in customer and partner meetings to articulate our security and compliance posture. Build and maintain relationships with regulatory bodies, auditors, and other stakeholders to ensure compliance with relevant regulations and standards Strategy, Reporting & Budgeting Provide security KPIs, dashboards, and executive briefings to leadership. Manage security budget, forecast technology investments, and evaluate tooling options. Supervisory Responsibilities Manage relationships and expectations with third-party vendors, MSSPs, and contractors. Lead cross-functional teams as needed for enterprise-wide security initiatives. Perform other projects and duties as assigned Who You Are: Required: 7+ years of experience in information security and compliance, preferably in healthcare or digital health Deep understanding of HIPAA, HITECH, SOC2, HITRUST, CCPA, and security frameworks (NIST, ISO, OWASP) Experience in privacy program management and incident response Strong familiarity with AWS security best practices Expertise in risk management, security assessments, and audit readiness Proven ability to lead cross-functional security programs in high-growth environments Strong communication and interpersonal skills Practical experience with AWS, Windows, MacOS, and Linux Excellent time management and organizational abilities with attention to detail Strong analytical and problem solving skills Experience in High growth regulated environments Nice-to-Haves: Bachelor’s or Master’s in Computer Science, Cybersecurity, or related field Certifications such as CISSP, CISM, HCISPP, or CHPC Experience working with EMRs, care management platforms, and digital health products Familiarity with SaaS delivery models and secure product development lifecycles Work authorization/security clearance requirements: Authorized or able to provide required documents to work in United States. Physical Requirements/Work Environment: Remote work environment. While performing the duties of this job, the employee may be regularly required to stand, sit, talk, hear, reach, stoop, kneel, and use hands and fingers to operate a computer, telephone, and keyboard. Specific vision abilities required by this job include close vision requirements due to computer work. High-speed internet access with excellent bandwidth Workspace that ensures patient privacy in virtual environment, both visual and auditory Company Benefits At Vori Health, we believe in fostering a supportive and rewarding work environment for our team members. We offer a comprehensive benefits package designed to support your overall well-being, growth, and work-life balance: Competitive Salary: We offer competitive pay based on experience, skillset and the value you bring to the team. Equity Options: As part of our commitment to long-term success, we offer equity options, giving you the opportunity to share in the growth of the company. Health & Wellness: Our health benefits include medical, dental, and vision coverage to keep you and your family healthy. We also offer wellness programs and mental health resources to help you thrive both personally and professionally. Retirement Plans: We provide a 401(k) plan and Roth options to help you plan for the future and enjoy peace of mind. Paid Time Off (PTO): Enjoy generous paid time off, including vacation days, holidays, and sick leave, to recharge and maintain a healthy work-life balance. Fully Remote Work: Work from your home or private office location! We offer a flexible, fully remote work environment that allows you to manage your workspace in a way that best suits your lifestyle. Professional Development: We encourage continuous learning and growth with access to training resources and Professional Development stipend for further education. Parental Leave: We offer paid parental leave to support team members through important life moments, whether you're welcoming a child or expanding your family. Employee Assistance Program (EAP): Access confidential counseling and support for personal or work-related challenges to maintain your well-being along with additional employee assistance programs. We’re committed to creating a workplace where you can grow, succeed, and achieve your best. Come join our team and enjoy the benefits of a company that values its team members we call Vorriors! EEO Statement: Vori Health is an Equal Opportunity Employer. We are committed to a work environment that supports, inspires and respects all individuals without discrimination on the basis of race, color, religion, sex, sexual orientation, gender identity, marital status, age, disability, national or ethnic origin, military service status, citizenship or other protected characteristics.

