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Sr Manager- Governance, Risk And Compliance (Grc)-logo
Five Below, Inc.Philadelphia, PA
At Five Below our growth is a result of the people who embrace our purpose: We know life is way better when you are free to Let Go & Have Fun in an amazing experience, filled with unlimited possibilities, priced so low, you can always say yes to the newest, coolest stuff! Just ask any of our over 20,000 associates who work at Five Below and they'll tell you there's no other place like it. It all starts with our purpose and then, The Five Below Way, which is our values and behaviors that each and every associate believes in. It's all about culture at Five Below, making this a place that can inspire you as much as you inspire us with big ideas, super energy, passion, and the ability to make the workplace a WOWplace! Position Summary: The Senior Manager of Information Security, GRC will lead the organization's efforts to manage IT Security risks, ensure compliance with regulatory requirements, and oversee the company's IT Security policy. This role entails serving as the primary IT liaison for Internal Audit, providing management oversight into the Third Party Risk Management process, serving as the PCI Program Manager and accountability for the delivery and progress reporting to Senior Leadership of any risk and remediation to risks associated with IT Security, regulatory compliance and IT General Controls (ITGCs). Key Responsibilities: Lead a team of analysts that support various aspects of the GRC function including control verification testing, oversight over control execution including the facilitation and completeness of quarterly access reviews. Provide senior level expertise for compliance with the NIST framework, SOX, PCI and IT Security. Ensure IT Security policies remain current and facilitate the review and approval of any changes. Provide oversight in the development and ongoing support of the risk register. Identify and assess technology risks, evaluate the efficiency and effectiveness of areas such as information technology infrastructure, applications, security, and internal controls. Ensures IT Security risks, findings and control deficiencies are properly recorded and reported to various stakeholders including Internal Audit and Senior Leadership. Monitor and manage the delivery and progress reporting of any remediation related to IT Security risks, findings or control deficiencies. Provide management and oversight into the third-party risk management process including the assessment and ongoing review of SOC reporting. Serve as the primary IT Liaison to Internal Audit. Oversee the PCI Program and work with the external QSA to achieve a Report on Compliance. Actively participate in the Change Advisory Board and work with cross-functional teams on project implementations to ensure risk and compliance requirements are effectively addressed. Qualifications: Undergraduate degree or equivalent experience is required with emphasis in Information Technology and/or auditing preferred. Minimum of 8 years of experience in a mix of IT Security, Risk Management and Internal Audit. Experience with a Big 4 or leading risk advisory/public accounting firm is preferred. Professional certifications such as CISA, CRISC, CISSP, or CISM are highly desirable. In-depth knowledge required of regulatory standards and frameworks like NIST, PCI DSS and SOX as well as ability to assess SOC reporting and implement the necessary requirements to maintain control effectiveness. Proven ability to manage and lead a team. Excellent communication skills and the ability to work effectively with diverse teams. Strong analytical and problem-solving skills. Strong project management skills. Experience with compliance tools such as AuditBoard is a plus. Explore our benefits site to discover all the perks and support we offer! From health coverage to financial and personal wellness, we've got you covered-check it out today! benefits.fivebelow.com/public/welcome Five Below is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, age, national origin, disability, protected veteran status, gender identity or any other factor protected by applicable federal, state, or local laws. Five Below is committed to working with and providing reasonable accommodations for individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please submit a request and let us know the nature of your request and your contact information. crewservices.zendesk.com/hc/en-us/requests/new BE AWARE OF FRAUD! Please be aware of potentially fraudulent job postings or suspicious recruiter activity by persons that are posing as a Five Below recruiters. Please confirm that the person you are working with has an @fivebelow.com email address. Additionally, Five Below does NOT request financial information or payments from candidates at any point during the hiring process. If you suspect fraudulent activity, please visit Five Below's Career Site to verify the posting. fivebelow.com/info/careers

Posted 30+ days ago

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DuPont de Nemours Inc.Wilmington, DE
At DuPont, our purpose is to empower the world with essential innovations to thrive. We work on things that matter. Whether it's providing clean water to more than a billion people on the planet, producing materials that are essential in everyday technology devices from smartphones to electric vehicles, or protecting workers around the world. Discover the many reasons the world's most talented people are choosing to work at DuPont. Why Join Us | DuPont Careers Job Summary The Internal Audit Manager will oversee the internal audit function with primary focus on IT audits and Sarbanes-Oxley (SOX) compliance. This position requires a strategic thinker to design and lead audits of both business processes and IT systems, ensuring that management controls are adequate and operations comply with SOX requirements. The manager will be responsible for developing audit strategies, enforcing best practices, and providing management with actionable recommendations that drive compliance and operational excellence. This is an onsite position. Team members work 3 days onsite and 2 days remote. Candidates must live within a commutable distance to the corporate site in Wilmington, DE. Primary Duties & Responsibilities Lead and conduct audits of IT systems and business processes, focusing on internal controls, SOX compliance and business ethics. Ensure audits are thorough, efficient, and align with corporate governance standards. Manage audit planning, oversee execution, documentation, and reporting processes. Ensure audits are conducted in accordance with applicable standards and methodologies for internal audits and SOX compliance. Facilitate discussions with management and various stakeholders regarding audit findings, identified risks, and recommended actions. Cultivate relationships to foster an open dialogue about internal control measures and compliance enhancements. Evaluate audit results and formulate comprehensive. actionable recommendations to improve operational efficiencies, strengthen internal controls and ensure compliance with SOX and regulatory requirements. Collaborate with other team members and regional audit managers overseeing business process SOX assessments, ensuring that corporate audit strategies and policies are fully implemented and aligned with organizational goals. Conduct due diligence reviews and support the integration of acquisitions and divestiture, ensuring proper alignment of internal control measures post-transaction. Promote a culture of internal control awareness and compliance across organization. Ensure that all audit activities comply with relevant regulatory requirements and industry best practices. Stay updated on changes to regulations affecting SOX compliance and internal audit methodologies. Education & Experience Required: 7+ years of experience in internal audit, IT audit, or SOX compliance, with a strong understanding of internal control frameworks and audit methodologies. Proficiency in English (speaking and writing). Relevant professional certifications such as CIA, CISA, CPA, or equivalent Strong knowledge of IT systems, including SAP, SQL, and familiarity with various IT frameworks and SOX requirements. Demonstrated analytical skills with a proactive approach to problem-solving and decision-making. Excellent written and verbal communication skills, with proven leadership, and teamwork abilities. Comfort engaging with executive management and external auditors. A strategic mindset with a commitment to continuous learning and self-development. Ability to effectively engage with the external auditors on scoping, testing and reporting of SOX processes. #LI-EH1 Join our Talent Community to stay connected with us! On May 22, 2024, we announced a plan to separate our Electronics and Water businesses in a tax-free manner to its shareholders. On January 15, 2025, we announced that we are targeting November 1, 2025, for the completion of the intended separation of the Electronics business (the "Intended Electronics Separation")*. We also announced that we would retain the Water business. We are committed to ensuring a smooth and successful separation process for the Future Electronics business. We look forward to welcoming new talent interested in contributing to the continued success and growth of our evolving organization. (1)The separation transactions are subject to satisfaction of customary conditions, including final approval by DuPont's Board of Directors, receipt of tax opinion from counsel, the filing and effectiveness of Form 10 registration statements with the U.S. Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of financing. For further discussion of risks, uncertainties and assumptions that could impact the achievement, expected timing and intended benefits of the separation transactions, see DuPont's announcement. DuPont is an equal opportunity employer. Qualified applicants will be considered without regard to race, color, religion, creed, sex, sexual orientation, gender identity, marital status, national origin, age, veteran status, disability or any other protected class. If you need a reasonable accommodation to search or apply for a position, please visit our Accessibility Page for Contact Information. DuPont offers a comprehensive pay and benefits package. To learn more visit the Compensation and Benefits page.

Posted 30+ days ago

Sr. Manager, Compliance Privacy Monitoring-logo
McKesson CorporationAtlanta, GA
McKesson is an impact-driven, Fortune 10 company that touches virtually every aspect of healthcare. We are known for delivering insights, products, and services that make quality care more accessible and affordable. Here, we focus on the health, happiness, and well-being of you and those we serve - we care. What you do at McKesson matters. We foster a culture where you can grow, make an impact, and are empowered to bring new ideas. Together, we thrive as we shape the future of health for patients, our communities, and our people. If you want to be part of tomorrow's health today, we want to hear from you. Title: Sr. Manager, Compliance Privacy Monitoring Location: Dallas, TX; Atlanta, GA; Columbus, OH Hybrid/Remote/Onsite: Hybrid The Senior Manager, Compliance Monitoring will be responsible for conducting regulatory and compliance reviews based on Compliance program initiatives. The Senior Manager will support the execution of enterprise privacy monitoring in partnership with McKesson's Global Privacy Office. The Senior Manager will support the seven key elements of an effective compliance program as set by the Office of Inspector General with a focus on monitoring healthcare privacy compliance risks. The Senior Manager will lead engagements and document formal testing following internal monitoring methodologies. The Senior Manager will communicate results to various leaders within Compliance and the business. The ideal candidate will have experience with healthcare privacy risks and compliance monitoring in the healthcare industry. Position Description Assist Director and VP with planning, delivering, and effectively executing on a monitoring plan to ensure adherence to relevant privacy laws and regulations, McKesson's privacy principles, regulatory standards and industry standards. Support and assist with building the enterprise privacy monitoring strategy with Compliance leadership. Apply knowledge and expertise in privacy risks to assess applicability and impact of privacy-related regulations. Coordinate and collaborate with key stakeholders across the organization including Legal, Compliance, Cybersecurity, Operations, Internal Audit, other risk assessing organizations, and IT teams. Support design, development, and execution of compliance privacy monitoring based on comprehensive understanding of associated compliance risks. Lead meetings with key stakeholders at all levels of the organization. Perform robust full population data analytics to identify outliers, anomalies, trends during monitoring efforts, as needed. Document monitoring working papers based on established internal guidelines and regulator expectations, and make recommendations, as appropriate. Develop formal summaries of monitoring results for stakeholders and management. Conduct working sessions with stakeholder(s) to support identifying root causes of observations identified. Facilitate obtaining, as applicable, preventative, detective and corrective action plans for the observations identified to mitigate risk(s). Utilize critical thinking skills to provide valuable recommendations for control and/or process improvement to mitigate risk(s) identified. Assess objective evidence from post engagement issue follow-ups to confirm resolution with stakeholders. Exercise professional judgment and propose value-added solutions in all aspects of engagement execution. Support Compliance and Ethics' continued journey of digital enablement and AI journey by exploring opportunities to utilize AI for monitoring. Provide support and guidance to colleagues, as needed. Support department initiatives and deliverables, as needed. Minimum Requirements 7+ years of relevant experience in audit, monitoring, healthcare compliance, or other related discipline(s) (e.g., finance) 4-year college degree or equivalent Certification/licensure CHC, CHPC or other professional compliance certifications is a plus. Critical Skills Familiarity with healthcare (e.g., payer, pharma, life sciences) privacy compliance rules and practices strongly preferred. Experience with monitoring privacy risks in the healthcare industry based on regulations (e.g., HIPAA, US State Privacy laws, GDPR, PIPEDA). Knowledge of privacy related elements including but not limited to privacy breach identification and response, data collection, classification, storage and use. Understanding of how applicable laws and regulations apply to monitoring and/or auditing. Experience documenting and performing audits according to audit methodologies to determine compliance with applicable regulations. Ability to work on multiple engagements at once. Manages time effectively and takes responsibility for work. Demonstrates clear and concise communication with key stakeholders, both written and verbal, with key stakeholders. Ability to work with all levels within the organization, including cross-departmental teams and leadership. Demonstrated ability to execute multiple projects and excel in a fast-paced work environment. Ability to build and foster relationships throughout the organization. Strong English language skills, including the ability to write clearly in English and communicate effectively. Proficient in Microsoft applications (e.g., Teams, Excel, PowerPoint, Power BI). Additional Knowledge & Skills Knowledge of cybersecurity risks in relation to healthcare privacy related risks. Knowledge of healthcare laws and regulations (e.g., Health Insurance Portability and Accountability Act of 1996 (HIPAA), Controlled Substances Act (CSA), Drug Supply Chain Security Act (DSCSA), and Food and Drug Administration (FDA) regulations). Awareness of GRC tool(s), specifically ServiceNow's engagement and/or issue modules is a plus. Knowledge of SOC 2+ requirements and audits is a plus. Must be authorized to work in the US. Sponsorship is not available for this position. We are proud to offer a competitive compensation package at McKesson as part of our Total Rewards. This is determined by several factors, including performance, experience and skills, equity, regular job market evaluations, and geographical markets. The pay range shown below is aligned with McKesson's pay philosophy, and pay will always be compliant with any applicable regulations. In addition to base pay, other compensation, such as an annual bonus or long-term incentive opportunities may be offered. For more information regarding benefits at McKesson, please click here. Our Base Pay Range for this position $98,200 - $163,600 McKesson is an Equal Opportunity Employer McKesson provides equal employment opportunities to applicants and employees and is committed to a diverse and inclusive environment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, age or genetic information. For additional information on McKesson's full Equal Employment Opportunity policies, visit our Equal Employment Opportunity page. Join us at McKesson!

Posted 30+ days ago

Senior Director - Drug Supply Chain Security Act (Dscsa) Compliance And Quality Assurance-logo
Eli Lilly and CompanyIndianapolis, IN
At Lilly, we unite caring with discovery to make life better for people around the world. We are a global healthcare leader headquartered in Indianapolis, Indiana. Our employees around the world work to discover and bring life-changing medicines to those who need them, improve the understanding and management of disease, and give back to our communities through philanthropy and volunteerism. We give our best effort to our work, and we put people first. We're looking for people who are determined to make life better for people around the world. We are seeking a strategic and experienced Senior Director of Drug Supply Chain Security Act (DSCSA) Compliance & Quality to lead our enterprise-wide compliance initiatives related to DSCSA. This role will be responsible for ensuring the integrity, traceability, and regulatory compliance of our pharmaceutical supply chain, while also driving continuous improvement in quality systems and operational excellence. The Sr. Director - DSCSA Compliance & Manufacturing Logistics Quality Assurance, is a Quality professional with expertise in GMP quality assurance and DSCSA compliance. The Sr. Director ensures that DSCSA serialization requirements are met for commercial products sold in the US market. Key Responsibilities Strategic Leadership: Define and execute the company's DSCSA compliance roadmap, aligning with FDA requirements and corporate quality objectives. Enterprise Compliance Oversight: Lead cross-functional teams in implementing and maintaining serialization, verification, and traceability systems across all supply chain nodes. Quality Systems Integration: Ensure DSCSA compliance is embedded within the broader Quality Management System (QMS), including CAPA, change control, and audit readiness. Regulatory Intelligence & Risk Management: Monitor evolving DSCSA regulations and FDA guidance; assess compliance risks and develop mitigation strategies. Stakeholder Engagement: Serve as the primary point of contact for regulatory bodies, trading partners, and internal leadership on DSCSA-related matters. Audit & Inspection Leadership: Lead DSCSA-related inspections and audits; ensure documentation, processes, and systems are inspection-ready at all times. Technology & Data Governance: Oversee implementation and validation of serialization and EPCIS data exchange platforms (e.g., TraceLink, SAP ATTP). Security Engagement: Serve as the Quality point of contact for security topics related to distribution, storage and transportation of commercial products (e.g., authentication technologies, serialization-related topics). Basic Qualifications Education: Bachelor's degree in Pharmacy, Life Sciences, Engineering, or related field; advanced degree (masters, doctorate) preferred. Experience: 10+ years in pharmaceutical quality, regulatory, or compliance roles. Technical Expertise: Deep knowledge of DSCSA, FDA regulations, and global serialization standards (e.g., GS1, EPCIS). Leadership Skills: Executive presence with strong communication, negotiation, and decision-making skills. Ability to influence at all levels of the organization and with external partners. Proven effectiveness in collaborating with cross-functional teams and in hosting regulatory inspections. Additional Skills / Preferences Strong candidates for this role will have many or all the following: Strong analytical and problem-solving skills to identify and address issues and optimize system performance. Experience with Serialization Data Broker Solutions such as Tracelink. Experience with warehouse systems and processes. Project management experience and/or proven effectiveness in driving process improvement (certifications such as PMP or Six Sigma may be advantageous). Understanding of Global Serialization data exchange requirements including DSCSA. Familiarity with serialization protocols, unique identifier generation and aggregation methods Knowledge of product labeling, track-and-trace methodologies, and regulatory compliance related to global serialization. Prior involvement in industry working groups or DSCSA pilot programs. Adaptability and flexibility to work in a fast-paced, dynamic environment and manage multiple tasks simultaneously. Lilly is dedicated to helping individuals with disabilities to actively engage in the workforce, ensuring equal opportunities when vying for positions. If you require accommodation to submit a resume for a position at Lilly, please complete the accommodation request form ( https://careers.lilly.com/us/en/workplace-accommodation ) for further assistance. Please note this is for individuals to request an accommodation as part of the application process and any other correspondence will not receive a response. Lilly is proud to be an EEO Employer and does not discriminate on the basis of age, race, color, religion, gender identity, sex, gender expression, sexual orientation, genetic information, ancestry, national origin, protected veteran status, disability, or any other legally protected status. Our employee resource groups (ERGs) offer strong support networks for their members and are open to all employees. Our current groups include: Africa, Middle East, Central Asia Network, Black Employees at Lilly, Chinese Culture Network, Japanese International Leadership Network (JILN), Lilly India Network, Organization of Latinx at Lilly (OLA), PRIDE (LGBTQ+ Allies), Veterans Leadership Network (VLN), Women's Initiative for Leading at Lilly (WILL), enAble (for people with disabilities). Learn more about all of our groups. Actual compensation will depend on a candidate's education, experience, skills, and geographic location. The anticipated wage for this position is $151,500 - $222,200 Full-time equivalent employees also will be eligible for a company bonus (depending, in part, on company and individual performance). In addition, Lilly offers a comprehensive benefit program to eligible employees, including eligibility to participate in a company-sponsored 401(k); pension; vacation benefits; eligibility for medical, dental, vision and prescription drug benefits; flexible benefits (e.g., healthcare and/or dependent day care flexible spending accounts); life insurance and death benefits; certain time off and leave of absence benefits; and well-being benefits (e.g., employee assistance program, fitness benefits, and employee clubs and activities).Lilly reserves the right to amend, modify, or terminate its compensation and benefit programs in its sole discretion and Lilly's compensation practices and guidelines will apply regarding the details of any promotion or transfer of Lilly employees. #WeAreLilly

Posted 30+ days ago

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Texas Capital Bancshares, Inc.Dallas, TX
Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow. While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships. Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO). Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at www.texascapitalbank.com. Brief Overview of Position As part of the Enterprise Risk Management (ERM) team assist the Head of Risk Programs and ERM Risk & Compliance Manager with the management and facilitation of the Risk Oversight Steering Team (ROST) process and Products and Services Lifecycle. ROST is comprised of stakeholders from each risk category that are responsible for identifying and assessing the risks with proposed initiatives and projects with specific focus on products and services. Interact with co-workers to monitor and report on the effectiveness of risk management activities across the company. Responsibilities Coordinate with the ERM Risk & Compliance Manager on ROST reviews by intake submissions from project teams and recommend a risk assessment approach as part of the Go to Market (GTM) and Products & Services Lifecyle process. Coordinate completion of the risk assessment for initiatives by gathering and reviewing feedback from all impacted risk categories including Accounting and Legal to deliver to project team. Maintain tracking and provide regular reporting on the status of various initiatives through the ROST process. Prepare and distribute reporting on the status of initiatives going through the ROST process for internal management reporting and materials for the Executive Risk Committee and Risk Committee of the Board of Directors. Facilitate development and implementation of playbook for risk assessment of initiatives supporting Texas Capital Securities. Assist LOB/Project managers, Enterprise Finance and Technology with addressing risk concerns and governance routines including preparation for executive management forums Participate as needed in ongoing project and/or lifecycle forums with Finance and Technology. Assist in developing process flows and procedures to support management routines including use of Archer Perform other duties or projects assigned to support management of enterprise risk activities. Qualifications Minimum of 5 years of experience of products and services offered in the financial industry Bachelor's degree in Business-related field or equivalent combination of education, training and experience; relevant graduate degree a plus. Knowledge of regulatory requirements including risk assessments of complicated banking products, risk management frameworks, financial reporting, corporate governance, process improvement, project management, and/or regulatory requirements preferred. Experience with broker dealer including requirements of U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board a plus. Experience in project management or similar background; prefer experience in the financial services industry preferably with Texas Capital or at large or regional banks. Strong interpersonal skills with ability to establish positive working relationships throughout the organization across all lines of business and functional teams. Demonstrated ability in communicating effectively, both verbally and written. Ability to work independently and collaborate with others to meet project deadlines. Strong organizational skills and detail-oriented to handle diverse and concurrent assignments. Certification in audit, risk, project management or compliance a plus. Experience with Archer or similar enterprise risk management applications is preferred. Strong Microsoft application knowledge (Excel, Word, PowerPoint, and Outlook) and aptitude for grasping and using various software applications. Experience with Archer or similar enterprise risk management applications is preferred. The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.