Posted 1 week ago

Senior Analyst, Government Accounting and Compliance-logo
Senior Analyst, Government Accounting and Compliance
Nightwing Intelligence SolutionsSterling, Virginia
Nightwing provides technically advanced full-spectrum cyber, data operations, systems integration and intelligence mission support services to meet our customers’ most demanding challenges. Our capabilities include cyber space operations, cyber defense and resiliency, vulnerability research, ubiquitous technical surveillance, data intelligence, lifecycle mission enablement, and software modernization. Nightwing brings disruptive technologies, agility, and competitive offerings to customers in the intelligence community, defense, civil, and commercial markets. Overview: Nightwing a $1.8 billion intelligence services company, is seeking a highly skilled Senior Analyst, Government Accounting and Compliance (GAC) to join our dynamic team. This pivotal role focuses on managing audit and review engagements with external Government agencies, including the Defense Contract Audit Agency (DCAA) and the Defense Contract Management Agency (DCMA). In addition to serving as a key liaison during Government-facing activities, the Senior Analyst will support critical internal compliance efforts. Responsibilities include contributing to the development and maintenance of Cost Accounting Standards (CAS) Disclosure Statements, preparing General Dollar Magnitude (GDM) submissions, and supporting initiatives to ensure company-wide adherence to the Federal Acquisition Regulation (FAR), agency supplements, and CAS requirements. The ideal candidate will possess a strong background in Government cost accounting, outstanding analytical skills, and exceptional attention to detail. This role reports to the Director of Government Accounting and Compliance and offers flexibility for either an in-office or remote work location. Duties and Responsibilities: Serve as the primary liaison for DCAA and DCMA audits/reviews, managing the full lifecycle of Government audit requests, from receipt through completion, while ensuring timely, accurate, and compliant responses. Facilitate audit-related activities by coordinating with internal stakeholders (Finance, Contracts, Legal, Operations), organizing meetings, tracking deliverables, and maintaining comprehensive audit response records. Support the preparation, maintenance, and submission of CAS Disclosure Statements and GDM proposals. Ensure compliance with applicable Federal Acquisition Regulations, Defense Federal Acquisition Regulation Supplements (DFARS), and Cost Accounting Standards. Monitor evolving regulatory requirements and provide guidance to business units to ensure proactive compliance. Maintain organized documentation and audit trails for all compliance-related activities. Assist in internal reviews and process improvement initiatives to strengthen controls and ensure audit readiness. Required Skills: Bachelor’s degree in Accounting, Finance, Business Administration, or a related field. 2+ years of relevant experience in government accounting, government compliance, or audit-related functions. Strong understanding of FAR, DFARS, CAS, and DCAA/DCMA audit processes. Excellent communication and interpersonal skills, with the ability to work cross-functionally. Proven ability to manage multiple priorities and deliverables under tight deadlines. Proficiency in Microsoft Office Suite; experience with Deltek Costpoint accounting systems is a plus. US Citizenship Desired Skills: CPA, CFE or other relevant certifications. Prior experience in a defense or government contracting environment. Experience working with large datasets and financial analysis tools At Nightwing, we value collaboration and teamwork. You’ll have the opportunity to work alongside talented individuals who are passionate about what they do. Together, we’ll leverage our collective expertise to drive innovation, solve complex problems, and deliver exceptional results for our clients. Thank you for considering joining us as we embark on this new journey and shape the future of cybersecurity and intelligence together as part of the Nightwing team. Nightwing is An Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status, age or any other federally protected class.