Posted 2 weeks ago

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Sign In Solutions St. Petersburg, FL
We are looking for a highly motivated Legal & Compliance Intern to join our dynamic Legal & Compliance team for 1 to 3-month duration. This role provides hands-on experience working in a fast-paced SaaS environment, supporting critical legal operations and compliance functions. The ideal candidate is detail-oriented, organized, and eager to learn about contract management, compliance programs, and legal processes in a global company. This is a hybrid role (3x/week) in the St Petersburg Office. Skills: Currently pursuing a degree in Law, Business, Compliance, or a related field (a plus, but not required) Strong organizational skills and attention to detail. Excellent written and verbal communication skills. Proficient with technology including contract management systems, Microsoft Office Suite (Word, Excel, PowerPoint) or Google Workspace. Familiarity with contract terms and compliance frameworks (a plus, but not required). What You Will Be Doing: Assist with reviewing customer and vendor agreements to identify key terms and obligations. Collect and organize data from executed contracts for analysis and reporting. Help prepare documentation for compliance audits (e.g., SOC 2, ISO). Assist in maintaining compliance checklists and tracking corrective actions. Contract Repository Management Support cleanup and organization of the company’s contract management system. Ensure proper filing and tagging of executed agreements. Contribute to various legal projects, such as policy updates, research, and process improvements. Assist with ad hoc tasks as assigned by the Legal & Compliance team. This isn’t just about us getting to know you. We believe you need to dive in to get to know us. We encourage you to research and read up on our company news and articles. Throughout the recruitment process, you will be given the opportunity to ask lots of questions, meet different members of our team, and get hands on to showcase your skills. As you get to know what we’re all about, we hope you’ll become increasingly confident and excited that we could be your next big move. Once your application is received and reviewed, qualified candidates will move on to our next steps. Our general recruitment process has the following steps: - Meet with the hiring manager and other members of the team - Culture meeting with other members of the team

Posted 3 weeks ago

Compliance Officer - Options/Equity Trading-logo
ION GroupNew York, NY
The Role: We are seeking an experienced Compliance Officer with a strong background in financial services, specifically within broker-dealer operations, US capital markets, and FINRA regulatory oversight. This role is critical in ensuring compliance with the SEC and FINRA regulations and supporting the firm's regulatory initiatives. Key Responsibilities Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations Prepare written policies and procedures and support remediation efforts of compliance Assist in rule reviews of all U.S. options and equities exchanges along with FINRA and the SEC Assist in ongoing compliance training of the firm and orientation for new hires Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations Ensure all required books and records and properly maintained pursuant to SEC requirements Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries Work proactively to identify potential problems & compliance issues Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Required Skills, Experience and Qualifications 4+ years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank. Bachelor's Degree in a related field required. Familiarity with SRO rules and regulations, regulatory filings, compliance technology platforms, and risk management frameworks. Experience identifying compliance issues and operational risk concepts. Strong understanding of SEC, FINRA and U.S. options and equity exchange rules. Preferred Skills and Qualifications Juris Doctor (JD) or equivalent legal training in financial regulatory matters is highly desirable. Candidates with FINRA compliance, broker-dealer operations, and US capital markets regulatory experience are strongly preferred. Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning. The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential. Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend. This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities. Series 7 and 63 registrations. Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities Ability to handle competing priorities, be self-directed and able to manage workload and make decisions Teamwork, excellent communication and analytical skills are essential Proficient in Word, Excel, Outlook, and PowerPoint Regulatory experience Competencies Written communication Communicativeness Problem solving & decision making Industry knowledge Functional/technical expertise High standards Integrity Salary Range: The estimated salary range is $110,000 - $130,000. Salary is negotiable depending on experience and skills. About Us: We’re a diverse group of visionary innovators who provide trading and workflow automation software, high-value analytics, and strategic consulting to corporations, central banks, financial institutions, and governments. Founded in 1999, we’ve achieved tremendous growth by bringing together some of the best and most successful financial technology companies in the world. Over 2,000 of the world’s leading corporations, including 50% of the Fortune 500 and 30% of the world’s central banks, trust ION solutions to manage their cash, in-house banking, commodity supply chain, trading and risk. Over 800 of the world’s leading banks and broker-dealers use our electronic trading platforms to operate the world’s financial market infrastructure. ION is a rapidly expanding and dynamic group with 13,000 employees and offices in more than 40 cities around the globe, Our ever-expanding global footprint, cutting edge products, and over 40,000 customers worldwide provide an unparalleled career experience for those who share our vision. ION is committed to maintaining a supportive and inclusive environment for people with diverse backgrounds and experiences. We respect the varied identities, abilities, cultures, and traditions of the individuals who comprise our organization and recognize the value that different backgrounds and points of view bring to our business. ION adheres to an equal employment opportunity policy that prohibits discriminatory practices or harassment against applicants or employees based on any legally impermissible factor.

Posted 30+ days ago

Regulatory Compliance And Indirect Tax Manager-logo
Brown and CaldwellLakewood, CO
Brown and Caldwell is looking for an Regulatory Compliance and Indirect Tax Manager to drive compliance function of our profitable and growing company. This role plays a critical role in ensuring financial integrity, indirect tax, compliance, and regulatory insight within a consulting environment. The Regulatory Compliance and Indirect Tax Manager will also participate in developing department process improvement strategies while maintaining and monitoring internal controls. Detailed Description: Brown and Caldwell has an exciting opportunity for a full-time Regulatory Compliance and Indirect Tax Manager in our growth-oriented engineering, environmental consulting, and construction management firm. The Regulatory Compliance and Indirect Tax Manager is a vital member of Corporate Finance and Accounting team. This position is responsible for supervising the timely and accurate preparation and submission of indirect tax returns, local business license registrations, supporting the legal department and project teams to ensure contract compliance with FAR/DFARS regulations, and preparation of incurred cost submissions. This role will perform key accounting, compliance, and financial reporting tasks as needed. The ideal candidate should have a solid understanding of generally accepted accounting principles, experience in FAR and CAS cost accounting requirements, and the ability to adapt to the complexities of regulatory reporting requirements. They should be detail-oriented, collaborative, and eager to contribute to the efficiency of BCs operations by leading financial efforts in support of both internal stakeholders and government agencies. Responsibilities: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodation may be made to enable individuals with disabilities, who are otherwise qualified, to perform the essential functions. Indirect Tax Review, approve and file all US indirect tax returns and related calculation support (sales tax, use tax, business & occupation tax, property tax). Review, approve and file all Canada indirect tax returns and related calculation support (GST, HST and QST). Review and reconcile indirect tax general ledger accounts and propose journal entries to record accruals as needed. Research indirect tax laws and monitor new tax legislation and work with third party consultants as needed to keep internal tax research up to date and ensure that BC is filing all necessary tax returns. Prepare indirect tax policies and procedures as needed for use by internal and external stakeholders and educate internal personnel on changes in tax laws. Collaborate and coordinate with internal personnel to resolve indirect tax calculation issues, review and approve tax exemption requests and provide guidance on corrective actions needed to prevent future tax calculation issues. Oversee and review business license registration and renewal process. Propose and lead process improvement initiatives geared towards streamlining and making the indirect tax compliance process more efficient. Prepare ad hoc schedules as requested by management. Participate in various indirect tax projects as requested by management including lead indirect tax compliance automation initiatives. Manage all aspects of indirect tax audits including communicating with and resolving disputes with tax auditors, researching tax statutes, preparing audit support, and providing updates and guidance to Controller on the status of the audits. Regulatory Compliance Prepare and submit Incurred Cost Submissions (ICS) and provisional billing rates to ensure compliance with government requirements. Lead indirect cost report submission process, through completion of the Incurred Cost Electronically (ICE) Model Oversee the development, monitoring, and reporting of indirect cost structures, ensuring alignment with contract terms and internal financial goals. Support the pricing and cost proposal process, working with BC project teams to ensure accuracy and competitiveness. Serve as a point of contact State and 3rd-party cost and pricing audits, providing timely and accurate documentation and responses. Maintain knowledge of and ensure compliance with government contracting regulations and standards. Contribute to ongoing system and process improvements, including ERP enhancements and reporting automation. Participate in special projects and ad hoc financial analysis as needed. Define labor rates and pricing structures (e.g., GSA) Manage and negotiate indirect cost rate agreements Serve as internal point of contact and counterpart to external auditing firm Stay informed of changes to the FAR and other relevant regulations Other operational duties as required Desired Skills and Experience: Bachelor's Degree in financial or governmental accounting 5+ years of progressive accounting experience (combination of public accounting and professional services or engineering/construction industry a plus) 3+ years of management experience Certified Public Accountant (CPA) or Certified Government Financial Manager (CGFM) required Demonstrated understanding of Federal Acquisition Regulation (FAR) and Cost Accounting Standards (CAS). Demonstrated experience preparing ICS packages, provisional billing rate submissions, and cost proposals. Understanding Of Contract Types i.e., Cost-Reimbursable, Fixed-Price, Time and Materials. Effective communication skills (oral and written); must be able to effectively relay information to various audience groups, including but not limited to, customers and prospective customers, managers, leadership, colleagues, and business associates. Proficiency using Microsoft suite programs including Excel for large data analysis (pivot tables, VLOOKUP, etc.) and Adobe PDF Self-starter with a high degree of integrity, professionalism, and reliability Ability to prioritize, manage and meet deadlines Demonstrated flexibility and experience with problem solving, fostering teamwork, managing change, and providing direction for staff Salary Range: The anticipated starting pay range for this position is based on the employee's primary work location and may be more or less depending upon skills, experience, and education. These ranges may be modified in the future. Location A: Salary $106,000 - $145,000 Location B: Salary $117,000 - $160,000 You can view which BC location applies to you here. If you have any questions, please speak with your Recruiter. Benefits and Other Compensation: We provide a comprehensive benefits package that promotes employee health, performance, and success which includes medical, dental, vision, short and long-term disability, life insurance, an employee assistance program, paid time off and parental leave, paid holidays, 401(k) retirement savings plan with employer match, performance-based bonus eligibility, employee referral bonuses, tuition reimbursement, pet insurance and long-term care insurance. Click here to see our full list of benefits. About Brown and Caldwell Headquartered in Walnut Creek, California, Brown and Caldwell is a full-service environmental engineering and construction firm with 50 offices and 2,100 professionals across North America and the Pacific. For more than 75 years, we have created leading-edge environmental solutions for municipalities, private industry, and government agencies. We strive to be the company of choice-to our clients, who benefit from our passion for delivering exceptional quality, and to our employees, present and future, who share our commitment to client service, collaboration, and innovation. Join us, and you will find a home where you can do your best work, reach new levels of expertise, and enjoy exceptional development opportunities. For more information, visit www.brownandcaldwell.com This position is subject to a pre-employment background check and a pre-employment drug test. Notice to Third Party Agencies: Brown and Caldwell does not accept unsolicited resumes from recruiters or employment agencies. In the event a recruiter or agency submits a resume or candidate without a previously signed agreement and approved engagement request with Brown and Caldwell, Brown and Caldwell reserves the right to pursue and hire those candidate(s) without any financial obligation to the recruiter or agency. Brown and Caldwell is proud to be an EEO/AAP Employer. Minorities/Women/Disabled and Protected Veterans are encouraged to apply. Brown and Caldwell ensures nondiscrimination in all programs and activities in accordance with Title VI of the Civil Rights Act of 1964. #LI-remote