Posted 1 week ago

Regulatory Compliance Specialist II-logo
Regulatory Compliance Specialist II
ONEOK Services CompanyTulsa, Oklahoma
#WeAreONEOK – Fortune 500 company. 100+ years in business. Leading midstream service provider. Safety first. Sustainable operations. Environmentally responsible. Employee focused. JOB SUMMARY Job Profile Summary Responsible for providing pipeline safety regulatory compliance support to operations and ensure compliance with 49 CFR 191, 192, 194 and 195 state and federal regulations pertaining to interstate and intrastate transportation of natural gas or natural gas liquids by pipeline as directed. This role may be responsible for multiple regulatory programs such as: Operator Qualification, Damage Prevention or Pipeline Safety Compliance. Essential Functions and Responsibilities Review and update training materials and provide training to operations team members on regulatory requirements and recordkeeping Ensure employee and contractor training is verified and complete Develop and review operation, maintenance, and emergency response process and procedure documents related to compliance with federal and state pipeline safety regulations Monitor and participate in the development and communication of processes and procedures that ensure consistency and compliance with state and/or federal pipeline safety regulations Monitor and review company regulatory activities and associated documents to assess level of compliance with existing and proposed federal, state or industry legislation and regulations to recommend changes as needed Maintain and support compliance databases and coordinate the collection of compliance documents from other departments Assist and/or lead pre-inspections to prepare for internal and external compliance inspections performed by company, state or federal regulatory personnel. Assist in evaluating operational conformance of internal compliance procedures. Assist in documentation of assessment and audit findings Analyze state and federal audit findings, prepare responses and/or provide recommendations and/or revisions aimed to clarify, close potential gaps in procedures and/or compliance manuals to ensure they meet pipeline safety regulations. Develop and implement recommendations upon management approval Participate in cause map accident / incident review and development of action plans Coordinate with various departments, and if necessary outside contractors and auditors, to ensure that pressure testing requirements are met, and appropriate changes are made to testing materials as needed Participate in industry association forums, compliance work groups and related activities as required Provide support in preparing required regulatory compliance reporting Monitor, maintain, and recommend improvements from the Pipeline and Hazardous Materials Safety Administration (PHMSA) website to ensure regulatory compliance resources are available to operation. Respond to situations that may occur during or outside of normal business hours Education Bachelor's Degree in Engineering preferred or a combination of four or more years formal education and the following job-related experience: Work Experience Four years of direct experience with regulatory requirements in/or related to: natural gas liquids, gas gathering and processing and gas transmission and storage. Experience, knowledge and/or training related to: ­ Pipeline operations and pipeline operational standards ­ CFR 49 Part 192 and/or Part 195 rules and regulations ­ Participating in regulatory inspections Experience in use and function of office tools, equipment, and software applicable to position including, but not limited to Microsoft Excel, PowerPoint and Word. Experience working with teams from various workgroups, managing relationships with internal and external participants, and eliciting cooperation from all resources. Knowledge, Skills and Abilities Knowledge of: governmental regulations pertaining to state and federal regulated intrastate and interstate pipelines and company and/or industry publications related to pipeline reporting compliance Ability to: research, compile, and/or prepare summaries for proposed changes in regulations, recommendations, policies, procedures, and correspondence for operations Ability to: apply math skills, analytical processes, and statistical methods Ability to: identify, research, evaluate, and prioritize problems and situations and develop recommendations for appropriate action Ability to: utilize strong analytical skills Ability to: interact, advise, and communicate effectively with subordinates, peers, and all levels of management Ability to: establish relationships across a broad range of people and departments to facilitate compliance with regulatory processes and procedures Ability to: develop information, conduct meetings, and make presentations to groups and individuals, including written and verbal information and instructions Ability to: travel up to 40% Ability to: ork independently and as part of a team, with a strong sense of urgency. Ability to: operate tools and equipment required Licenses and Certifications None required Strength Factor Rating - Physical Demands/Requirements Sedentary Work - Exerting up to 10 pounds of force occasionally (Occasionally: activity or condition exists up to 1/3 of the time) and/or a negligible amount of force frequently (Frequently: activity or condition exists from 1/3 to 2/3 of the time) to lift, carry, push, pull, or otherwise move objects, including the human body. Sedentary work involves sitting most of the time, but may involve walking or standing for brief periods of time. Jobs are sedentary if walking and standing are required only occasionally and all other sedentary criteria are met. Strength Factor Description - Physical Demands/Requirements Standing: Remaining on one's feet in an upright position at a work station without moving about (Occasionally) Walking: Moving about on foot (Frequently) Sitting: Remaining in a seated position (Constantly) Lifting: Raising or lowering an object from one level to another (includes upward pulling) (Occasionally) Carrying: Transporting an object, usually holding it in the hands or arms, or on the shoulder (Occasionally) Pushing: Exerting force upon an object so that the object moves away from the force (Occasionally) Pulling: Exerting force upon an object so that the object moves toward the force (includes jerking) (Occasionally) Climbing: Ladders, Stairs (Occasionally) Balancing: Maintaining body equilibrium to prevent falling (Occasionally) Stooping: Bending the body downward and forward by bending the spine at the waist (Occasionally) Kneeling: Bending the legs at the knees to come to rest on the knee or knees (Occasionally) Crouching: Bending the body downward and forward by bending the legs and spine (Occasionally) Crawling: Moving about on the hands and arms in any direction (Occasionally) Reaching: Extending hands and arms in any direction (Constantly) Handling: Seizing, holding, grasping, turning or otherwise working with the hand or hands (Manual Dexterity) (Constantly) Fingering: Picking, pinching or otherwise working with the fingers primarily (Finger Dexterity) (Constantly) Feeling: Perceiving such attributes of objects/materials as size, shape, temperature, texture, movement or pulsation by receptors in the skin, particularly those of the finger tips (Constantly) Talking: Expressing or exchanging ideas/information by means of the spoken word (Frequently) Hearing: Perceiving the nature of sound by the ear (Frequently) Tasting/Smelling: (Occasionally) Near Vision: Clarity of vision at 20 inches or less (Constantly) Far Vision: Clarity of vision at 20 feet for more (Frequently) Depth Perception: Three-dimensional vision; ability to judge distances and spatial relationships so as to see objects where and as they actually are (Frequently) Vision: Color - The ability to identify and distinguish colors (Constantly) Working Conditions/Environment Employee is subject to inside environmental conditions Working Conditions Well lighted, climate controlled areas (Constantly) Frequent repetitive motion (Constantly) CRT (Computer Monitor(s)) (Constantly) Travel Travel to plant, other locations, office facilities, job sites out-of-doors. Up to 60% travel required. Driving Based on assigned tasks, employee may be assigned a company vehicle requiring the applicable driver's license ONEOK is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, sex, pregnancy, sexual orientation, age, religion, creed, national origin, gender identity, disability, military/veteran status, genetic information or any other categories protected by applicable law. The job description is not intended to be a complete list of all responsibilities, duties or skills required for the job and is subject to review and change at any time, with or without notice, in accordance with the needs of ONEOK. ONEOK is committed to making our workplace accessible to individuals with disabilities and will provide reasonable accommodations, upon request, for individuals to participate in the application and hiring process. To request an accommodation email HRSolutions@ONEOK.com or call 1-855-663-6547​. Expected Salary Range $86,000.00 - $130,000.00