Posted 30+ days ago

Ercs Data & Tech - Risk & Compliance AI Engineer - Senior Associate-logo
PwCWashington, DC
Industry/Sector Not Applicable Specialism Data, Analytics & AI Management Level Senior Associate Job Description & Summary At PwC, our people in data and analytics engineering focus on leveraging advanced technologies and techniques to design and develop robust data solutions for clients. They play a crucial role in transforming raw data into actionable insights, enabling informed decision-making and driving business growth. Those in data science and machine learning engineering at PwC will focus on leveraging advanced analytics and machine learning techniques to extract insights from large datasets and drive data-driven decision making. You will work on developing predictive models, conducting statistical analysis, and creating data visualisations to solve complex business problems. Focused on relationships, you are building meaningful client connections, and learning how to manage and inspire others. Navigating increasingly complex situations, you are growing your personal brand, deepening technical expertise and awareness of your strengths. You are expected to anticipate the needs of your teams and clients, and to deliver quality. Embracing increased ambiguity, you are comfortable when the path forward isn't clear, you ask questions, and you use these moments as opportunities to grow. Examples of the skills, knowledge, and experiences you need to lead and deliver value at this level include but are not limited to: Respond effectively to the diverse perspectives, needs, and feelings of others. Use a broad range of tools, methodologies and techniques to generate new ideas and solve problems. Use critical thinking to break down complex concepts. Understand the broader objectives of your project or role and how your work fits into the overall strategy. Develop a deeper understanding of the business context and how it is changing. Use reflection to develop self awareness, enhance strengths and address development areas. Interpret data to inform insights and recommendations. Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance), the Firm's code of conduct, and independence requirements. Job Description Generator Output The Opportunity As part of the Data and Analytics Engineering team you will develop, implement, and enhance machine learning models and algorithms for various applications. As a Senior Associate you will analyze complex problems, mentor others, and maintain rigorous standards while building meaningful client connections and navigating increasingly complex situations. This role offers the chance to deepen your technical knowledge and grow your personal brand while collaborating with stakeholders to create innovative solutions. Responsibilities Mentor junior team members to enhance their skills and knowledge Build and maintain productive relationships with clients Navigate intricate situations to deliver quality results Uphold professional standards and maintain quality in deliverables Continuously enhance technical knowledge and personal brand What You Must Have Bachelor's Degree 3 years of machine learning and generative AI development experience What Sets You Apart Doctor of Philosophy in Computer Science, Data Processing/Analytics/Science, Business Administration/Management, Risk Management, Statistics, Mathematical Statistics preferred Developing and optimizing machine learning models and algorithms Designing and building generative AI models for innovative solutions Working with stakeholders to translate business requirements Processing, cleaning, and verifying data integrity Conducting testing and validation of models for accuracy Staying current with advancements in machine learning and AI Mentoring junior team members in data science practices Experience connecting to APIs and systems Demonstrating hands-on experience with OpenAI, CoPilot Studio, Azure AI, Gemini, AgentSpace, Claude, and other GenAI platforms Possessing hands-on experience with LangChain, LangFlow, Agent SDK, AgentForce, AgentSpace, Copilot Studio, LlamaIndex, Autogen, Palantir Foundry, ReAct, etc. Travel Requirements Up to 60% Job Posting End Date Learn more about how we work: https://pwc.to/how-we-work PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy . As PwC is an equal opportunity employer, all qualified applicants will receive consideration for employment at PwC without regard to race; color; religion; national origin; sex (including pregnancy, sexual orientation, and gender identity); age; disability; genetic information (including family medical history); veteran, marital, or citizenship status; or, any other status protected by law. For only those qualified applicants that are impacted by the Los Angeles County Fair Chance Ordinance for Employers, the Los Angeles' Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, San Diego County Fair Chance Ordinance, and the California Fair Chance Act, where applicable, arrest or conviction records will be considered for Employment in accordance with these laws. At PwC, we recognize that conviction records may have a direct, adverse, and negative relationship to responsibilities such as accessing sensitive company or customer information, handling proprietary assets, or collaborating closely with team members. We evaluate these factors thoughtfully to establish a secure and trusted workplace for all. The salary range for this position is: $77,000 - $202,000, plus individuals may be eligible for an annual discretionary bonus. For roles that are based in Maryland, this is the listed salary range for this position. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. PwC offers a wide range of benefits, including medical, dental, vision, 401k, holiday pay, vacation, personal and family sick leave, and more. To view our benefits at a glance, please visit the following link: https://pwc.to/benefits-at-a-glance

Posted 6 days ago

Onboarding & I9 Compliance Specialist-logo
InstaworkSan Francisco, CA
The Onboarding & I9 Compliance Specialist is a critical member of our T&S team, responsible for ensuring the accurate and compliant processing of I9 forms for new hires. This role involves meticulous review of identity and employment authorization documents, proactive issue resolution, and maintaining data integrity within our onboarding platforms to facilitate a seamless and compliant new hire experience. Who You Are: Education: High school diploma or equivalent required; Associate's or Bachelor's degree in Human Resources, Business Administration, or a related field preferred. Experience: 1-2+ years of experience in HR administration, onboarding, or a role with significant compliance, document review, and data management responsibilities, preferably within a high-volume environment Technical Skills: Proficiency with onboarding platforms (experience with Workbright is a significant plus). Strong computer skills, including GSuite, Intercom, Slack. Ability to quickly learn and adapt to new software and internal tools. Knowledge Solid understanding of I9 regulations and acceptable documents for employment verification. Familiarity with W2 processes and basic payroll considerations. Core Competencies: Exceptional Attention to Detail: Meticulous in reviewing documents and data for accuracy and compliance. Problem Solving: Strong analytical skills to identify discrepancies and determine appropriate corrective actions. Communication: Clear, concise, and professional communication, both written and verbal. Organizational Skills: Ability to manage multiple tasks, prioritize effectively, and work efficiently in a fastpaced environment. Integrity & Confidentiality: Handling sensitive personal information with the utmost discretion and professionalism. Adaptability: Ability to quickly learn and apply new processes and guidelines in a dynamic environment. What You'll Do: I9 Compliance & Document Verification: Oversee the comprehensive review and verification of all I9 forms and supporting identity and employment authorization documents for new hires in nonEVerify states. Ensure strict adherence to federal I9 regulations and internal compliance standards during the document review process. Validate the authenticity, clarity, and expiration status of submitted documents against established guidelines. Onboarding Workflow Management: Manage the I9 review queues within the Workbright onboarding platform, prioritizing tasks to ensure timely processing. Execute appropriate actions based on document and form validity, including approvals, rejections, and necessary corrections to I9 Section 2. Communicate effectively with new hires regarding document rejections or requests for additional information, providing clear guidance for resolution. Data Integrity & Issue Resolution: Identify and resolve discrepancies between submitted I9 forms, supporting documentation, and internal data. Collaborate crossfunctionally with Payroll and other internal teams to address and resolve complex onboarding issues. Maintain accurate and consistent new hire data across all relevant HR systems. Policy Adherence & Knowledge Application: Apply in-depth knowledge of I9 requirements, acceptable document lists, and W2 onboarding processes to guide decision-making. Stay informed on updates to I9 regulations and internal policies, ensuring all processes remain compliant. Provide guidance and clarification on common new hire inquiries related to I9 documentation. System Utilization & Reporting: Proficiently navigate and utilize the Workbright onboarding platform and other internal HR systems for I9 management, data entry, and status tracking. Contribute to the overall efficiency of the onboarding process through effective use of technology and adherence to established workflows. For CA Based Applicants: Location: San Francisco, CA (5 days a week in office) Employment Type: 3 month Contract (Eligible for extension in contract) Pay: $28.85 to $46.15 per hour, depending on experience

Posted 2 weeks ago

U
Umb Financial CorporationKansas City, MO
Risk Services partners with UMB management and its obligation to effectively manage compliance and related risks within the UMB family of corporations. This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs. As a Compliance Specialist, you will assist with the ongoing administration and execution of the Fiduciary Compliance Management Programs. How you'll spend your time: You will provide leadership and oversight of compliance and risk management requirements for applicable business lines. You will maintain listing of relevant rules and regulations for all areas, and understand new and proposed laws and regulations in a timely manner. Assist with the evaluation of each applicable regulatory change for the proper level of attention, and communicate, under the direction of the Corporate Compliance Manager, the requirements to business partners and support the implementation of regulatory changes. You will be a supportive resource for questions regarding compliance matters and provide analysis. You will assist in the product/service development with business partners to ensure consideration and accurate implementation of regulatory compliance requirements. You will review business partner's third-party risk assessments for regulatory compliance requirements. We're excited to talk with you if: You possess a Bachelor's degree or equivalent work experience in Accounting, Finance or Business Administration You have at least five (5) years experience working in a compliance, internal control consulting, risk management or audit-related capacity with specific experience in trust or fiduciary risk and compliance Bonus Points if you: You have examination experience, focused on fiduciary or investment advisory examinations You have a Juris Doctor, graduate degree in law You possess any industry certifications in Trust and Fiduciary Compliance Compensation Range: $57,760.00 - $124,170.00 The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information. UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary. Are you ready to be part of something more? You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard. UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to talentacquisition@umb.com to let us know the nature of your request. If you are a California resident, please visit our Privacy Notice for California Job Candidates to understand how we collect and use your personal information when you apply for employment with UMB.