Posted 6 days ago

Sr Director, Ethics & Compliance Officer - North America-logo
Sr Director, Ethics & Compliance Officer - North America
BioMerieuxSalt Lake City, Utah
Description Position Summary & Responsibilities: This role has an onsite requirement and can be based in either Salt Lake City, UT or Durham, NC; it cannot be fully remote. Some international and domestic travel is required. The bioMérieux Ethics & Compliance Program reduces risks of noncompliance and encourages a culture of integrity by providing practical advice, resources, and structures to ensure compliance with laws, regulations and Company policies on a global basis. It reinforces bioMerieux’s reputation as a trusted partner in public health. The North America Compliance Officer leads this program in the North America region. Develop and implement processes and systems to identify and manage risks in the Region, in alignment with global Ethics and Compliance Strategy. Represent the Ethics & Compliance Department to the Regional leadership team and exercise leadership and oversight of initiatives to embed a compliance culture into the Region, including raising and reinforcing employee awareness of risks of illegal, unethical, or improper conduct. Work cross-functionally with employees at all levels to ensure efficient integration of the compliance program into business processes. Oversee Local Compliance Teams (composed of local leadership) activities to ensure implementation of compliance initiatives. Provide practical, risk-mitigating solutions to compliance concerns in the Region. Implement monitoring and control mechanisms for high risk third parties. Act as a gatekeeper on high risk activities. Monitor relevant new legal and regulatory developments in the region and implement necessary changes, in coordination with other departments. With E&C colleagues, select, develop, and follow-up on elearning courses. Develop and execute local supplementary training and communications, based on local needs. Manage compliance investigations in the region, including oversight of investigation of reports received through the EthicsLine or from other sources, coordinating with HR and management in the development and implementation of appropriate discipline and other corrective actions, and enforcement of the non-retaliation policy. Education, Skills, & Experience: JD from an accredited law school with 7+ years of relevant work experience in legal, audit, risk, or compliance including at least 5 years of working experience in a compliance function, preferably in the healthcare industry. Master's degree with 8+ years of relevant work experience in legal, audit, risk, or compliance including at least 5 years of working experience in a compliance function, preferably in the healthcare industry, also accepted Strong reputation for integrity, ethics, personal values and solid character. Deep understanding of how to analyze regulations and develop and implement policies to ensure compliance. Maturity and decisiveness, including the ability to frame complex issues to support quick decision-making, as well as an understanding of business to know how and when to escalate issues. Ability to manage many high risk, high pressure projects/issues at once and prioritize effectively based on risk. Proactive and motivated by results, with little need for oversight. Collaborative team-oriented approach to work, supporting the successes of others. High emotional intelligence and engagement skills, with the confidence to interact globally at all levels of the company. Strong cross-cultural communication skills with the ability to effectively convey the company’s core ethical values at all levels of the company. Knowledge of anticorruption laws, transparency laws, healthcare marketing regulations, government guidance and regulation of compliance programs, and compliance best practices. #LI-US Please be aware that recruitment related scams are on the rise. Fraudulent job postings are being placed on other websites, and individuals posing as bioMérieux Talent Acquisition team members are reaching out via email or text message in an attempt to collect your personal and confidential information. In some cases, these scammers are also conducting bogus interviews prior to extending fraudulent offers of employment. Beware of individuals reaching out using general phone numbers and non-bioMerieux email domains (i.e. Hotmail.com, Gmail.com, Yahoo.com, etc.). If you are concerned that an interview experience or offer of employment might be a scam, please make sure you are searching for the posting on our careers site https://careers.biomerieux.com/ or contact us at [email protected] . BioMérieux Inc. and its affiliates are Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran or disabled status, or genetic information. Please be advised that the receipt of satisfactory responses to reference requests and the provision of satisfactory proof of an applicant’s identity and legal authorization to work in the United States are required of all new hires. Any misrepresentation, falsification, or material omission may result in the failure to receive an offer, the retraction of an offer, or if already hired, dismissal. If you are a qualified individual with a disability, you may request a reasonable accommodation in BioMérieux’s or its affiliates’ application process by contacting us via telephone at (385) 770-1132, by email at [email protected] , or by dialing 711 for access to Telecommunications Relay Services (TRS).

Posted 6 days ago

Clinical Compliance Manager-logo
Clinical Compliance Manager
Monogram HealthTempe, Arizona
Position: Clinical Compliance Manager The Clinical Compliance Manager assists in developing and maintaining Monogram Health’s Compliance Program, performs compliance oversight activities, provides compliance guidance, and works closely with the Learning & Development department on compliance-related training matters. The Clinical Compliance Manager will report directly to the Senior Director, Compliance. Roles and Responsibilities Oversees, administers, and implements various aspects of the Compliance Program. Performs compliance oversight activities, such as monitoring and audits, to evaluate compliance with regulatory (e.g., Centers for Medicare & Medicaid Services requirements) and contract requirements. Leads and/or support compliance risk assessment and work plan activities. Leads and/or supports external oversight inquiries and activities (e.g., external audits, annual attestations, etc.). Provides guidance to various departments regarding compliance issues and implementation of new compliance requirements with respect to regulatory and contract language. Assists in the development and maintenance of an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees, working closely with the Learning and Development department. Works closely with operational departments to ensure policies are developed and updated to comply with regulatory and contract requirements. Ensures policies are distributed and accessible to applicable employees. Coordinates with Human Resources, Credentialing, and the IT departments to obtain and upload all Monogram Health employee, contractor, and vendor information monthly for routine exclusion and sanction monitoring, preclusion monitoring, and licensure monitoring. Works with Compliance Management, Credentialing, and/or Human Resources to investigate and document findings. Prepares compliance presentations and reports, such as incident and training metrics as requested. Conducts compliance-related special projects and research. Conducts inquiries and investigations into concerns received through the company’s Compliance and Ethics Helpline or directly to the Compliance Department as assigned. Manages related tracking and reporting as directed. Works with leadership and staff to maintain an ethical and compliant culture that aligns with Monogram Health’s Core Values of Honesty, Compassion, Mastery, Togetherness, Creativity, and Thriftiness. Conducts other duties as assigned by Compliance Management. Position Requirements Bachelor’s degree in related field or equivalent experience. Registered Nurse (RN) with active, unencumbered license Extensive knowledge of Medicare and Medicaid compliance programs. 5+ years Medicare Managed Care experience required, ideally with expertise in Special Needs Plan Model of Care (SNP MOC) requirements. 3+ years of experience in a leadership role required. Certification in Healthcare Compliance (CHC) strongly preferred.