Posted 1 week ago

Senior Tax Compliance Specialist-logo
Viking GlobalStamford, CT
Viking Global Investors LP is a global investment firm founded in 1999. We manage more than $50 billion of capital for our investors across public equity, private equity, and credit and structured capital investment strategies. We have more than 275 employees and offices in Stamford, New York, Hong Kong, London, and San Francisco. LOCATION: 600 Washington Boulevard, Stamford, CT Viking Global Investors LP is a global investment firm founded in 1999. We manage more than $50 billion of capital for our investors across public equity, private equity, and credit and structured capital investment strategies. We have more than 275 employees and offices in Stamford, New York, Hong Kong, London, and San Francisco. JOB FUNCTION The tax professional will have direct responsibility for hedge fund and private equity tax compliance. The candidate should have a thorough background and understanding of the international, federal, and state & local taxation of various types of alternative investment fund structures. The role will report to the Head of Tax Compliance. Responsibilities may include, but are not limited to: Review of complex tax allocations and securities adjustments for hedge and private equity funds. Including, but not limited to 704(c)/(b) allocations, PE tax waterfalls, stuffing, wash sales, constructive sales, qualified dividend analysis, 1233 adjustments, straddles, 1256 contracts, swaps, flow through K-1s, UBTI. Review of international, federal, and state & local partnership, corporate and composite tax returns. Review and/or preparation of investor tax estimates and other tax reporting, including PTET. Review of foreign and domestic SPV tax accruals, projections, and tax estimates. Review of regulatory filings such as FBAR, CbCR, FATCA, and CRS. Address investor tax inquiries and prepare related tax reporting to support investor relations team. Oversee and maintain diligent tax payment and refund records. Collaborate with Fund Accounting, Investor Relations, Legal and Operations teams on various business matters. Partner with Viking's Technology team on automation and process improvement initiatives. QUALIFICATIONS The ideal candidate will have: Bachelor's degree required; CPA preferred. 6+ years of tax experience in public accounting or equivalent with concentration in hedge fund/private equity. Strong desire to learn and embrace challenges. Actively seeks feedback as an opportunity for improvement and continuously pursues new skills and knowledge. Proven ability to prioritize, manage, and clearly communicate plans to handle multiple concurrent deliverables. Commitment to establishing best practices with recognition that this requires continual process evolution. Excellent communication and interpersonal skills and an ability to communicate confidently to internal and external stakeholders. Demonstrated ability to implement quality control and maintain security of confidential information. Excellent analytical and problem-solving skills, including a ready ability to identify issues and errors. Organized, results-based approach to project management. Proficiency in Excel and drive to obtain maximum leverage from systems. The ideal candidate possesses the following traits: Adaptability and proactiveness: Demonstrates resilience and initiative in a fast-paced environment and eagerly embraces a "roll up your sleeves and get the work done" attitude. Able to effectively handle multiple priorities and unexpected challenges with a hands-on approach Accountability: ownership of individual responsibilities and work product Process-orientation: deeply organized, a strong attention to detail and an eagerness to continually improve Team orientation: an ability to work independently as well as collaboratively, and an openness to feedback when developing new content and approaches Intellectual honesty and sound judgement: an ability to see the truth, even amidst confusion and conflict, as well as the courage to question the status quo Excellent written and verbal communication skills: an ability to articulate our work and values to various internal and external audiences in a clear, concise, and consistent manner Strategic thinking: an ability to understand the bigger picture and identify opportunities for creative or innovative thinking and approaches. Leadership: an ability to articulate a vision and drive consensus and progress across a variety of teams and departments. Viking is an equal opportunity employer. Questions about your candidacy and requests for reasonable accommodation in the recruitment process should be directed to recruiting@vikingglobal.com.

Posted 30+ days ago

M
Marmon Holdings, IncAddison, TX
Acumed LLC As a part of the global industrial organization Marmon Holdings-which is backed by Berkshire Hathaway-you'll be doing things that matter, leading at every level, and winning a better way. We're committed to making a positive impact on the world, providing you with diverse learning and working opportunities, and fostering a culture where everyone's empowered to be their best. Job Scope The Compliance Professional Affairs Manager is responsible for the oversight of Consultant Management and Healthcare Professional (HCP) Affairs at Acumed. This role ensures excellence in consultant engagement and partnerships with HCPs and key stakeholders, while maintaining compliance with applicable laws and internal policies. This position requires expertise in healthcare compliance, strong business acumen, and the ability to build and sustain relationships across various departments. The Manager serves as the primary contact for consultant management for both internal business partners and external HCPs. This position supports both Acumed and Marmon Medical Compliance functions and will manage and oversee Grants and Donations administration; Lead the end-to-end Consultant Management process; Organize and manage HCP Committee Meetings and Conduct compliance reviews for Sponsorships and Exhibits. Responsibilities Subject Matter Expertise: Serves as a Compliance Subject Matter Expert on all applicable laws, regulations, and industry codes, including but not limited to: Anti-Kickback Statute, False Claims Act, Foreign Corrupt Practices Act, and AdvaMed Code of Ethics Serves as a Compliance Subject Matter Expert on internal policies, procedures, and codes of conduct. Serves as the primary Subject Matter Expert on HCP Interactions and HCP Engagement Activities. Consultant Management: Leads end-to-end Consultant Management for Acumed HCP Consulting Activities, including Conducting annual needs assessments, Determining Fair Market Value (FMV) tiers, Facilitating HCP agreements, Coordinating HCP engagement activities, and Managing HCP payments. Facilitates the development, review, and approval of documentation related to consultant arrangements with HCPs, including the review of HCP payment documentation for accuracy and processing of payments. Business Stakeholder Engagement: Represents Professional Affairs as the first line of contact with business stakeholders who engage Healthcare Professionals (HCPs). Partners with Marketing, Medical Education, Clinical and Medical Affairs, R&D, and the International Business Unit to develop Annual Needs Assessments. Facilities and coordinates HCP Committee Meetings. Represents Professional Affairs as the first line of contact with business stakeholders who engage Healthcare Professionals (HCPs). Partners with Marketing, Medical Education, Clinical and Medical Affairs, R&D, and the International Business Unit to develop Annual Needs Assessments. Facilities and coordinates HCP Committee Meetings. HCP Engagement & Systems Management: Responsible for HCP contract management and interfacing with the business partners and the legal department. Facilitate Exclusion Screening (SAM, LEIE, etc.). Manages the list of available HCP consultants (Master Data) and distributes the consultant status report. Conducts orientation training with new and existing HCPs to familiarize them with Acumed processes and requirements, including contract terms, considerations, and other deliverables. Coordinates with the Compliance Business Partner in the development and deployment of improved business forms and templates for contracts, grants, and other such documents. Sunshine Reporting/Transparency Reporting: Lead Sunshine Reporting for Acumed HCP Spend related to HCP/HCO payments, including meals, travel, engagements and research and development. Timely preparation and submission of reports to CMS and relevant regulatory agencies. Monitor and manage the collection of data related to payments made to healthcare providers, ensuring all relevant information is captured and accurately reported on the CMS Open Payments platform Grants & Sponsorships Committee Responsibilities Responsible for the effective administration of the Grants Review Committee (GRC) including scheduling and setting the agenda to ensure a quorum is met. Reviews Grants and Donations submissions for accuracy, completeness, and readiness for submission to the committee. Records and formalizes GRC meeting minutes for approval by committee members and communication of grant approvals and denials. Tracks all requests to confirm that the aggregate budget has not been exceeded. Conducts compliance reviews for Sponsorships and Exhibits, ensuring alignment with company policies and industry standards. Qualifications Bachelor's Degree and a minimum of 5+ years of related experience in healthcare compliance function, professional affairs or a related field. Demonstrates high levels of professionalism, business acumen, and judgement. Strong confidence in decision making while managing company risk. Proven ability to work with a variety of internal and external stakeholders. Embraces and supports changes in a dynamic and complex environment. Ability to handle multiple concurrent tasks and changing priorities. Possess strong written and verbal communication and influencing skills. Strong presentation skills. Following receipt of a conditional offer of employment, candidates will be required to complete additional job-related screening processes as permitted or required by applicable law. We are an equal opportunity employer, and all applicants will be considered for employment without attention to their membership in any protected class. If you require any reasonable accommodation to complete your application or any part of the recruiting process, please email your request to careers@marmon.com, and please be sure to include the title and the location of the position for which you are applying.

Posted 1 week ago

Sr. Manager, Legal Operations & Compliance Program Management-logo
Evolv TechnologyWaltham, MA
The Elevator Pitch Evolv is seeking a strategic, tech-savvy, and experienced Sr. Manager of Legal Operations & Compliance Program Management to join the Legal Team of a mission-driven company with industry-disrupting technology. This is a pivotal role with a broad spectrum of responsibilities. The right candidate will be energized by shaping the Legal Team's strategy, managing legal budget, and identifying and implementing new legal technologies to help maximizes efficiency. You will also work cross-functionally across a diverse team of stakeholders in your management of several key legal programs. Your proactive and solution-oriented approach will be valued as you help shape the future of the legal function, while promoting a culture of continuous improvement and integrity. If you thrive on operational excellence, strategic influence, and designing systems that make legal teams more effective, we want to meet you. The Work: What type of work will you be doing? Legal Operations Champion continuous improvement initiatives across workflows, identifying opportunities for optimization while maintaining the highest standards of legal quality and compliance Oversee legal technology strategy and implementation-including CLM (Ironclad), matter management, process automation, and knowledge management Evaluate and implement systems to streamline legal workflows and scale legal support across the organization Manage outside counsel engagement, budgets, and billing processes Stay current on legal operations trends and emerging technologies Apply project management rigor to drive execution, accountability, and transparency Compliance Program Management Partner with the General Counsel and other Legal Team members to manage operational components of the Ethics & Compliance program Lead high-priority legal department projects from design to implementation Legal Team Strategy Lead strategic planning and quarterly/annual goal setting across the Legal Team. Act as an operational partner to the General Counsel, including preparation of materials for executive and board-level legal updates Ensure cross-functional alignment on priorities, resource planning, and project execution Monitor and track progress against department goals, proactively surfacing risks and opportunities Qualifications & Preferred Experience 5+ years of relevant experience in a legal operations or legal business management role (in-house experience strongly preferred). Strong leadership and project management skills, with experience leading cross-functional teams Proven ability to act as a strategic partner to legal and business executives Technical aptitude and demonstrated success selecting, implementing, and optimizing legal tech tools (e.g., CLM, e-billing, legal AI tools) Expertise in budgeting, reporting, and outside counsel management Skilled communicator who can translate complex legal workflows into business-friendly tools and processes What is the leadership like for this role? What is the structure and culture of the team? This role reports to the General Counsel and offers a unique opportunity to help build a Legal Operations function, as well as contribute substantively to key compliance programs. You will be a trusted thought partner to the Legal Team and business stakeholders, helping elevate the function as a true enabler of business success. Where is the role located? Our ideal candidate for this role is based near our HQ in Waltham, Massachusetts with flexibility in being remote some days. We are also open to considering exceptional remote candidates based in the U.S. Compensation & Transparency Statement The total target cash compensation for this full-time position ranges from $128,000 to $204,000, which includes base salary and target bonus. In addition to cash compensation, this role offers equity and a comprehensive benefits package. This range reflects our commitment to pay transparency and equity, in alignment with applicable state laws.Our compensation ranges are determined based on factors such as role, level, location, market benchmarks, and internal equity. The posted range represents the good-faith estimate of what we expect to pay for this role across U.S. locations. Actual compensation within the range will be based on the candidate's skills, experience, education, and geographic location. In accordance with state and local pay transparency laws-including those in California, Colorado, Massachusetts, New York, New Jersey, and others-we disclose salary ranges in all job postings and provide additional information upon request. During the hiring process, your recruiter will share: The specific salary range for your preferred location A general overview of our benefits and equity offerings Insights into how compensation decisions are made, including factors that influence starting pay We are committed to fair pay practices, and we regularly review our compensation programs to ensure they are competitive, equitable, and aligned with our values. At Evolv, we're on a mission to help make public spaces safer through innovative security technology. So, we're looking for future teammates who embody our values, people who: Do the right thing, always; Put people first' Own it; Win together; and continue to Be bold, stay curious. Our Benefits Include: Equity as part of your total compensation package Medical, dental, and vision insurance Flexible Spending Accounts (FSA) A 401(k) plan (and 2% company match) Unlimited vacation policy Quarterly stipend for perks and benefits that matter most to you Tuition reimbursement to support your ongoing learning and development Subscription to Calm Evolv Technology ("Evolv") is an Equal Opportunity Employer and prohibits discrimination and harassment of any kind. We welcome and encourage diversity in the workplace, and all employment decisions are made without regard to race, color, religion, national, social or ethnic origin, sex (including pregnancy), age, disability, HIV Status, sexual orientation, gender identity and/or expression, veteran status, or any other status protected by law in the locations where we operate. Evolv will not tolerate discrimination or harassment based on any of these characteristics. Evolv is committed to offering an inclusive and accessible experience for all job seekers, including individuals with disabilities. If you need a reasonable accommodation as part of the job application process, please connect with us at careers@evolvtechnology.com.