Posted 30+ days ago

Director of Compliance-logo
Director of Compliance
TransamericaCedar Rapids, Iowa
Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. Who We Are We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life . Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. We’re What We Do Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate , which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com . Job Description Summary Transamerica Financial Advisor (TFA) is searching for a Director of Compliance. This position will report to TFA’s Chief Compliance Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA’s retail broker-dealer and investment advisory business. The candidate will contribute to the success of the compliance program to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TFA. In addition, the candidate will assist the CCO in enhancing the compliance program for World Financial Group (WFG). This Director will be heavily involved in all areas of Compliance but specifically will oversee the Compliance Advertising and Anti-Money Laundering/Fraud programs for TFA and WFG. This position involves planning, organization, and execution of day-to-day operational compliance activities. Additionally, this individual will help maintain a strong compliance framework for a growing team. The Director will work with the business to remediate issues identified through testing. The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans. Job Description Responsibilities Advising the Chief Compliance Officer of potential regulatory risks, gaps, and vulnerabilities; implement and lead corrective action plans. Assisting in the hiring and training of compliance staff to support TFA and WFG’s compliance programs. Establishing relevant performance metrics to ensure team members understand their significance and expectations, and providing regular performance feedback. Developing, maintaining, and updating compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities rules and regulations. Creating training for home office and the field. Assisting and possibly leading regulation examinations and audits as assigned by the Chief Compliance Officer. Collaborating with TFA and WFG business partners on compliance, supervision, management, Advertising and AML/Fraud issues. Developing strong working relationships with TFA and WFG business partners (home office and in the field). Directing and leading compliance projects and initiatives involving business line senior managers; providing compliance guidance and advice. Providing guidance on the effective response to detected problems and offer recommendations for corrective action as appropriate. Qualifications: Bachelor’s degree in business, accounting, or other relevant field 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment advisory environment At least 2 years of experience in compliance or internal audit functions at a supervisory or management level At least 2 years of experience in Advertising Compliance in the securities industry Experience in AML Knowledge of securities, insurance, and retirement laws, regulations, and rules as it pertains to the sale of such products FINRA Series 7, 24 & 66 Excellent written and verbal communication skills Strong leadership skills Advanced analytical and research skills Proficiency using MS Office tools Preferred Qualifications 4+ years in a leadership role FINRA Series 53 Insurance license Experience with FIS® Supervision Compliance Manager Experience with National Financial Services/Fidelity platform Working Conditions Normal office environment utilizing Microsoft office products. The Salary for this position generally ranges between $150,000-$170,000 annually . Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion What We Offer For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees . Compensation Benefits Competitive Pay Bonus for Eligible Em ployees Benefits Package Pension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance Vision Insurance Employee Discounts Career Training & Development Opportunities Health and Work/Life Balance Benefits Paid Time Off starting at 160 hours annually for employees in their first year of service. Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays). Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of s ervice at the time of birth, placement of an adopted child, or placement of a foster care child. Adoption Assistance Employee Assistance Program College Coach Program Back-Up Care Program PTO for Volunteer Hours Employee Matching Gifts Program Employee Resource Groups Inclusion and Diversity Programs Employee Recognition Program Referral Bonus Programs Inclusion & Diversity We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads , and Top 75 Companies for Executive Women. To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company - sponsor ed, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees . They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. Giving Back We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work. Transamerica’s Parent Company Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. * As of December 31, 2023

Posted 30+ days ago

MassMutual Financial Group logo
Communications Compliance Consultant
MassMutual Financial GroupSpringfield, MA
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Job Description

Communications Compliance Consultant

Communications Compliance Team

Full-Time

Springfield, MA or Boston, MA

The Opportunity

As a Communications Compliance Consultant, you are primarily responsible for reviewing advertising and marketing material submitted by Home Office business partners from areas such as Marketing and the Broker Dealer/Corporate Registered Investment Adviser (MML Investors Services, LLC), as well as, from Financial Professionals in our field offices.