Posted 2 weeks ago

Regulatory Reporting & Compliance Specialist (Hybrid)-logo
The Main Street America GroupPhoenix, AZ
Position Compensation Range: $61,000.00 - $101,000.00 Pay Rate Type: Salary Compensation may vary based on the job level and your geographic work location. Relocation support is offered for eligible candidates. The Regulatory Reporting & Compliance Specialist ensures our business succeeds across all states by submitting essential regulatory filings. You will work with a diverse team of internal partners, forging collaborations to guarantee timely and precise compliance with state laws and regulations. Moreover, you will be a catalyst for innovation, identifying and implementing process improvements that enhance our operational efficiency to new heights. You will report to the Senior Manager, Regulatory Reporting and Compliance. In this flex office/home role, you will be expected to work a minimum of 10 days per month from one of the following office locations: Madison, WI 53783; Boston, MA 02110; Denver, CO 80112; Eden Prairie, MN 55343; Keene, NH 03431; St. Joseph, MO 64507; Phoenix, AZ 85034 Internal candidates are encouraged to apply regardless of location and will be considered based upon the needs of the role. Primary Accountabilities You will ensure regulatory and statutory reporting compliance for Enterprise. You will identify Industry trends and opportunities for development of controls, procedures, cross functional alignment and regulatory reporting. You will monitor and interpret regulatory legislation from DOI's, Boards, Bureaus, etc. You will determine next action for complying - communicate and work with other business areas to comply. You will understand current market trends ensuring compliance, data integrity and best practices. You will work closely with regulators, states, boards, bureaus, vendors and stat agents related to new and existing regulations, new product, state development, legacy retirements, new data source development. You will ensure consistency through documentation and review of existing policies driving automation, future state success while minimizing penalties and capitalizing on credit opportunities. You will ensure reconciliation with Financials. You will collaborate with various business units across the organization. You will review and interpret enacted changes in legislation and regulation to business impact. You will develop and provide business requirements for the implementation and maintenance of compliance reporting projects. You will document processes and procedures related to regulatory and statistical reporting. You may be required to complete other assignments or participate in projects based upon skills, achievements, or experience. Specialized Knowledge, Skills, and Education Requirements 5+ years of experience in regulatory compliance, insurance, or relevant fields. Strong analytical skills to monitor and interpret regulatory legislation. Proficiency in SQL for querying and managing data in relational databases. Advanced expertise in Microsoft Excel, including the use of pivot tables, VLOOKUP, and complex formulas. Demonstrated expertise in PowerPoint to create impactful presentations. Experience in documenting processes and procedures related to regulatory and statistical reporting. Solid knowledge and understanding of insurance products and related pricing concepts. Knowledge of regulatory and statutory reporting requirements. #LI-Hybrid Additional Information Offer to selected candidate will be made contingent on the results of applicable background checks Offer to selected candidate is contingent on signing a non-disclosure agreement for proprietary information, trade secrets, and inventions Sponsorship will not be considered for this position unless specified in the posting We encourage you to apply even if you do not meet all of the requirements listed above. Skills can be used in many different ways, and your life and professional experience may be relevant beyond what a list of requirements will capture. We encourage those who are passionate about what we do to apply! We provide benefits that support your physical, emotional, and financial wellbeing. You will have access to comprehensive medical, dental, vision and wellbeing benefits that enable you to take care of your health. We also offer a competitive 401(k) contribution, a pension plan, an annual incentive, 9 paid holidays and a paid time off program (23 days accrued annually for full-time employees). In addition, our student loan repayment program and paid-family leave are available to support our employees and their families. Interns and contingent workers are not eligible for American Family Insurance Group benefits. We are an equal opportunity employer. It is our policy to comply with all applicable federal, state and local laws pertaining to non-discrimination, non-harassment and equal opportunity. We also consider qualified applicants with criminal histories, consistent with applicable federal, state and local law. #LI-RS1

Posted 3 weeks ago

Compliance Analyst, Regulatory Filing-logo
American EquityWest Des Moines, IA
At American Equity we offer leading annuity products that help empower our clients to fulfill their needs and wants in retirement. Our success comes from hiring high-energy individuals who embody the beliefs that drive our unique culture. We currently fund over half a million retirements nationwide, and have been headquartered in West Des Moines, Iowa, for over twenty-five years with satellite offices in Charlotte, NC and New York, NY. GENERAL PURPOSE OF THE JOB: The Compliance Analyst will be responsible for assisting with the administration of our compliance program to comply with state and federal laws, rules and regulations and company standards. The role will be integral to building and maintaining an effective compliance risk control environment that enables AEL's activities. As part of the team, you will be working closely with other internal departments providing support and help to mitigate regulatory exposure/risk to American Equity by enforcing the company's policies and procedures. Position sits in West Des Moines and will work an onsite hybrid schedule ESSENTIAL DUTIES AND RESPONSIBILITIES: Prepare and submit state-specific insurance forms and filings in compliance with regulatory guidelines. Draft documentation, complete request forms, and compile support materials for submission. Coordinate with internal departments to gather and validate data required for regulatory submissions. Monitor regulatory bulletins and ensure timely adoption or action on changes. Perform quality assurance reviews on filings, including competitor and internal documentation. Manage regulatory follow-up questions to form filings to ensure the business provides appropriate and timely responses. Communicate effectively with regulatory agencies and internal teams regarding filing statuses. Maintain and update filing records and ongoing documentation. Retrieve and review compliance materials through various industry sources. Contribute to the timely development and maintenance of internal corporate policies, procedures and training materials. Assisting with the administration of our broker-dealer Compliance program to comply with the respective legal, licensing, and regulatory obligations. Other Responsibilities Navigate state insurance department websites, read and interpret regulatory filing instructions and prepare accurate and timely submissions for various regulatory reports and filings. Prepare and submit payment of required financial assessments and other regulatory fees via check and/or electronic methods. Maintain and update due date charts for regulatory filings. Maintain appropriate records of filings and payments electronically on shared department portal. Performs other related work as assigned. SUPERVISORY RESPONSIBILITIES: Direct Reports: 0 General Description of Indirect Reports (2 and 3-downs): 0 EDUCATION AND/OR EXPERIENCE: Bachelor's degree in business or related field of study; plus 2 years of progressively responsible related compliance or operational risk management experience; or an equivalent combination of education and/or experience. Experience with state insurance exams and regulatory audits. Broker-dealer or registered investment advisor experience helpful. Experience with project management in a compliance or risk setting preferred. Familiarity with SERFF and 50-state commercial lines filings strongly preferred. Ability to analyze and apply state-specific filing requirements accurately CERTIFICATES, LICENSES, PROFESSIONAL DESIGNATIONS: Completion of industry designations or other relevant industry coursework preferred (i.e. LOMA, American College designations and/or Series 6/26). KNOWLEDGE, SKILLS AND ABILITIES: Ability to handle pressure, adapt to change and meet deadlines in a fast-paced environment. In depth knowledge and understanding of insurance business, specifically annuities. Strong verbal and written communication skills and confident in presenting to senior leaders and responding to questions. Strong interpersonal skills and ability to collaborate in driving successful outcomes. Ability to maintain awareness of and review and interpret new laws, regulations and models that impact the distribution of annuity products. Able to take initiative in identifying regulatory, reputational, legal and financial risks. Ability to work cooperatively with regulators, employees, and other third parties. Strong organizational, time management and planning skills with attention to detail. Ability to read, analyze, and interpret general business periodicals, professional journals and technical/operational procedures. Strong analytical and problem-solving skills with ability to define problems, collect data, establish facts, and draw valid conclusions on practical problems that deal with a variety of concrete variables in situations where only limited standardization exists. Understand general compliance topics such as testing, controls and risk assessment. Ability to write reports, business correspondence, and procedure manuals. Ability to travel up to 10% of the time. #LI-PL1 ____ This description covers the major purpose and essential functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related work requested by their manager. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities. For more information about how your information is processed, please click on the Privacy tab at the bottom of the page and then click on the Applicant Privacy Policy.