The Team

The Communications Compliance Team is comprised of seasoned professionals with an average tenure of approximately 15 years. Our team is focused on managing the communications compliance risk for the Company through our field, home office, and social media marketing review systems. From a Home Office perspective, our team primarily reviews any marketing material created for use by our field force that is non-product related. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser including some vendor created content. From a Financial Professional perspective, our team reviews all marketing material that promotes interest in MassMutual/ MML Investors Services, LLC (our Broker Dealer/CRIA), our products and services, as well as interest in our Financial Professionals. We also review awards/rankings, titles, designation requests, and Doing Business As (DBA) names.

Our team mission is to understand the goals of our business/field partners and to help them accomplish those goals by taking a risk-based, solutions-oriented approach, while also maintaining compliance with various insurance and securities regulations.

The Impact

To help MassMutual live up to its brand promise and improve the customer experience, advertising and marketing material must be reviewed in accordance with applicable state and federal regulations to help ensure our customers are receiving accurate, timely, and helpful information that is on point with our brand and high ethical standards.

Additional duties include responsibility for fostering and sustaining collaborative business partner and field office relationships by taking a risk-based and solutions-oriented approach to reviewing material. We consistently focus on bringing our business/field partners additional resources to assist them with the creation and submission of their material and strive to improve efficiency through continuous improvement efforts.

The Minimum Qualifications

  • 3 + years of Broker Dealer and/or Corporate Registered Investment Adviser experience
  • Series 7 and 24 registrations

The Ideal Qualifications

  • College degree
  • Advertising review experience a plus
  • Series 4 a plus
  • Proficient in Microsoft Office Suite
  • Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, collaborative, and risk-based mindset and can operate within "the gray."
  • Is empathic to the needs and goals of our business and field partners and demonstrates a sense of urgency when handling material reviews.
  • Motivated self-starter, excellent verbal and written communication skills, problem solver, organized, and can work autonomously once trained and with limited coaching.
  • Team player, who can work collaboratively with business and field partners to develop or modify business operating policies and procedures to help ensure compliance with applicable regulations.
  • Demonstrated ability to champion and adapt quickly to change, increasing data literacy, and increasing utilization of technology and automation including in the artificial intelligence space.

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the Communications Compliance Team
  • Focused one-on-one meetings with your manager
  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups
  • Access to learning content on Degreed and other informational platforms
  • Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits

#LI-FT1

Salary Range:

$86,200.00-$113,100.00

At MassMutual, we focus on ensuring fair equitable pay, by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component.

Why Join Us.

We've been around since 1851. During our history, we've learned a few things about making sure our customers are our top priority. In order to meet and exceed their expectations, we must have the best people providing the best thinking, products and services. To accomplish this, we celebrate an inclusive, vibrant and diverse culture that encourages growth, openness and opportunities for everyone. A career with MassMutual means you will be part of a strong, stable and ethical business with industry leading pay and benefits. And your voice will always be heard.

We help people secure their future and protect the ones they love. As a company owned by our policyowners, we are defined by mutuality and our vision to put customers first. It's more than our company structure - it's our way of life. We are a company of people protecting people. Our company exists because people are willing to share risk and resources, and rely on each other when it counts. At MassMutual, we Live Mutual.

MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.

At MassMutual, we focus on ensuring fair, equitable pay by providing competitive salaries, along with incentive and bonus opportunities for all employees. Your total compensation package includes either a bonus target or in a sales-focused role a Variable Incentive Compensation component. For more information about our extensive benefits offerings please check out our Total Rewards at a Glance.