Posted 3 weeks ago

Global Compliance Program Manager-logo
Telix PharmaceuticalsFishers, IN
See Yourself at Telix The Global Compliance Program Manager plays a critical role in maintaining the reputation of integrity for Telix. You will work closely with leaders across the entire business to design, develop, and implement a dynamic, metrics-driven ethics and compliance program that manages risks and helps protect the organization from potential legal, regulatory, and reputational issues. Success in this role requires both a keen understanding of the Telix culture and our business and the ability to partner with employees across the company to implement a strong, risk-focused compliance program. Key Accountabilities The Global Compliance Program Leader will further develop the following capabilities within the existing Telix Compliance Program. Healthcare Compliance Investigations Leader Compliance Monitoring Program Development and support regional implementation. Compliance Program Data Analytics RLS Program Development support. This aspect of the role involves close collaboration with the Associate Director, Compliance Americas and RLS Legal Counsel. Other Compliance Program development as needed (Training/Communications, Policies/Procedures, etc). Program Development & Implementation Lead the continued development and operationalization of global compliance program elements such as monitoring, investigations, policies, and training. Support global implementation of compliance procedures in line with evolving industry standards, internal risk assessments, and health authority expectations. Collaborate with the Associate Director, Compliance - Americas, and regional partners to ensure program consistency and relevance across geographies. Investigations & Monitoring Strengthen and lead the company's healthcare compliance investigations process, including intake, tracking, root cause analysis, and corrective actions. Develop and execute risk-based monitoring activities in collaboration with internal audit, quality, and operational functions. Oversee documentation and reporting of findings, escalating critical compliance concerns as needed. Data Analytics & Reporting Build and manage compliance-related data dashboards and tools to track KPIs, metrics, and trends. Translate insights from investigations and monitoring into actionable recommendations to improve compliance controls and risk mitigation. Support data visualization and storytelling to drive leadership awareness and engagement. Training, Communication & Policy Support Contribute to the development of compliance training materials and campaigns to support a culture of integrity and ethical conduct. Draft, review, and maintain internal policies and procedures in collaboration with the Legal and Quality teams. Cross-Functional & Global Collaboration Serve as a subject matter expert for compliance processes across clinical, commercial, and corporate functions. Build strong working relationships across all levels of the organization to promote trust, transparency, and program effectiveness. Represent compliance in cross-functional initiatives and global projects as assigned. Education and Experience Bachelor's degree in Science, Business, Accounting, Legal, or relevant certifications such as Certified Compliance and Ethics Professional (CCEP). 7+ years' experience working in a legal, compliance, internal audit, or risk management role within the pharmaceutical, biotech, or life sciences industry. Working knowledge of the laws, regulations, and standards that affect companies operating in the radiopharmaceutical, medical device, or biotechnology industries. Strong, proven experience in at least two of the following areas: data monitoring and analysis, risk mitigation, internal audit, systems management, investigations management, and compliance advising. Ability to stay abreast of changing laws, regulations, and industry standards and communicate, or incorporate, those changes into the business. Excellent communication, presentation, and interpersonal skills. Track record of independently managing projects that bring meaningful change to organizations. Experience working on sensitive matters or handling confidential information. Familiarity with applicable healthcare laws and regulations, including but not limited to: FDA, OIG, DOJ, EMA, GDPR, and Sunshine/Transparency reporting. High-character individual with strong compass for ethics and integrity and a passion for advancing a culture of integrity within organizations. Strong experience designing and leading compliance projects, including supporting or leading investigations and/or healthcare compliance monitoring preferred. Strong experience within a global public company, including leading projects or teams with colleagues from around the world preferred. Strong experience working with global anti-corruption or other healthcare compliance subject matter areas preferred. Key Capabilities: Inclusive mindset: Demonstrate an understanding and appreciation for diversity, and actively work to create an inclusive environment where everyone feels valued and respected Creativity and innovation: Possess a willingness to think outside the box and come up with unique and creative solutions to challenges Commitment to excellence: Take pride in your work and consistently strive for excellence in everything you do Results-oriented: Driven to achieve goals and objectives, with a strong focus on delivering measurable results Ethical behavior: Act with integrity and demonstrate a commitment to ethical behavior in all interactions with colleagues and stakeholders Adaptability: Comfortable working in a dynamic environment, able to adjust to changing priorities, and willing to take on new challenges Strong communication skills: Able to communicate effectively with colleagues and stakeholders at all levels, using clear and concise language Collaboration: Work effectively as part of a team, actively sharing knowledge and expertise to achieve common goals Resilience: Demonstrate the ability to bounce back from setbacks and persevere in the face of challenges Continuous learning: Show a commitment to ongoing learning and professional development, continually seeking out opportunities to expand your knowledge and skills

Posted 5 days ago

IL Patient Safety, Risk, & Regulatory Compliance Coordinator-logo
Deaconess Health SystemMount Vernon, IL
Position Overview: The Patient Safety, Risk, & Regulatory Compliance Coordinator plays a pivotal role in ensuring patient safety, supporting regulatory compliance, ensuring patient privacy and managing risks within our healthcare organization. This position involves identifying, assessing, and mitigating risks that could impact patient safety or quality of care, applying known patient safety tools to prevent patient harm, research and application of regulatory guidelines, and supporting compliance and privacy investigations for the facility. By integrating compliance and risk management efforts, this role contributes to fostering a culture of accountability, transparency, and continuous improvement across the organization. Key Responsibilities: Compliance Responsibilities: Assist in the development, implementation, and maintenance of compliance policies, procedures, and training programs to ensure adherence to applicable laws, regulations, and industry standards (e.g., HIPAA, CMS regulations, healthcare fraud and abuse laws). Conduct regular compliance audits and assessments to identify areas of non-compliance or potential risks as warranted. Collaborate with departments to address compliance gaps and implement corrective actions and preventive measures and report to regional leader and/or at compliance committee meetings as directed. Provide guidance and training to staff on compliance-related matters, including privacy and security requirements. Risk Management Responsibilities: Identify, assess, and prioritize risks across various areas of the organization, including clinical operations, patient safety, environment, information privacy or security, and billing/financial risks. Develop and implement risk management strategies, policies, and protocols to mitigate identified risks and enhance resilience. Conduct risk assessments, including root cause analyses and scenario planning, to evaluate potential threats and vulnerabilities. Monitor key risk indicators and trends, report findings to senior management and relevant stakeholders. Lead risk mitigation efforts and crisis response activities in collaboration with cross-functional teams. Assist internal and external legal counsel in acquiring documents and medical records or supporting materials as needed. Regulatory Responsibilities: Stay abreast of changes in healthcare regulations, accreditation standards, and industry best practices, and help support organizational compliance. Serve as a liaison to regional compliance leadership for regulatory agencies, accrediting bodies, and external partners to facilitate completion of compliance inquiries and audits. Assist as needed to prepare regulatory responses or disclosures as required. Patient Safety Officer/Liaison to Patient Safety Organization: Address events entered in the event management system. Foster a culture of safety throughout the facility and among staff. Complete RCAs, ACAs, and facilitate the completion of any appropriate corrective actions. Facilitate the Good Catch/Speak Up for Safety Program as determined by leadership. Reporting appropriate events to Patient Safety Organization Participate in the Regional Safety Committee Facilitate the Regional Fall Prevention Committee Privacy Responsibilities: Address privacy related events entered in event reporting system Complete walkthroughs of locations to assess privacy related risk processes or behaviors Facilitate appropriate reporting to patient and regulatory agencies when inappropriate disclosures are identified Quality Improvement Collaboration Responsibilities: Collaborate with quality improvement teams to integrate compliance and risk management principles into quality improvement initiatives. Participate in quality assurance activities as requested, including but not limited to incident reporting and patient safety initiatives. Other Duties As Applicable to the Role Related Committee and Subcommittee attendance and data submission Supporting others in this role, cross covering, cross training team members Supporting Complaint and Grievance Coordinator and this process Assisting Regional Leadership and other leaders in regulatory guidance Facilitating staff education and training where requested Education and Experience: Bachelor's degree in healthcare administration, nursing, business, or a related field preferred. Minimum of associate's degree required. Experience in clinical care role/patient care setting or equivalent applicable education required. Nursing (CNA, LPN, RN), Therapy (PT, OT, RT, COTA), or other similar license/certification preferred. Certification in compliance, risk management, or healthcare management preferred. 2+ years of experience in healthcare compliance, operations, revenue cycle, risk management, quality, patient safety, or patient care role or equivalent classwork/degree study required, with a thorough understanding of healthcare regulations or accreditation standards preferred.\ Compensation: Hourly Range: $27.16 - $40.74 Skills Preferred: Strong analytical, problem-solving, and decision-making skills, with attention to detail. Ability to rely on experience, knowledge, and judgment to apply critical thinking skills. Working knowledge of Microsoft Office products including Word, Excel, Outlook, Teams. Excellent communication, interpersonal, and leadership skills, with the ability to engage and influence stakeholders at all levels of the organization. Ability to calculate figures such as discounts, interest, commissions, percentages. Demonstrated ability to work independently and collaboratively in a fast-paced, dynamic environment. Knowledge of risk management and compliance frameworks, methodologies, and best practices in healthcare settings. Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this Job, the employee is regularly required to sit and talk or hear. The employee is often required to stand and walk. Specific vision abilities required by this job include close vision. Other Requirements: This role may require assignment at more than one facility in the Illinois region. Travel or multi-site work locations should be expected. Some opportunities for mileage reimbursement may apply when traveling for non-routine purposes. Benefits: We pride ourselves in retaining our top talent by offering work environments that support professional development and personal success. In addition to our robust healthcare and retirement plans, we offer: Flexible work schedules- Full time/part time/supplemental- Day/Eve/Night Tuition reimbursement Student Loan Repayment Program Payactiv-earned wage benefit-work today, get paid tomorrow Career advancement opportunities Explore All Benefits https://www.deaconess.com/dil-benefit-guide

Posted 30+ days ago

Head of AML Compliance-logo
PayabliMiami, FL
Payabli’s mission is to enable any software company to become a payments company through its payment infrastructure and monetization platform. With Payabli, software companies can make payments a core part of their business model to drive revenue, enhance customer lifetime value, and boost enterprise value. Our co-founders are serial entrepreneurs who have built and scaled successful technology companies like RevoPay (acquired), Seamless.com (IPO), and ServiceTitan. We are backed by top venture capital investors Fika Ventures, Bling Capital, and TTV Capital. About the role As our Head of AML Compliance, you will help us build and maintain a world-class financial crime compliance program tailored to our unique position as an embedded payments provider and registered Payment Facilitator. You will lead the design, implementation, and execution of our AML program, ensuring alignment with U.S. federal regulations (BSA, FinCEN, OFAC) and evolving fintech best practices. In this role, you will: Lead the development, implementation, and management of Payabli’s AML compliance program. Maintain and evolve policies and procedures in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC regulations, and Payabli's sponsor bank requirements. Conduct AML/BSA risk assessments across products, partners, and customer segments. Oversee transaction monitoring systems and investigate potentially suspicious activity. Review alerts, conduct case investigations, and file Suspicious Activity Reports (SARs) with our sponsor banks as needed. Coordinate enhanced due diligence (EDD) reviews for high-risk partners or ISVs. Act as primary point of contact for sponsor banks and external audits concerning AML/BSA compliance. Prepare and submit required reports and documentation (such as SARs) to banking partners for submission to regulatory bodies. Ensure compliance alignment with evolving sponsor bank guidelines and industry standards. Partner with Product, Engineering, and Client Success teams to integrate AML controls into Payabli's platform architecture and customer onboarding flows. Educate and advise internal stakeholders and partners on AML risks and mitigations, including guidance during the underwriting and transaction monitoring processes. Deliver tailored AML training to internal staff, including periodic refreshers and onboarding modules. Develop guidance and policies for platform partners and ISVs to ensure ecosystem-wide compliance. We’d love to hear from you if : Have a minimum of 8 years of AML/BSA experience in a fintech, payments, or financial services company. Expert understanding of AML regulatory frameworks including FinCEN, BSA, OFAC, and state money transmission requirements and reporting processes. Have hands-on experience with AML monitoring tools and case management systems. Have a working knowledge of automated underwriting, KYC, KYB, and transaction data analytics Are experienced interfacing with sponsor banks and financial institution partners, preferably from a payment facilitation or embedded payments environment. Are a self-starter who is comfortable in a matrixed organizational environment. Have strong analytical and written communication skills and can synthesize information quickly. Thrive in a fast-paced environment. Have an innate sense of humility and intellectual honesty with an open mind for feedback. Have a Bachelor's degree in Law, Business, Finance, or related field; advanced degree (JD, MBA) preferred. CAMS or CFCS certification (or equivalent) strongly preferred. We think you'll love being part of our team because: At Payabli, you’ll be part of building a high-growth venture-backed fintech company. You’ll work directly with the Head of Risk to make a direct impact on the compliance roadmap of a scaling fintech platform. We’re a values-driven company that cares deeply about our team, partners, and customers. Our north star values are: Team First: We invest in our people to foster a vibrant culture where we all love coming to work everyday Customer Love: We go above and beyond to woo Customers so that they write us love letters Small Giant: We plan to build a massive business; however, we are also building a sustainable organization that has a strong sense of purpose and practices long-term thinking Run to the Fire: We embrace difficult situations and lean in when confronted with adversity. We don’t shy away from doing the right thing even if it's hard Bias for Action: We operate with urgency; we don’t leave for tomorrow what can be done today Little Things Count: We differentiate ourselves by focusing on the little things. We believe small but thoughtful considerations and gestures can have an outsized impact Punch Above our Weight: We don’t fear the competition, rather we see our nimbleness as a competitive advantage. We carry ourselves with confidence and conviction in our abilities Truth Seekers: We seek truth above pride and ego. We hold each other accountable with respect and in the open. We don’t talk behind each other’s backs. One team member’s problem is the whole team’s problem What we can offer you: Executive level responsibilities that grow with the company as we scale Competitive base salary and strong upside potential Stock options with the potential to unlock more equity as we grow Flexible PTO and paid parental leave Medical, dental, & vision insurance 401K, HSA, pre-tax savings programs Option to be fully remote or hybrid Monthly education fund to spend on anything that enhances your skills or gets you one step closer to your passion goals Payabli is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We prohibit discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Posted 30+ days ago

C
Cogent Biosciences, Inc.Waltham, MA
Who We Are Cogent Biosciences is a publicly traded biotechnology company focused on developing precision therapies for genetically defined diseases. The most advanced clinical program, bezuclastinib, is a selective tyrosine kinase inhibitor that is designed to potently inhibit the KIT D816V mutation as well as other mutations in KIT exon 17. KIT D816V is responsible for driving systemic mastocytosis (SM), a serious disease caused by unchecked proliferation of mast cells. Exon 17 mutations are also found in patients with advanced gastrointestinal stromal tumors (GIST), a type of cancer with strong dependence on oncogenic KIT signaling. Top-line results from registration-directed trials in NonAdvanced SM, Advanced SM and GIST are expected in 2025. The company also has an ongoing Phase 1 study of its novel internally discovered FGFR2 inhibitor. In addition, the Cogent Research Team is developing a portfolio of novel targeted therapies to help patients fighting serious, genetically driven diseases targeting mutations in ErbB2, PI3Kα and KRAS. Our Team https://cogent.culturehq.com We're seeking an energetic, versatile, and highly driven compliance professional to join our growing Legal & Compliance team as Compliance Director. The successful candidate will help develop all aspects of our corporate ethics and compliance program and partner closely with all departments including commercial, medical, market access, and R&D to ensure the successful and compliant launch of our late-stage therapeutic candidate. Reporting to the Senior Corporate Counsel, Commercial Healthcare and Compliance, the Compliance Director will work with all levels of employees, including senior management. The role requires superb project management and operational skills, sound judgment, a team mentality, and flexibility to support our compliant and ethical business in this highly regulated space, with meaningful opportunities for professional development and career growth. Responsibilitties Contribute to the development and implementation of Cogent's ethics and compliance program, including by developing policies and trainings, supporting monitoring efforts, and working to implement key vendors. Partner across all departments to promote and enhance a culture of compliance, identify and mitigate compliance risks, and guide compliant business practices. Conduct compliance training for commercial and other teams to ensure understanding of key policies, laws, best practices, regulatory requirements and ethical standards. Support development of key processes and programs, such as transparency reporting, compliance monitoring, and training documentation systems. Develop and maintain knowledge of key laws, regulations, and industry guidance, including the Anti-Kickback Statute, False Claims Act, Federal Sunshine Act, and various state laws and industry guidance (e.g., PhRMA Code) Develop and conduct training and periodic updates for internal teams on relevant topics and legal developments. Qualifications BA/BS degree required; J.D. or other advanced degree a plus. 10+ years' experience in compliance departments in the biopharmaceutical industry, in both operational and business partnering roles. Broad experience in an emerging, publicly traded biopharmaceutical company environment is a plus. Experience in creating and enhancing right-sized compliance programs. Prior experience implementing a corporate compliance program for a biopharmaceutical company through its initial commercial launch is highly preferred. Business partnering skills: demonstrated ability to partner effectively with growing and evolving commercial and other teams to achieve business goals while mitigating compliance risks; think strategically and analytically to solve issues in a pragmatic and efficient manner; and communicate those solutions clearly and concisely. Ability to manage multiple tasks timelines in a fast-paced environment with attention to quality and detail. Strong interpersonal skills, including proven ability to interact and communicate effectively with individuals from multiple departments at all levels of the organization, including senior leadership. Commitment to professionalism and ethical conduct, including ability to handle confidential and/or sensitive information. Excellent verbal and written skills, allowing for an open and effective dialogue throughout the company. Ability to travel up to 10- 25% of the time. This role is hybrid (two days a week in office in Waltham, MA); local candidates are strongly preferred. $215,000 - $245,000 a year Target Bonus: 20% Exact compensation will vary based on skills, experience, and location. Our Locations Waltham, MA: Our Boston office includes an open office layout that has recently undergone a makeover designed for collaboration and giving our employees the best work place possible. Free access is provided for both on-site parking and gym facilities in the building. Boulder, CO: We have just moved into our new state-of-the art Research Facility in the fast-growing biopharmaceutical hub in the greater Denver/Boulder corridor. Our CEO is based full-time in this location and we are proud to call this the home of Cogent's discovery research organization. Our Offer To You To attract the very best talent, we offer a generous benefits package that includes competitive pay, performance-based bonus, stock options, insurance coverage (health, dental, life, and disability), competitive time-off, a 401(k) plan, and commuter/parking benefits. We are proud to be an Equal Opportunity Employer. Our goal is to have a diverse workforce. We do not discriminate on the basis of race, age, color, religion, national origin, gender, sexual orientation, gender identity or expression, veteran status or disability, or any other status protected under federal, state, or local law. All employment is decided on the basis of qualifications, merit, and business need.

Posted 3 weeks ago

Five Below, Inc. logo

Sr Manager- Governance, Risk And Compliance (Grc)

Five Below, Inc.Philadelphia, PA

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Job Description

At Five Below our growth is a result of the people who embrace our purpose: We know life is way better when you are free to Let Go & Have Fun in an amazing experience, filled with unlimited possibilities, priced so low, you can always say yes to the newest, coolest stuff! Just ask any of our over 20,000 associates who work at Five Below and they'll tell you there's no other place like it. It all starts with our purpose and then, The Five Below Way, which is our values and behaviors that each and every associate believes in.

It's all about culture at Five Below, making this a place that can inspire you as much as you inspire us with big ideas, super energy, passion, and the ability to make the workplace a WOWplace!

Position Summary:

The Senior Manager of Information Security, GRC will lead the organization's efforts to manage IT Security risks, ensure compliance with regulatory requirements, and oversee the company's IT Security policy. This role entails serving as the primary IT liaison for Internal Audit, providing management oversight into the Third Party Risk Management process, serving as the PCI Program Manager and accountability for the delivery and progress reporting to Senior Leadership of any risk and remediation to risks associated with IT Security, regulatory compliance and IT General Controls (ITGCs).

Key
Responsibilities:

  • Lead a team of analysts that support various aspects of the GRC function including control verification testing, oversight over control execution including the facilitation and completeness of quarterly access reviews.

  • Provide senior level expertise for compliance with the NIST framework, SOX, PCI and IT Security.

  • Ensure IT Security policies remain current and facilitate the review and approval of any changes.

  • Provide oversight in the development and ongoing support of the risk register.

  • Identify and assess technology risks, evaluate the efficiency and effectiveness of areas such as information technology infrastructure, applications, security, and internal controls.

  • Ensures IT Security risks, findings and control deficiencies are properly recorded and reported to various stakeholders including Internal Audit and Senior Leadership.

  • Monitor and manage the delivery and progress reporting of any remediation related to IT Security risks, findings or control deficiencies.

  • Provide management and oversight into the third-party risk management process including the assessment and ongoing review of SOC reporting.

  • Serve as the primary IT Liaison to Internal Audit.

  • Oversee the PCI Program and work with the external QSA to achieve a Report on Compliance.

  • Actively participate in the Change Advisory Board and work with cross-functional teams on project implementations to ensure risk and compliance requirements are effectively addressed.

Qualifications:

  • Undergraduate degree or equivalent experience is required with emphasis in Information Technology and/or auditing preferred.

  • Minimum of 8 years of experience in a mix of IT Security, Risk Management and Internal Audit.

  • Experience with a Big 4 or leading risk advisory/public accounting firm is preferred.

  • Professional certifications such as CISA, CRISC, CISSP, or CISM are highly desirable.

  • In-depth knowledge required of regulatory standards and frameworks like NIST, PCI DSS and SOX as well as ability to assess SOC reporting and implement the necessary requirements to maintain control effectiveness.

  • Proven ability to manage and lead a team.

  • Excellent communication skills and the ability to work effectively with diverse teams.

  • Strong analytical and problem-solving skills.

  • Strong project management skills.

  • Experience with compliance tools such as AuditBoard is a plus.

Explore our benefits site to discover all the perks and support we offer! From health coverage to financial and personal wellness, we've got you covered-check it out today! benefits.fivebelow.com/public/welcome

Five Below is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, age, national origin, disability, protected veteran status, gender identity or any other factor protected by applicable federal, state, or local laws.

Five Below is committed to working with and providing reasonable accommodations for individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please submit a request and let us know the nature of your request and your contact information. crewservices.zendesk.com/hc/en-us/requests/new

BE AWARE OF FRAUD! Please be aware of potentially fraudulent job postings or suspicious recruiter activity by persons that are posing as a Five Below recruiters. Please confirm that the person you are working with has an @fivebelow.com email address. Additionally, Five Below does NOT request financial information or payments from candidates at any point during the hiring process. If you suspect fraudulent activity, please visit Five Below's Career Site to verify the posting. fivebelow.com/info/careers

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